CLNN

SEC source: 0001562180-23-006934 · primarydocument.xml · derivative · entry 1

McLaughlin Vallerie · CIK 0001876030 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,321

Underlying: Common Stock · 26,321 shares

Expires 2033-09-18

F1 · derivative.exercise_date: This option was granted on September 18, 2023 as an option for 26,321 shares of Common Stock under the Clene Inc. 2020 Amended Stock Plan at an exercise price of $0.54 per share. The options vest immediately upon grant.

SEC source: 0001562180-23-006932 · primarydocument.xml · derivative · entry 1

Gay Jonathon · CIK 0001835422 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,321

Underlying: Common Stock · 26,321 shares

Expires 2033-09-18

F1 · derivative.exercise_date: This option was granted on September 18, 2023 as an option for 26,321 shares of Common Stock under the Clene Inc. 2020 Amended Stock Plan at an exercise price of $0.54 per share. The options vest immediately upon grant.

SEC source: 0001562180-23-006935 · primarydocument.xml · derivative · entry 1

MATLIN DAVID J · CIK 0001251956 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 46,659

Underlying: Common Stock · 46,659 shares

Expires 2033-09-18

F1 · derivative.exercise_date: This option was granted on September 18, 2023 as an option for 46,659 shares of Common Stock under the Clene Inc. 2020 Amended Stock Plan at an exercise price of $0.54 per share. The options vest immediately upon grant.

SEC source: 0001562180-23-006937 · primarydocument.xml · derivative · entry 1

Stevens John Henry · CIK 0001835543 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,517

Underlying: Common Stock · 27,517 shares

Expires 2033-09-18

F1 · derivative.exercise_date: This option was granted on September 18, 2023 as an option for 27,517 shares of Common Stock under the Clene Inc. 2020 Amended Stock Plan at an exercise price of $0.54 per share. The options vest immediately upon grant.

SEC source: 0001562180-23-006936 · primarydocument.xml · derivative · entry 1

Mosca Alison · CIK 0001835537 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,490

Underlying: Common Stock · 36,490 shares

Expires 2033-09-18

F1 · derivative.exercise_date: This option was granted on September 18, 2023 as an option for 36,490 shares of Common Stock under the Clene Inc. 2020 Amended Stock Plan at an exercise price of $0.54 per share. The options vest immediately upon grant.

SEC source: 0001562180-23-006933 · primarydocument.xml · derivative · entry 1

Jacobovitz Shalom · CIK 0001835556 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,593

Underlying: Common Stock · 35,593 shares

Expires 2033-09-18

F1 · derivative.exercise_date: This option was granted on September 18, 2023 as an option for 35,593 shares of Common Stock under the Clene Inc. 2020 Amended Stock Plan at an exercise price of $0.54 per share. The options vest immediately upon grant.

SEC source: 0001562180-23-005628 · primarydocument.xml · derivative · entry 1

Mortenson Mark · CIK 0001835427 · Chief Science Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 800,000

Underlying: Common Stock · 800,000 shares

Expires 2033-06-29

F1 · derivative.exercise_date: This option was granted on June 29, 2023 as an option for 800,000 shares of Common Stock under the Clene Inc. Amended 2020 Stock Plan at an exercise price of $0.90 per share. The options vest with respect to the first 25% of such shares on June 29, 2024 and then in 36 equal installments of the balance of the shares of Common Stock on the last day of each calendar month beginning July 29, 2024 until such shares are fully vested. If Clene Inc. has an NDA accepted by the FDA, 50% of the option shares shall vest on that date. If the FDA approves the accepted NDA, the then remaining unvested option shares shall vest on that date.

SEC source: 0001562180-23-005630 · primarydocument.xml · derivative · entry 1

BROWN MORGAN R · CIK 0001266062 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 400,000

Underlying: Common Stock · 400,000 shares

Expires 2033-06-29

F1 · derivative.exercise_date: This option was granted on June 29, 2023 as an option for 400,000 shares of Common Stock under the Clene Inc. Amended 2020 Stock Plan at an exercise price of $0.90 per share. The options vest with respect to the first 25% of such shares on June 29, 2024 and then in 36 equal installments of the balance of the shares of Common Stock on the last day of each calendar month beginning July 29, 2024 until such shares are fully vested. If Clene Inc. has an NDA accepted by the FDA, 50% of the option shares shall vest on that date. If the FDA approves the accepted NDA, the then remaining unvested option shares shall vest on that date.

