Clene Inc. filings document regulatory, financing, governance and operating disclosures for a late clinical-stage biopharmaceutical company focused on neurodegenerative diseases. Form 8-K reports cover CNM-Au8 clinical and regulatory communications, operating and financial results, securities purchase agreements, warrant terms and grant-related subaward agreements supporting ALS expanded access activity.
Proxy materials describe annual meeting proposals, director elections, auditor ratification and other shareholder voting matters. The filing record also addresses capital-structure changes, material agreements, Regulation FD disclosures, intellectual-property provisions tied to research funding, clinical and regulatory disclosures, and the role of Clene Nanomedicine Inc. in the company’s development programs.
Clene Inc. (CLNN) director David J. Matlin acquired additional common stock. On September 16, 2026, he purchased 434,451 shares of Clene common stock at $3.28 per share in a registered direct offering directly from the company, an issuance approved by the board under Rule 16(b)-3.
Following this transaction, Matlin holds 912,275 shares directly and 7,500 shares indirectly through the Matlin Family Trust 2020, which he serves as trustee and may beneficially own. No Rule 10b5-1 trading plan is reported for these purchases.
Clene Inc. (CLNN) reported that President & CEO and director Robert Dee Etherington acquired common stock. On September 16, 2026, he purchased 15,244 shares of common stock at $3.28 per share in a registered direct offering approved by the board under Rule 16(b)-3, bringing his directly held position to 55,393 shares. He also reports indirect holdings through an LLC and a revocable trust.
Clene Inc. (CLNN) reported that director and ten percent owner Alison Mosca had 198,171 shares of common stock acquired on September 16, 2026, by Kensington Clene 2021, LLC at $3.28 per share in a registered direct offering approved under Rule 16(b)-3. After this grant, Kensington Clene 2021, LLC holds 478,671 shares indirectly associated with Ms. Mosca, who is the sole manager and a minority owner and disclaims any interest beyond her pecuniary stake. Separate from this LLC position, Ms. Mosca reports 1,973 shares held directly, 150,333 shares held indirectly through Kensington Investments, L.P., and 72,997 shares held indirectly through the Robert C. Gay 1998 Family Trust, with the filing stating she has no pecuniary interest in the trust-held shares and disclaims interests where she lacks a profits interest. No transactions were reported under a Rule 10b5-1 trading plan.
Clene Inc. (CLNN) entered into a securities purchase agreement with existing stockholders, including certain directors and officers, for a registered direct offering of 1,219,513 shares of common stock at $3.28 per share, for aggregate gross proceeds of approximately $4.0 million. The offering, made off Clene’s effective Form S-3 shelf registration statement, is being conducted without a placement agent, underwriter, broker or dealer, so no underwriting discounts or commissions will be paid, and only an insignificant amount of offering expenses is expected.
The closing is expected on September 17, 2026, with the transaction led by Clene’s chairman David Matlin, founding investor Kensington Capital Holdings, the chief executive officer and other existing shareholders. Clene expects to use the net proceeds, together with existing cash, for general corporate purposes, primarily to support regulatory dialogue, preparation of regulatory filings and a new drug application for lead candidate CNM-Au8, including expanded access protocols, potential commercialization efforts and manufacturing expansion. The company states the offering is expected to provide sufficient cash to fund operations through mid-first quarter 2027.
Clene Inc. (CLNN) is conducting a primary offering of 1,219,513 shares of common stock at $3.28 per share under its S-3 shelf, raising approximately $4.0 million in gross proceeds, with no underwriting discounts or commissions, in a direct sale to certain existing stockholders, including directors and officers.
Shares outstanding will increase to 14,213,981, and about $2.1 million of the offering will be purchased by insiders. Net proceeds, together with existing cash, are planned primarily to support regulatory work and a planned NDA for lead drug candidate CNM-Au8, expanded access protocols, commercialization preparation and manufacturing expansion. Clene discloses recurring losses, limited cash, a minimum cash covenant on its 2024 senior secured convertible notes, and explicitly states there is substantial doubt about its ability to continue as a going concern absent additional financing.
Clene Inc. received an updated beneficial ownership report from several Vivo Opportunity entities. Vivo Opportunity Fund Holdings, L.P. and its general partner Vivo Opportunity, LLC each report beneficial ownership of 1,321,675 shares of common stock on an as-converted basis from Series A, Series B and Tranche B warrants. Vivo Opportunity Cayman Fund, L.P. and its general partner Vivo Opportunity Cayman, LLC each report beneficial ownership of 101,936 shares of common stock issuable upon exercise of Series A and Series B warrants. Each reporting person discloses beneficial ownership of 9.99% of Clene’s common stock, with all warrants subject to provisions that block exercises that would raise ownership above 9.99% of the issuer’s voting securities.
Clene Inc. reported that director Matthew Kiernan received a grant of 3,195 stock options for common stock under the Clene Inc. Amended 2020 Stock Plan. The options have an exercise price of $4.19 per share, vest immediately upon grant, and expire on August 12, 2036. Following this grant, Kiernan holds 3,195 derivative securities representing the right to acquire an equal number of common shares.
Clene Inc. director Arjun JJ Desai received a grant of 3,674 stock options on August 13, 2026 under the Clene Inc. Amended 2020 Stock Plan. Each option has an exercise price of $4.19 per share and is exercisable for common stock. According to the grant terms, the options vest immediately upon grant and expire on August 12, 2036, resulting in post-transaction direct holdings of 3,674 options.
Clene Inc. reported that director Alison Mosca received a grant of 4,872 stock options on August 13, 2026 under the Clene Inc. Amended 2020 Stock Plan. The options have an exercise price of $4.19 per share, vest immediately upon grant, and expire on August 12, 2036, leaving her with 4,872 derivative securities outstanding from this grant.
Clene Inc. director David J. Matlin received a grant of 6,230 stock options on August 13, 2026 under the Clene Inc. Amended 2020 Stock Plan. The options have an exercise price of $4.19 per share, vest immediately upon grant, and are exercisable into 6,230 shares of common stock until August 12, 2036. Following this award, Matlin holds 6,230 stock options directly.