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. 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.
Symbiosis II, LLC, an entity associated with 10% owner Chidozie Ugwumba, reported multiple sales of Clene Inc. common stock. On January 8, 2026, it sold 3,195 shares at $6.09 per share, leaving 750,367 shares indirectly owned. On January 9, 2026, it sold 9,075 shares at $6.27 per share, leaving 741,292 shares indirectly owned. On January 12, 2026, it sold 32,705 shares at $5.50 per share, leaving 708,587 shares of Clene common stock held indirectly through Symbiosis II, LLC.
Clene Inc. reported that on January 12, 2026 it issued a press release describing additional biomarker data for its investigational therapy CNM-Au8®. The company states this new biomarker information is intended to support a potential new drug application and preparation for an upcoming in-person meeting with the U.S. Food and Drug Administration. The 8-K mainly serves to make this press release part of the official record by filing it as an exhibit.
Clene Inc. is offering 928,333 shares of common stock together with Series A and Series B warrants in units priced at $6.50, for gross proceeds of about $6.0 million and estimated net proceeds of approximately $5.7 million before any warrant exercises. Each unit includes one share, a Series A Warrant for stock at an initial $6.00 exercise price, and a Series B Warrant with step-up exercise prices tied to future FDA and share-price milestones, with the warrants expiring in three and five years, respectively, and subject to a call feature if they are in the money. After the offering, Clene expects 11,778,307 shares outstanding, assuming no warrant exercises, and plans to use the cash mainly to fund clinical and regulatory work for its lead ALS drug candidate CNM-Au8 and other R&D and corporate purposes. The company reports recurring losses, limited cash of $7.9 million as of September 30, 2025, senior secured convertible notes with a $2.0 million minimum cash covenant, and explicitly states there is substantial doubt about its ability to continue as a going concern.
Clene Inc. reported insider share sales by a 10% owner associated with Ugwumba Chidozie, disclosed in a Form 4 filing. The transactions involved indirect holdings of Clene common stock through Symbiosis II, LLC.
Symbiosis II, LLC sold 5,869 shares at $5.87 on January 5, 2026, 3,111 shares at $6.04 on January 6, 2026, and 3,938 shares at $6.29 on January 7, 2026. Following the last sale, Symbiosis II, LLC indirectly held 753,562 shares of Clene common stock.
Clene Inc. reported insider selling of common stock by a 10% owner in December 2025. The Form 4 shows a series of open-market sales coded "S" from 12/03/2025 through 12/18/2025, with individual trades ranging from 2,884 to 72,748 shares at prices between $5.70 and $7.86 per share. All transactions involved Clene common stock held indirectly through Symbiosis II, LLC.
After these sales, the reporting person beneficially owned 393,150 shares of Clene common stock, held indirectly via Symbiosis II, LLC as of 12/18/2025. No derivative securities transactions were reported, as the derivative securities table is blank.
Clene Inc. (CLNN) disclosed a director stock option grant. On 11/13/2025, the director received an option for 1,893 shares of common stock at an exercise price of $7.30 per share under the Amended 2020 Stock Plan. The option vests immediately upon grant and expires on 11/12/2035.
Following the transaction, the filing shows 1,893 derivative securities beneficially owned, held in direct ownership.