SEC source: 0001562180-23-005629 · primarydocument.xml · derivative · entry 1

Etherington Robert Dee · CIK 0001835330 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 900,000

Underlying: Common Stock · 900,000 shares

Expires 2033-06-29

F1 · derivative.exercise_date: This option was granted on June 29, 2023 as an option for 900,000 shares of Common Stock under the Clene Inc. Amended 2020 Stock Plan at an exercise price of $0.90 per share. The options vest with respect to the first 25% of such shares on June 29, 2024 and then in 36 equal installments of the balance of the shares of Common Stock on the last day of each calendar month beginning July 29, 2024 until such shares are fully vested. If Clene Inc. has an NDA accepted by the FDA, 50% of the option shares shall vest on that date. If the FDA approves the accepted NDA, the then remaining unvested option shares shall vest on that date.

SEC source: 0001562180-23-005506 · primarydocument.xml · nonDerivative · entry 1

Etherington Robert Dee · CIK 0001835330 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · By Trust

Disclosed balance after: 25,000

F1 · price: Etherington Revocable Trust purchased 25,000 shares of common stock of Clene Inc. in multiple transactions on June 26, 2023 at prices ranging from $0.80 to $0.82, inclusive, for a weighted average price of $0.81 per share.

F2 · ownership.nature: The securities are owned by the Etherington Revocable Trust. Mr. Etherington is the co-trustee of the Etherington Revocable Trust. The shares owned by the Etherington Revocable Trust may be deemed to be beneficially owned by Mr. Etherington.

SEC source: 0001562180-23-005507 · primarydocument.xml · nonDerivative · entry 1

Stevens John Henry · CIK 0001835543 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 800,204

F1 · price: Mr. Stevens purchased 316,455 shares of common stock of Clene Inc. in multiple transactions on June 26, 2023 at prices ranging from $0.78 to $0.83, inclusive, for a weighted average price of $0.80 per share.

SEC source: 0001562180-23-005322 · primarydocument.xml · derivative · entry 5

Gay Jonathon · CIK 0001835422 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 105,625

Underlying: Common Stock · 105,625 shares

Expires not disclosed

F3 · price: The price for each Unit is $0.80; one Unit consists of one share of Common Stock of Clene, one Tranche A Warrant and one Tranche B Warrant.

F5 · derivative.expiration_date: Kensington CI II, LLC purchased a unit consisting of one share of Common Stock of Clene Inc., one Tranche A Warrant, and one Tranche B Warrant. The Tranche A Warrant is for 105,625 shares of Common Stock of Clene Inc. at an exercise price of $1.10 per share. The Tranche B Warrant will expire on the earlier of (a) June 16, 2026, or (b) 60 days after the Food and Drug Administration accepts a New Drug Application from Clene Inc. The shares owned by Kensington CI II, LLC may be deemed to be beneficially owned by Mr. Gay. Mr. Gay disclaims all shares owned by Kensington CI II, LLC for which he does not have a pecuniary or profits interest.

SEC source: 0001562180-23-005322 · primarydocument.xml · derivative · entry 4

Gay Jonathon · CIK 0001835422 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 105,625

Underlying: Common Stock · 105,625 shares

Expires not disclosed

F3 · price: The price for each Unit is $0.80; one Unit consists of one share of Common Stock of Clene, one Tranche A Warrant and one Tranche B Warrant.

F4 · derivative.expiration_date: Kensington CI II, LLC purchased a unit consisting of one share of Common Stock of Clene Inc., one Tranche A Warrant, and one Tranche B Warrant. The Tranche B Warrant is for 105,625 shares of Common Stock of Clene Inc. at an exercise price of $1.50 per share. The Tranche B Warrant will expire on the earlier of (a) June 16, 2030, or (b) 60 days after the Food and Drug Administration accepts a New Drug Application from Clene Inc. The shares owned by Kensington CI II, LLC may be deemed to be beneficially owned by Mr. Gay. Mr. Gay disclaims all shares owned by Kensington CI II, LLC for which he does not have a pecuniary or profits interest.

