Alison Mosca - 30 Dec 2020 Form 3/A - Amendment Insider Report for Clene Inc. (CLNN)

Role
Director
Signature
/s/ Jerry Miraglia POA
Issuer symbol
CLNN
Transactions as of
30 Dec 2020
Net transactions value
$0
Form type
3/A - Amendment
Filing time
21 Jul 2021, 20:37:09 UTC
Date Of Original Report
08 Jan 2021
Next filing
25 May 2021
SEC
View on sec.gov

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding CLNN Warrants (Right to buy) 30 Dec 2020 Common Stock 15,000 $0.0100 By LP F1, F2
holding CLNN Warrants (Right to buy) 30 Dec 2020 Common Stock 10,000 $0.0100 By Trust F3, F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 This Form 3 amendment is being filed to report 15,000 warrants owned by Kensington Investments, L.P. acquired in a private placement on December 30, 2020, which warrants were inadvertently omitted from the original Form 3 filed on January 8, 2021.
F2 The warrants are owned by the Kensington Investments, L.P. Ms. Mosca is the chief executive officer of Kensington Investments, L.P. The warrants owned by the Kensington Investments, L.P. may be deemed to be beneficially owned by Ms. Mosca. Ms. Mosca disclaims all warrants owned by Kensington Investments, L.P. , for which she does not have a pecuniary or profits interest.
F3 This Form 3 amendment is being filed to report 10,000 warrants owned by the Robert C. Gay 1998 Family Trust acquired in a private placement on December 30, 2020, which warrants were inadvertently omitted from the original Form 3 filed on January 8, 2021.
F4 The warrants are owned by the Robert C. Gay 1998 Family Trust. Ms. Mosca is the trustee of the Robert C. Gay 1998 Family Trust. The warrants owned by the Robert C. Gay 1998 Family Trust may be deemed to be beneficially owned by Ms. Mosca. Ms. Mosca has no pecuniary or profits interest in the warrants held by the Robert C. Gay 1998 Family Trust.