0001014108-23-000136.txt : 20230908 0001014108-23-000136.hdr.sgml : 20230908 20230908163335 ACCESSION NUMBER: 0001014108-23-000136 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230616 FILED AS OF DATE: 20230908 DATE AS OF CHANGE: 20230908 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Ugwumba Chidozie CENTRAL INDEX KEY: 0001835544 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39834 FILM NUMBER: 231245715 MAIL ADDRESS: STREET 1: 158 FILMORE STREET CITY: DENVER STATE: CO ZIP: 80206 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Clene Inc. CENTRAL INDEX KEY: 0001822791 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 852828339 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 6550 SOUTH MILLROCK DRIVE, SUITE G50 CITY: SALT LAKE CITY STATE: UT ZIP: 84121 BUSINESS PHONE: 801-676-9695 MAIL ADDRESS: STREET 1: 6550 SOUTH MILLROCK DRIVE, SUITE G50 CITY: SALT LAKE CITY STATE: UT ZIP: 84121 FORMER COMPANY: FORMER CONFORMED NAME: Chelsea Worldwide Inc. DATE OF NAME CHANGE: 20200827 4 1 primary_doc.xml PRIMARY DOCUMENT X0508 4 2023-06-16 0 0001822791 Clene Inc. CLNN 0001835544 Ugwumba Chidozie C/O SYMBIOSIS CAPITAL MANAGEMENT, LLC 609 SW 8TH STREET, SUITE 510 BENTONVILLE AR 72712 0 0 1 1 Resigned as director 2/15/2023 0 Common Stock 2023-06-16 4 P 0 7500000 0.8 A 13018908 I By Symbiosis II, LLC Warrants (Right to buy) 1.5 2023-06-16 4 A 0 7500000 A 2023-06-16 Common Stock 7500000 7500000 I By Symbiosis II, LLC Warrants (Right to buy) 1.1 2023-06-16 4 A 0 7500000 A 2023-06-16 Common Stock 7500000 7500000 I By Symbiosis II, LLC 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. 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. 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. /s/Chidozie Ugwumba 2023-09-08