SEC source: 0001562180-23-005322 · primarydocument.xml · nonDerivative · entry 1

Gay Jonathon · CIK 0001835422 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By LLC

Disclosed balance after: 105,625

F1 · ownership.nature: The securities are owned by Kensington CI II, LLC. Mr. Gay is a manager of and owns a minority interest in Kensington CI II, LLC. The shares owned by Kensington CI II, LLC may be deemed to be beneficially owned by Mr. Gay. Mr. Gay disclaims all shares owned by Kensington CI II, LLC for which he does not have a pecuniary or profits interest.

SEC source: 0001562180-23-005321 · primarydocument.xml · derivative · entry 4

MATLIN DAVID J · CIK 0001251956 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,500,000

Underlying: Common Stock · 1,500,000 shares

Expires not disclosed

F2 · price: The price for each Unit is $0.80; one Unit consists of one share of Common Stock of Clene, one Tranche A Warrant and one Tranche B Warrant.

F4 · derivative.expiration_date: The reporting person purchased a unit consisting of one share of Common Stock of Clene Inc., one Tranche A Warrant, and one Tranche B Warrant. The Tranche A Warrant is for 1,500,000 shares of Common Stock of Clene Inc. at an exercise price of $1.10 per share. The Tranche A Warrant will expire on the earlier of (a) June 16, 2026, or (b) 60 days after the Food and Drug Administration accepts a New Drug Application from Clene Inc.

SEC source: 0001562180-23-005321 · primarydocument.xml · derivative · entry 3

MATLIN DAVID J · CIK 0001251956 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,500,000

Underlying: Common Stock · 1,500,000 shares

Expires not disclosed

F2 · price: The price for each Unit is $0.80; one Unit consists of one share of Common Stock of Clene, one Tranche A Warrant and one Tranche B Warrant.

F3 · derivative.expiration_date: The reporting person purchased a unit consisting of one share of Common Stock of Clene Inc., one Tranche A Warrant, and one Tranche B Warrant. The Tranche B Warrant is for 1,500,000 shares of Common Stock of Clene Inc. at an exercise price of $1.50 per share. The Tranche B Warrant will expire on the earlier of (a) June 16, 2030, or (b) 60 days after the Food and Drug Administration accepts a New Drug Application from Clene Inc.

SEC source: 0001562180-23-005321 · primarydocument.xml · nonDerivative · entry 1

MATLIN DAVID J · CIK 0001251956 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,793,684

SEC source: 0001562180-23-005323 · primarydocument.xml · derivative · entry 6

Mosca Alison · CIK 0001835537 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,394,375

Underlying: Common Stock · 2,394,375 shares

Expires not disclosed

F4 · price: The price for each Unit is $0.80; one Unit consists of one share of Common Stock of Clene, one Tranche A Warrant and one Tranche B Warrant.

F6 · derivative.expiration_date: Kensington Clene 2021, LLC purchased a unit consisting of one share of Common Stock of Clene Inc., one Tranche A Warrant, and one Tranche B Warrant. The Tranche A Warrant is for 2,394,375 shares of Common Stock of Clene Inc. at an exercise price of $1.10 per share. The Tranche A Warrant will expire on the earlier of (a) June 16, 2026, or (b) 60 days after the Food and Drug Administration accepts a New Drug Application from Clene Inc. The shares owned by Kensington Clene 2021, LLC may be deemed to be beneficially owned by Ms. Mosca. Ms. Mosca disclaims all shares owned by Kensington Clene 2021, LLC for which she does not have a pecuniary or profits interest.

SEC source: 0001562180-23-005323 · primarydocument.xml · derivative · entry 5

Mosca Alison · CIK 0001835537 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,394,375

Underlying: Common Stock · 2,394,375 shares

Expires not disclosed

F4 · price: The price for each Unit is $0.80; one Unit consists of one share of Common Stock of Clene, one Tranche A Warrant and one Tranche B Warrant.

