| FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 12/30/2020 | 3. Issuer Name and Ticker or Trading Symbol Clene Inc. [ CLNN ] | |||||||||||||
| 4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) 01/04/2021 | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Beneficially Owned | |||
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| 1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
| Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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| 1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
| Stock Options (Right to buy) | (2) | (2) | Common Stock | 263,955 | 2.5(1) | D | |
| Stock Options (Right to buy) | (3) | (3) | Common Stock | 687,604 | 0.15(1) | D | |
| Explanation of Responses: |
| 1. This Form 3 amendment is being filed to correct an error in the original Form 3 filed on January 4, 2021 to reflect a correction in the exercise price that resulted from an internal calculation error. |
| 2. Awarded under the Clene Nanomedicine, Inc. 2014 Stock Plan on August 26, 2019 and currently exercisable. The options expire 10 years from the date of the grant. |
| 3. Awarded the right to buy 6,210,000 shares of Clene Nanomedicine, Inc. common stock under the Clene Nanomedicine, Inc. 2014 Stock Plan on July 31, 2014. The reporting party exercised his right to purchase 1,000,000 shares of Clene Nanomedicine, Inc. common stock on November 23, 2016. Following Clene Nanomedicine, Inc.'s merger, the unexercised options converted into the right to buy common stock of Clene Inc.. The unexercised options now represent the right to buy 687,604 shares of Clene Inc. common stock. The unexercised options are all currently exercisable and expire 10 years from the date of the grant. |
| Remarks: |
| /s/ Jerry Miraglia POA | 04/13/2021 | |
| ** Signature of Reporting Person | Date | |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
| * If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. | ||
