Welcome to our dedicated page for Clene SEC filings (Ticker: CLNN), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
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. director Jonathon Gay reported receiving two stock option awards. One option covers 2,228 shares of common stock at an exercise price of $6.81 per share and vests immediately. A second option covers 1,500 shares at the same exercise price and vests in 12 equal monthly installments starting on June 21, 2026, with both options expiring on May 20, 2036.
Clene Inc. director Reed N. Wilcox received two stock option grants as equity compensation. On May 21, 2026, he was awarded options for 2,064 shares of common stock at an exercise price of $6.81 per share that vest immediately.
On the same date, he was also granted options for 1,500 shares of common stock at the same $6.81 exercise price. These 1,500-share options vest in 12 equal monthly installments on the 21st day of each month beginning June 21, 2026, and both grants were made under the Clene Inc. Amended 2020 Stock Plan.
Clene Inc. ownership disclosure: Chidozie Ugwumba reports beneficial ownership of 1,351,071 shares of Common Stock, representing 9.7% of the class. The reported total includes 176,713 issued shares and 1,174,358 shares issuable upon immediately exercisable warrants (Tranche A, Tranche B, and a Common Stock Purchase Warrant). The filing cites 12,778,307 shares outstanding as of May 14, 2026 from the company’s Form 10-Q.
The Schedule 13G/A lists sole voting and dispositive power over all reported shares. The filing is an ownership update signed by the reporting person on 05/15/2026.
Clene Inc. Amendment No. 4 to a Schedule 13G/A reports that Alison Mosca beneficially owns 1,831,990 shares of Common Stock, representing 13.0% of the class based on the Issuer's Quarterly Report on Form 10-Q filed May 14, 2026. The filing itemizes holdings across direct holdings and affiliated entities and discloses options to purchase 57,955 shares, warrants to purchase 350,801 shares, and 917,431 shares subject to conversion from a promissory note. The promissory note contains a provision "limiting the Reporting Person's ability to convert certain amounts into common shares to the extent such conversion, together with the exercise of any warrants held by the Reporting Person, would require stockholder approval under the rules or regulations of the Nasdaq Stock Market."
Clene Inc. disclosure: 1,915,650 shares beneficially owned representing 14.8% of Common Stock. The filing states this total includes 741,292 shares plus warrants exercisable into 375,000 Tranche A, 375,000 Tranche B, and 424,358 Common Stock Purchase Warrant shares, based on 11,778,307 shares issued and outstanding per the Prospectus Supplement 01/09/2026.
Clene Inc. reported first quarter 2026 results and amended its senior secured convertible notes to push all principal and interest to a new maturity no later than August 13, 2027. Revenue was modest at $15,000, while the company posted a net loss of $8.1 million, or $0.69 per share, compared with a $0.8 million loss a year earlier. Operating expenses fell sharply as research and development dropped to $0.3 million and general and administrative costs to $1.7 million. Cash and cash equivalents were $5.9 million as of March 31, 2026, and with recent $28 million and $7 million equity financings plus the amended $10 million convertible facility, Clene expects runway into late 2026 and potentially into 2027. The company plans to submit an NDA for its ALS candidate CNM-Au8 under the FDA’s accelerated approval pathway in the third quarter of 2026 and begin a confirmatory Phase 3 trial in early 2027.
Clene Inc. reported a net loss of $8.1 million for the quarter ended March 31, 2026, compared with $0.8 million a year earlier. Revenue was minimal at $15,000, down from $81,000, reflecting its early-stage status.
Operating loss improved to $2.1 million from $4.1 million as research and development and general and administrative expenses fell sharply, but large non-cash items, including a $4.6 million loss on the initial issuance of equity and higher warrant-related charges, drove the larger bottom-line loss.
Cash and cash equivalents were $5.9 million as of March 31, 2026, with net cash used in operating activities of $4.5 million in the quarter. Total liabilities of $40.5 million exceeded total assets of $21.7 million, resulting in a stockholders’ deficit of $18.8 million. The company discloses substantial doubt about its ability to continue as a going concern within 12 months without additional financing, despite raising $6.0 million during the quarter and $7.0 million shortly thereafter through registered direct equity offerings.
Clene Inc. insider filings show that shares held indirectly for investor Ugwumba Chidozie through SymBiosis II, LLC were sold in two open-market transactions. The entity sold a total of 95,473 shares of common stock at prices of $6.20 and $6.75 per share, leaving 103,417 shares indirectly held after the most recent sale.
Clene Inc. ownership disclosure: Filers affiliated with Vivo Opportunity report beneficial ownership positions in Clene Inc.
Vivo Opportunity Fund Holdings, L.P. and its general partner Vivo Opportunity, LLC each report 1,886,469 shares (representing 9.99% of the class) on an as‑reported basis; Vivo Opportunity Cayman Fund, L.P. and its general partner report 127,420 shares (representing 9.99%). The reported totals include Common Stock currently held plus shares issuable upon exercise of multiple warrant tranches; certain warrants contain a 9.99% exercise blocking provision, but the filing reports full‑exercise counts without giving effect to that provision.
Symbiosis II LLC reported multiple sales of Common stock of CLNN, recorded as open-market transactions. The excerpt lists individual dispositions by Symbiosis II LLC between 03/24/2026 and 05/04/2026, including notable trades of 67,991 shares on 03/31/2026 and 61,345 shares on 04/21/2026. The filing shows per-trade share counts and gross proceeds for each sale.