F5 · derivative.expiration_date: Kensington Clene 2021, LLC purchased a unit consisting of one share of Common Stock of Clene Inc., one Tranche A Warrant, and one Tranche B Warrant. The Tranche B Warrant is for 2,394,375 shares of Common Stock of Clene Inc. at an exercise price of $1.50 per share. The Tranche B Warrant will expire on the earlier of (a) June 16, 2030, or (b) 60 days after the Food and Drug Administration approval of a New Drug Application from Clene Inc. The shares owned by Kensington Clene 2021, LLC may be deemed to be beneficially owned by Ms. Mosca. Ms. Mosca disclaims all shares owned by Kensington Clene 2021, LLC for which she does not have a pecuniary or profits interest.

SEC source: 0001562180-23-005323 · primarydocument.xml · nonDerivative · entry 1

Mosca Alison · CIK 0001835537 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By LLC

Disclosed balance after: 3,238,375

F1 · ownership.nature: The securities are owned by Kensington Clene 2021, LLC. Ms. Mosca is the sole manager of and owns a minority interest in Kensington Clene 2021, LLC. The shares owned by Kensington Clene 2021, LLC may be deemed to be beneficially owned by Ms. Mosca. Ms. Mosca disclaims all shares owned by Kensington Clene 2021, LLC for which she does not have a pecuniary or profits interest. Please note that Kensington Clene 2021, LLC had been incorrectly referred to in prior form 4s for Ms. Mosca as Kensington Clene, LLC; there is no such legal entity, only Kensington Clene 2021, LLC.

SEC source: 0001014108-23-000136 · primary_doc.xml · derivative · entry 3

Ugwumba Chidozie · CIK 0001835544 · 10% owner · Resigned as director 2/15/2023

10b5-1 filing: No plan indicated

Ownership: Indirect · By Symbiosis II, LLC

Disclosed balance after: 7,500,000

Underlying: Common Stock · 7,500,000 shares

Expires not disclosed

F1 · price: The price for each Unit is $0.80; one Unit consists of one share of Common Stock of Clene, one Tranche A Warrant and one Tranche B Warrant.

F3 · derivative.expiration_date: The reporting person purchased a unit consisting of one share of Common Stock of Clene Inc., one Tranche A Warrant, and one Tranche B Warrant. The Tranche A Warrant is for 7,500,000 shares of Common Stock of Clene Inc. at an exercise price of $1.10 per share. The Tranche A Warrant will expire on the earlier of (a) June 16, 2026, or (b) 60 days after the Food and Drug Administration accepts a New Drug Application from Clene Inc.

SEC source: 0001014108-23-000136 · primary_doc.xml · derivative · entry 2

Ugwumba Chidozie · CIK 0001835544 · 10% owner · Resigned as director 2/15/2023

10b5-1 filing: No plan indicated

Ownership: Indirect · By Symbiosis II, LLC

Disclosed balance after: 7,500,000

Underlying: Common Stock · 7,500,000 shares

Expires not disclosed

F1 · price: The price for each Unit is $0.80; one Unit consists of one share of Common Stock of Clene, one Tranche A Warrant and one Tranche B Warrant.

F2 · derivative.expiration_date: The reporting person purchased a unit consisting of one share of Common Stock of Clene Inc., one Tranche A Warrant, and one Tranche B Warrant. The Tranche B Warrant is for 7,500,000 shares of Common Stock of Clene Inc. at an exercise price of $1.50 per share. The Tranche B Warrant will expire on the earlier of (a) June 16, 2030, or (b) 60 days after the Food and Drug Administration accepts a New Drug Application from Clene Inc.

SEC source: 0001014108-23-000136 · primary_doc.xml · nonDerivative · entry 1

Ugwumba Chidozie · CIK 0001835544 · 10% owner · Resigned as director 2/15/2023

10b5-1 filing: No plan indicated

Ownership: Indirect · By Symbiosis II, LLC

Disclosed balance after: 13,018,908

F1 · price: The price for each Unit is $0.80; one Unit consists of one share of Common Stock of Clene, one Tranche A Warrant and one Tranche B Warrant.

