Abiopharma

🔍 MATLIN DAVID J (Director)

Company: Clene Inc. (CLNN)

Report Date: 2026-01-13

Detailed Transactions and Holdings:

• Acquired 33,333 shares of common stock at $6.5 per share (Direct)
  Date: 2026-01-13 | Code: P | equity_swap_involved: 0 | shares_owned_after: 477,824.00 | transaction_form_type: 4 | Footnotes: F1, F2
• Acquired 0 shares of Warrant (right to buy) at $6.0 per share (Derivative)
  Date: 2026-01-13 | Code: A | Expires: 2029-01-13 | Exercise: 2026-01-13 | equity_swap_involved: 0 | shares_owned_after: 40,000.00 | transaction_form_type: 4 | Footnotes: F3, F4, F2, F4
• Acquired 0 shares of Warrant (right to buy) at $6.0 per share (Derivative)
  Date: 2026-01-13 | Code: A | Expires: 2031-01-13 | Exercise: 2026-01-13 | equity_swap_involved: 0 | shares_owned_after: 93,333.00 | transaction_form_type: 4 | Footnotes: F5, F6, F2, F6

Footnotes:

• F1: The reporting person entered into a Securities Purchase Agreement with Clene Inc. and the other parties thereto, dated January 8, 2026, for the purchase of 33,333 shares of the Company's common stock, Series A Warrants to purchase 40,000 shares of the Company's common stock and Series B Warrants to purchase 93,333 shares of the Company's common stock, closing effective January 13, 2026.
• F2: The price of each Unit is $6.50 consisting of one share of Common Stock of Clene, one Series A Warrant and one Series B Warrant.
• F3: The exercise price of each Series A Warrant will increase from $6.00 to $7.00 per share if either: (a) the warrant is exercised prior to the Company's public announcement of the U.S. Food and Drug Administration's (the "FDA") posted action date under the Prescription Drug User Fee Act for the Company's new drug application ("NDA") for CNM-Au8 (the "Series A Trigger Announcement "); or (b) the volume-weighted average price (the "VWAP") of the Company's common stock equals or exceeds $10.00 on the measurement date associated with the Series A Trigger Announcement.
• F4: The reporting person will be entitled to purchase its pro rata share of the number of shares of common stock determined by dividing $6,684,000 by the applicable exercise price.
• F5: The exercise price for each Series B Warrant will increase from $6.00 to $12.50 per share if: (i) the Series B Warrant is exercised prior to the Company's public announcement of its receipt of written approval from the FDA of its NDA for CNM-Au8 in ALS or (ii) the VWAP of the Company's common stock is equal to or greater than $25.00 on the associated measurement date. The exercise price of the Series B Warrant will increase to $10.00 per share if the VWAP of the Company's common stock is equal to or greater than $20.00 on the associated measurement date.
• F6: The reporting person will be entitled to purchase its pro rata share of the number of shares of common stock determined by dividing $15,596,000 by the applicable exercise price.