Ugwumba Chidozie's Form 4 filing
Clene Inc. (CLNN) · filed Sep 8, 2023
- Accession no.
- 0001014108-23-000136
- Filed
- Sep 8, 2023
- Trade date
- Jun 16, 2023
- Filing delay
- 84 daysLate
- Rule 10b5-1 plan
- Not checked
This filing lists 1 non-derivative transaction and 2 derivative transactions. Open-market purchases total $6.00M. It was filed 84 days after the trade, past the 2-business-day deadline.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Ugwumba ChidozieCIK 0001835544 | 10% Owner, Other: Resigned as director 2/15/2023 |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jun 16, 2023 | Common Stock | PPurchaseAcquired | +7,500,000 | $0.80F1 | +$6,000,000 | 13,018,908 | Indirect |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
The price for each Unit is $0.80; one Unit consists of one share of Common Stock of Clene, one Tranche A Warrant and one Tranche B Warrant.
Referenced by the price of 1 transaction in Table I and 2 transactions in Table II.