SEC source: 0001562180-23-003962 · primarydocument.xml · derivative · entry 2

McLaughlin Vallerie · CIK 0001876030 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2033-05-04

F2 · derivative.exercise_date: This option was granted on May 4, 2023 as an option for 30,000 shares of Common Stock under the Clene Inc. 2020 Stock Plan at an exercise price of $0.92 per share. The options vest in 12 equal installments of Common Stock on the 4th day of each calendar month, beginning June 4, 2023, until such shares are fully vested.

SEC source: 0001562180-23-003962 · primarydocument.xml · derivative · entry 1

McLaughlin Vallerie · CIK 0001876030 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,585

Underlying: Common Stock · 15,585 shares

Expires 2033-05-04

F1 · derivative.exercise_date: This option was granted on May 4, 2023 as an option for 15,585 shares of Common Stock under the Clene Inc. 2020 Stock Plan at an exercise price of $0.92 per share. The options vest immediately upon grant.

SEC source: 0001562180-23-003960 · primarydocument.xml · derivative · entry 2

Gay Jonathon · CIK 0001835422 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2033-05-04

F2 · derivative.exercise_date: This option was granted on May 4, 2023 as an option for 30,000 shares of Common Stock under the Clene Inc. 2020 Stock Plan at an exercise price of $0.92 per share. The options vest in 12 equal installments of Common Stock on the 4th day of each calendar month, beginning June 4, 2023, until such shares are fully vested.

SEC source: 0001562180-23-003960 · primarydocument.xml · derivative · entry 1

Gay Jonathon · CIK 0001835422 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,585

Underlying: Common Stock · 15,585 shares

Expires 2033-05-04

F1 · derivative.exercise_date: This option was granted on May 4, 2023 as an option for 15,585 shares of Common Stock under the Clene Inc. 2020 Stock Plan at an exercise price of $0.92 per share. The options vest immediately upon grant.

SEC source: 0001562180-23-003963 · primarydocument.xml · derivative · entry 2

MATLIN DAVID J · CIK 0001251956 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2033-05-04

F2 · derivative.exercise_date: This option was granted on May 4, 2023 as an option for 30,000 shares of Common Stock under the Clene Inc. 2020 Stock Plan at an exercise price of $0.92 per share. The options vest in 12 equal installments of Common Stock on the 4th day of each calendar month, beginning June 4, 2023, until such shares are fully vested.

SEC source: 0001562180-23-003963 · primarydocument.xml · derivative · entry 1

MATLIN DAVID J · CIK 0001251956 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,628

Underlying: Common Stock · 27,628 shares

Expires 2033-05-04

F1 · derivative.exercise_date: This option was granted on May 4, 2023 as an option for 27,628 shares of Common Stock under the Clene Inc. 2020 Stock Plan at an exercise price of $0.92 per share. The options vest immediately upon grant.

SEC source: 0001562180-23-003965 · primarydocument.xml · derivative · entry 2

Jacobovitz Shalom · CIK 0001835556 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2033-05-04

F2 · derivative.exercise_date: This option was granted on May 4, 2023 as an option for 30,000 shares of Common Stock under the Clene Inc. 2020 Stock Plan at an exercise price of $0.92 per share. The options vest in 12 equal installments of Common Stock on the 4th day of each calendar month, beginning June 4, 2023, until such shares are fully vested.

SEC source: 0001562180-23-003965 · primarydocument.xml · derivative · entry 1

Jacobovitz Shalom · CIK 0001835556 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,075

Underlying: Common Stock · 21,075 shares

Expires 2033-05-04

F1 · derivative.exercise_date: This option was granted on May 4, 2023 as an option for 21,075 shares of Common Stock under the Clene Inc. 2020 Stock Plan at an exercise price of $0.92 per share. The options vest immediately upon grant.

SEC source: 0001562180-23-003964 · primarydocument.xml · derivative · entry 2

Mosca Alison · CIK 0001835537 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2033-05-04

F2 · derivative.exercise_date: This option was granted on May 4, 2023 as an option for 30,000 shares of Common Stock under the Clene Inc. 2020 Stock Plan at an exercise price of $0.92 per share. The options vest in 12 equal installments of Common Stock on the 4th day of each calendar month, beginning June 4, 2023, until such shares are fully vested.

