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.
The Clene Inc. (CLNN) SEC filings page provides access to the company’s official regulatory disclosures as a Nasdaq-listed, late clinical-stage biopharmaceutical issuer. These documents offer detailed insight into Clene’s development of CNM-Au8, its financial position, and the financing structures that support its ALS, MS, and Parkinson’s disease programs.
Investors can review current reports on Form 8-K that Clene files to describe material events. Recent 8-K filings have covered quarterly financial results and operating highlights, equity distribution agreements for at-the-market common stock offerings, prospectus supplements for additional share issuances, amendments to senior secured convertible promissory notes, and new note purchase agreements. Other 8-Ks reference press releases and scientific presentations, such as new clinical data from the REPAIR-MS and REPAIR-PD studies and regulatory updates following FDA Type C and Type B meetings.
Alongside 8-Ks, Clene’s broader SEC reporting (including Forms 10-K and 10-Q, when accessed through EDGAR) details research and development expenses, general and administrative costs, limited product and royalty revenue, and the impact of warrant and derivative liabilities. Filings also describe the terms of convertible notes, including maturity dates, interest capitalization, conversion prices into common stock, and change-of-control provisions, which are important for understanding potential dilution and capital structure.
On Stock Titan, CLNN filings are updated in near real time as they appear on EDGAR. AI-powered summaries highlight key elements of each filing, such as new financing terms, regulatory milestones, or changes in clinical development plans, helping readers quickly interpret complex legal and financial language. Users can also focus on items related to capital raises, note amendments, and other direct financial obligations that shape Clene’s runway for advancing CNM-Au8 through clinical trials and potential regulatory review.
Clene Inc.’s 10% owner Ugwumba Chidozie reported a series of indirect share sales through Symbiosis II, LLC. On January 26, 2026, Symbiosis II, LLC sold 6,418 shares of Clene common stock at $5.02 per share. On January 27, 2026, it sold 4,139 shares at $5.08 per share. On January 28, 2026, it sold 8,717 shares at $4.91 per share. Following the latest transaction, Symbiosis II, LLC beneficially owned 580,329 Clene common shares indirectly attributed to the reporting person.
Clene Inc. 10% owner Ugwumba Chidozie reported indirect sales of Clene common stock through Symbiosis II, LLC. On January 22, 2026, Symbiosis II, LLC sold 12,665 shares of common stock at $5.32 per share, after which it held 605,159 shares beneficially. On January 23, 2026, it sold a further 5,556 shares at $5.27 per share, leaving 599,603 shares beneficially owned indirectly by the reporting person.
Clene Inc.'s Chief Financial Officer received a new stock option grant. On January 22, 2026, CFO Morgan R. Brown was granted a stock option covering 35,000 shares of Clene Inc. common stock under the company’s Amended 2020 Stock Plan. The option has an exercise price of $5.42 per share and is reported as held directly. According to the disclosure, the options vest immediately upon grant, meaning they are fully exercisable from the grant date, and following this transaction the reporting person beneficially owns 35,000 derivative securities tied to common stock.
Clene Inc.'s Chief Science Officer, Mark Mortenson, received a new stock option grant. On January 22, 2026, he was awarded options to purchase 75,000 shares of Clene Inc. common stock at an exercise price of $5.42 per share under the Clene Inc. Amended 2020 Stock Plan. The filing notes that these options vest immediately upon grant, meaning they are fully exercisable right away. Following this grant, Mortenson holds 75,000 derivative securities (stock options) directly.
Clene Inc. reported an insider equity award for President and CEO Robert Dee Etherington, who is also a director. On January 22, 2026, he received a stock option for 75,000 shares of common stock under the Clene Inc. Amended 2020 Stock Plan at an exercise price of $5.42 per share. The footnote explains that these options vest immediately upon grant and are exercisable until January 21, 2036. Following this grant, Etherington directly holds 75,000 derivative securities in the form of these stock options.
Clene Inc. 10% owner Ugwumba Chidozie, through Symbiosis II, LLC, reported three open-market sales of Clene common stock. On January 16, 2026, Symbiosis II, LLC sold 7,923 shares at $5.13 per share. On January 20, 2026, it sold a further 12,432 shares at $4.80 per share, and on January 21, 2026, it sold 12,119 shares at $5.05 per share. After the last transaction, Symbiosis II, LLC indirectly held 617,824 shares of Clene common stock, reflecting the updated ownership position associated with the reporting person.
Clene Inc. reported insider activity by a 10% owner. An entity identified as Symbiosis II, LLC, associated with reporting person Ugwumba Chidozie, sold Clene common stock over three days in January 2026. The sales were 26,105 shares on January 13, 2026 at $4.89 per share, 19,621 shares on January 14, 2026 at $5.12 per share, and 12,563 shares on January 15, 2026 at $5.10 per share. After these transactions, Symbiosis II, LLC was reported to indirectly hold 650,298 Clene common shares.
Clene Inc. director Alison Mosca reported indirect ownership changes tied to entities she is associated with, mainly Kensington Clene 2021, LLC. On January 9, 2026, Kensington Clene 2021, LLC made an in-kind distribution of 57,219 shares of common stock and matching Tranche A and Tranche B warrants for no consideration, leaving it with 263,833 common shares and 62,500 Tranche A and 62,500 Tranche B warrants held indirectly. On January 13, 2026, under a Securities Purchase Agreement effective that day, Kensington Clene 2021, LLC acquired 16,667 common shares at $6.00 per share plus 20,000 Series A warrants and 46,667 Series B warrants, all held indirectly. Additional common shares are reported as indirectly held through Kensington Investments, L.P. and the Robert C. Gay 1998 Family Trust, with Ms. Mosca disclaiming beneficial ownership where she has no pecuniary or profits interest.
Clene Inc. entered into a securities purchase agreement with institutional investors, existing stockholders, and certain directors to sell 928,333 shares of common stock together with warrants. Each unit consists of one share, one Series A Warrant to purchase up to 1,114,000 shares, and one Series B Warrant to purchase up to 2,599,333 shares, sold at $6.50 per unit. The warrants are immediately exercisable at $6.00 per share, with exercise prices that can step up based on FDA and stock price triggers, and have terms of three years for Series A and five years for Series B.
The transaction, conducted via BTIG as placement agent on a best-efforts basis, is expected to generate aggregate gross proceeds of approximately $6.0 million before fees. Clene plans to use net proceeds, together with existing cash, primarily to fund clinical development, potential commercialization, and regulatory activities for its lead drug candidate CNM-Au8, as well as other early-stage research. The deal includes short-term restrictions on additional equity issuance and director lock-ups limiting share sales for 45 days.
Clene Inc. director David J. Matlin reported buying units of Clene stock and warrants in a private transaction that closed on January 13, 2026. He purchased 33,333 shares of common stock at a unit price of $6.50, with each unit including one share plus a Series A and a Series B warrant. Following this purchase, he held 477,824 common shares directly.
Matlin also acquired Series A warrants for 40,000 shares and Series B warrants for 93,333 shares, each initially exercisable at $6.00 per share. The Series A warrant exercise price can increase to $7.00 per share based on FDA action-date announcements or if the stock’s volume-weighted average price reaches $10.00 on a specified date. The Series B warrant exercise price can increase to $12.50 or $10.00 per share depending on FDA approval of CNM-Au8 in ALS and future volume-weighted average price thresholds.