Clene Inc
For the period ended Sep 30, 2024. Filed Nov 13, 2024.
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A company's report for each of its first three quarters. The financial statements are not audited. It shows how the business has moved since the last annual report, and what management says changed.
Sep 30, 2024 · Filed Nov 13, 2024
CLNN$3.95-0.5%Stored close · as of Nov 6, 2026
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Item 6. Exhibits
| Exhibit Number | Exhibit Description |
| 3.1 | Fourth Amended and Restated Certificate of Incorporation of Clene Inc. (incorporated by reference to Exhibit 3.1 to the Current Report on Form 8-K filed by the Registrant on May 11, 2023). |
| 3.2 | Certificate of Amendment to the Fourth Amended and Restated Certificate of Incorporation of Clene Inc. (incorporated by reference to Exhibit 3.1 to the Current Report on Form 8-K filed by the registrant on May 30, 2024). |
| 3.3 | Certificate of Amendment to the Fourth Amended and Restated Certificate of Incorporation of Clene Inc. (incorporated by reference to Exhibit 3.1 to the Current Report on Form 8-K filed by the registrant on July 9, 2024). |
| 3.4 | Bylaws of Clene Inc. (incorporated by reference to Exhibit 3.2 to the Current Report on Form 8-K filed by the Registrant on January 5, 2021). |
| 4.1 | Form of Amended and Restated Warrant to Purchase Shares of Stock of Clene Inc. (incorporated by reference to Exhibit 4.1 to the Current Report on Form 8-K filed by the registrant on September 30, 2024) (second of two reports filed on September 30, 2024). |
| 4.2 | Form of Registered Pre-Funded Warrant (incorporated by reference to Exhibit 4.1 to the Current Report on Form 8-K filed by the registrant on September 30, 2024) (first of two reports filed on September 30, 2024). |
| 4.3 | Form of Restricted Pre-Funded Warrant (incorporated by reference to Exhibit 4.2 to the Current Report on Form 8-K filed by the registrant on September 30, 2024) (first of two reports filed on September 30, 2024). |
| 4.4 | Form of Restricted Warrant (incorporated by reference to Exhibit 4.3 to the Current Report on Form 8-K filed by the registrant on September 30, 2024) (first of two reports filed on September 30, 2024). |
| 10.1 | Third Amendment to Supplement to Loan and Security Agreement, dated September 30, 2024, by and among Avenue Venture Opportunities Fund, L.P., Clene Inc. and Clene Nanomedicine, Inc. (incorporated by reference to Exhibit 10.1 to the Current Report on Form 8-K filed by the registrant on September 30, 2024) (second of two reports filed on September 30, 2024). |
| 10.2 | Form of Registered Securities Purchase Agreement, dated September 30, 2024 (incorporated by referent to Exhibit 10.1 to the Current Report on Form 8-K filed by the registrant on September 30, 2024) (first of two reports filed on September 30, 2024). |
| 10.3 | Form of Private Securities Purchase Agreement, dated September 30, 2024 (incorporated by referent to Exhibit 10.2 to the Current Report on Form 8-K filed by the registrant on September 30, 2024) (first of two reports filed on September 30, 2024). |
| 10.4 | Form of Affiliate Securities Purchase Agreement, dated September 30, 2024 (incorporated by referent to Exhibit 10.3 to the Current Report on Form 8-K filed by the registrant on September 30, 2024) (first of two reports filed on September 30, 2024). |
| 10.5 | Placement Agency Agreement, dated September 30, 2024, by and between Clene Inc. and Canaccord Genuity LLC (incorporated by reference to Exhibit 10.4 to the Current Report on Form 8-K filed by the registrant on September 30, 2024) (first of two reports filed on September 30, 2024). |
| 31.1* | Certification of Chief Executive Officer pursuant to Rule 13a-14(a) and Rule 15d-14(a), promulgated under the Securities and Exchange Act of 1934, as amended. |
| 31.2* | Certification of Chief Financial Officer pursuant to Rule 13a-14(a) and Rule 15d-14(a), promulgated under the Securities and Exchange Act of 1934, as amended. |
| 32.1** | Certification of Chief Executive Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. |
| 32.2** | Certification of Chief Financial Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. |
| 101.INS | Inline XBRL Instance Document. |
| 101.SCH | Inline XBRL Taxonomy Extension Schema Document. |
| 101.CAL | Inline XBRL Taxonomy Extension Calculation Linkbase Document. |
| 101.DEF | Inline XBRL Taxonomy Extension Definition Linkbase Document. |
| 101.LAB | Inline XBRL Taxonomy Extension Label Linkbase Document. |
| 101.PRE | Inline XBRL Taxonomy Extension Presentation Linkbase Document. |
| 104 | Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101). |
| * | Filed herewith. |
|---|---|
| ** | Furnished herewith. |
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
| CLENE INC. | ||
| Dated: November 13, 2024 | By: | /s/ Robert Etherington |
|---|---|---|
| Name: | Robert Etherington | |
| Title: | President, Chief Executive Officer and Director | |
| Dated: November 13, 2024 | By: | /s/ Morgan R. Brown |
| Name: | Morgan R. Brown | |
| Title: | Chief Financial Officer |
The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.