SEC source: 0001562180-23-003964 · primarydocument.xml · derivative · entry 1

Mosca Alison · CIK 0001835537 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,607

Underlying: Common Stock · 21,607 shares

Expires 2033-05-04

F1 · derivative.exercise_date: This option was granted on May 4, 2023 as an option for 21,607 shares of Common Stock under the Clene Inc. 2020 Stock Plan at an exercise price of $0.92 per share. The options vest immediately upon grant.

SEC source: 0001562180-23-003961 · primarydocument.xml · derivative · entry 2

Stevens John Henry · CIK 0001835543 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2033-05-04

F2 · derivative.exercise_date: This option was granted on May 4, 2023 as an option for 30,000 shares of Common Stock under the Clene Inc. 2020 Stock Plan at an exercise price of $0.92 per share. The options vest in 12 equal installments of Common Stock on the 4th day of each calendar month, beginning June 4, 2023, until such shares are fully vested.

SEC source: 0001562180-23-003961 · primarydocument.xml · derivative · entry 1

Stevens John Henry · CIK 0001835543 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,950

Underlying: Common Stock · 18,950 shares

Expires 2033-05-04

F1 · derivative.exercise_date: This option was granted on May 4, 2023 as an option for 18,950 shares of Common Stock under the Clene Inc. 2020 Stock Plan at an exercise price of $0.92 per share. The options vest immediately upon grant.

SEC source: 0001562180-23-001572 · primarydocument.xml · derivative · entry 1

Mortenson Mark · CIK 0001835427 · Chief Science Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2033-02-17

F1 · derivative.exercise_date: This option was granted on February 17, 2023 as an option for 75,000 shares of Common Stock under the Clene Inc. 2020 Stock Plan at an exercise price of $1.28 per share. The options vest in full on August 17, 2023.

SEC source: 0001562180-23-001571 · primarydocument.xml · derivative · entry 1

BROWN MORGAN R · CIK 0001266062 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2033-02-17

F1 · derivative.exercise_date: This option was granted on February 17, 2023 as an option for 125,000 shares of Common Stock under the Clene Inc. 2020 Stock Plan at an exercise price of $1.28 per share. The options vest in full on August 17, 2023.

SEC source: 0001562180-23-000899 · primarydocument.xml · derivative · entry 1

McLaughlin Vallerie · CIK 0001876030 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,966

Underlying: Common Stock · 8,966 shares

Expires 2033-02-02

F1 · derivative.exercise_date: This option was granted on February 2, 2023 as an option for 8,966 shares of Common Stock under the Clene Inc. 2020 Stock Plan at an exercise price of $1.62 per share. The options vest immediately upon grant.

SEC source: 0001562180-23-000896 · primarydocument.xml · derivative · entry 1

Gay Jonathon · CIK 0001835422 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,966

Underlying: Common Stock · 8,966 shares

Expires 2033-02-02

F1 · derivative.exercise_date: This option was granted on February 2, 2023 as an option for 8,966 shares of Common Stock under the Clene Inc. 2020 Stock Plan at an exercise price of $1.62 per share. The options vest immediately upon grant.

SEC source: 0001562180-23-000898 · primarydocument.xml · derivative · entry 1

MATLIN DAVID J · CIK 0001251956 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,894

Underlying: Common Stock · 15,894 shares

Expires 2033-02-02

F1 · derivative.exercise_date: This option was granted on February 2, 2023 as an option for 15,894 shares of Common Stock under the Clene Inc. 2020 Stock Plan at an exercise price of $1.62 per share. The options vest immediately upon grant.

SEC source: 0001562180-23-000900 · primarydocument.xml · derivative · entry 1

Jacobovitz Shalom · CIK 0001835556 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,124

Underlying: Common Stock · 12,124 shares

Expires 2033-02-02

F1 · derivative.exercise_date: This option was granted on February 2, 2023 as an option for 12,124 shares of Common Stock under the Clene Inc. 2020 Stock Plan at an exercise price of $1.62 per share. The options vest immediately upon grant.

