Form 4 for CLNN Clene Inc.
Accepted 2022-01-20 00:00:00 ET · period of report 2021-10-01 · accession 0001596771-22-000001 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DMI | 2022-01-20 | 2021-10-01 | CLNN | Mosca Alison | Dir | X - OptEx | $0.01 | +25.0K | 3.01M | +0.8% | +$250 |
| DMI | 2022-01-20 | 2021-10-01 | CLNN | Mosca Alison | Dir | X - OptEx | $0.00 | -25.0K | 0 | -100% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2021-10-01 | X | A | 10,000 | $0.01 | 1,459,945 | I By Trust | — | — | (F2) The securities are owned by the Robert C. Gay 1998 Family Trust. Ms. Mosca is the trustee of the Robert C. Gay 1998 Family Trust. The securities 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 securities held by the Robert C. Gay 1998 Family Trust. |
| 2 | Common | Common Stock | 2021-10-01 | X | A | 15,000 | $0.01 | 3,006,670 | I By LP | — | — | (F1) The securities are owned by Kensington Investments, L.P. ("KI"). Ms. Mosca is the president of Kensington Management LLC, which is the general partner of KI, and also serves as the trustee of the Robert C. Gay Revocable Trust, which is the limited partner of KI. The securities owned by KI may be deemed to be beneficially owned by Ms. Mosca. Ms. Mosca disclaims all securities owned by KI, for which she does not have a pecuniary or profits interest. |
| 3 | Derivative | Warrants (Right to buy) | 2021-10-01 | X | D | 10,000 | $0.00 | 0 | I By Trust | $0.01 · 2021-06-28 to 2021-12-30 | 10,000 Common Stock | (F2) The securities are owned by the Robert C. Gay 1998 Family Trust. Ms. Mosca is the trustee of the Robert C. Gay 1998 Family Trust. The securities 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 securities held by the Robert C. Gay 1998 Family Trust. |
| 4 | Derivative | Warrants (Right to buy) | 2021-10-01 | X | D | 15,000 | $0.00 | 0 | I By LP | $0.01 · 2021-06-28 to 2021-12-30 | 15,000 Common Stock | (F1) The securities are owned by Kensington Investments, L.P. ("KI"). Ms. Mosca is the president of Kensington Management LLC, which is the general partner of KI, and also serves as the trustee of the Robert C. Gay Revocable Trust, which is the limited partner of KI. The securities owned by KI may be deemed to be beneficially owned by Ms. Mosca. Ms. Mosca disclaims all securities owned by KI, for which she does not have a pecuniary or profits interest. |