SEC source: 0001562180-23-000897 · primarydocument.xml · derivative · entry 1

Ugwumba Chidozie · CIK 0001835544 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,679

Underlying: Common Stock · 9,679 shares

Expires 2033-02-02

F1 · derivative.exercise_date: This option was granted on February 2, 2023 as an option for 9,679 shares of Common Stock under the Clene Inc. 2020 Stock Plan at an exercise price of $1.62 per share. The options vest immediately upon grant.

SEC source: 0001562180-23-000895 · primarydocument.xml · derivative · entry 1

Mosca Alison · CIK 0001835537 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,430

Underlying: Common Stock · 12,430 shares

Expires 2033-02-02

F1 · derivative.exercise_date: This option was granted on February 2, 2023 as an option for 12,430 shares of Common Stock under the Clene Inc. 2020 Stock Plan at an exercise price of $1.62 per share. The options vest immediately upon grant.

SEC source: 0001562180-23-000894 · primarydocument.xml · derivative · entry 1

Stevens John Henry · CIK 0001835543 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,373

Underlying: Common Stock · 9,373 shares

Expires 2033-02-02

F1 · derivative.exercise_date: This option was granted on February 2, 2023 as an option for 9,373 shares of Common Stock under the Clene Inc. 2020 Stock Plan at an exercise price of $1.62 per share. The options vest immediately upon grant.

SEC source: 0001014108-23-000032 · primary_doc.xml · nonDerivative · entry 1

Ugwumba Chidozie · CIK 0001835544 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By SymBiosis II, LLC

Disclosed balance after: 5,548,019

F1 · kind: The shares are directly held by SymBiosis II, LLC. Amount reflects an additional 1,019,210 shares located in a separate brokerage account during the issuer's fiscal year.

SEC source: 0001562180-22-007627 · primarydocument.xml · derivative · entry 2

WILCOX REED N · CIK 0001266609 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 174,912 shares

Expires 2024-07-30

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001562180-22-007627 · primarydocument.xml · nonDerivative · entry 1

WILCOX REED N · CIK 0001266609 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 575,145

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001562180-22-007532 · primarydocument.xml · derivative · entry 1

Mortenson Mark · CIK 0001835427 · Chief Science Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 400,000

Underlying: Common Stock · 400,000 shares

Expires 2032-11-04

F1 · derivative.exercise_date: This option was granted on November 4, 2022 as an option for 400,000 shares of Common Stock under the Clene Inc. 2020 Stock Plan at an exercise price of $1.11 per share. The options vest with respect to the first 25% of such shares on November 4, 2023 and then in 36 equal installments of the balance of the shares of Common Stock on the 4th day of each calendar month thereafter beginning December 4, 2023 until such shares are fully vested.

SEC source: 0001562180-22-007531 · primarydocument.xml · derivative · entry 1

BROWN MORGAN R · CIK 0001266062 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 300,000 shares

Expires 2032-11-04

F1 · derivative.exercise_date: This option was granted on November 4, 2022 as an option for 300,000 shares of Common Stock under the Clene Inc. 2020 Stock Plan at an exercise price of $1.11 per share. The options vest with respect to the first 25% of such shares on November 4, 2023 and then in 36 equal installments of the balance of the shares of Common Stock on the 4th day of each calendar month thereafter beginning December 4, 2023 until such shares are fully vested.

SEC source: 0001562180-22-007530 · primarydocument.xml · derivative · entry 1

Etherington Robert Dee · CIK 0001835330 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 400,000

Underlying: Common Stock · 400,000 shares

Expires 2032-11-04

F1 · derivative.exercise_date: This option was granted on November 4, 2022 as an option for 400,000 shares of Common Stock under the Clene Inc. 2020 Stock Plan at an exercise price of $1.11 per share. The options vest with respect to the first 25% of such shares on November 4, 2023 and then in 36 equal installments of the balance of the shares of Common Stock on the 4th day of each calendar month thereafter beginning December 4, 2023 until such shares are fully vested.