Abiopharma

🔍 Mosca Alison (Director)

Company: Clene Inc. (CLNN)

Report Date: 2026-01-09

Detailed Transactions and Holdings:

• Sold 57,219 shares of Common Stock (Direct)
  Date: 2026-01-09 | Code: J | equity_swap_involved: 0 | shares_owned_after: 263,833.00 | transaction_form_type: 4 | Footnotes: F1, F2
• Acquired 16,667 shares of Common Stock at $6.0 per share (Direct)
  Date: 2026-01-13 | Code: A | equity_swap_involved: 0 | shares_owned_after: 280,500.00 | transaction_form_type: 4 | Footnotes: F3, F4, F2
• Holds 0 shares of Common Stock (Direct)
  Date: 2026-01-09 | Code: H | shares_owned_after: 1,973.00
• Holds 0 shares of Common Stock (Direct)
  Date: 2026-01-09 | Code: H | nature_of_ownership: By LP | shares_owned_after: 150,333.00 | Footnotes: F5
• Holds 0 shares of Common Stock (Direct)
  Date: 2026-01-09 | Code: H | nature_of_ownership: By Trust | shares_owned_after: 72,997.00 | Footnotes: F6
• Sold 57,219 shares of Tranche B Warrants (Right to buy) at $30.0 per share (Derivative)
  Date: 2026-01-09 | Code: J | Exercise: 2023-06-16 | equity_swap_involved: 0 | shares_owned_after: 62,500.00 | transaction_form_type: 4 | Footnotes: F1, F7, F2
• Sold 57,219 shares of Tranche A Warrants (Right to buy) at $22.0 per share (Derivative)
  Date: 2026-01-09 | Code: J | Exercise: 2023-06-16 | equity_swap_involved: 0 | shares_owned_after: 62,500.00 | transaction_form_type: 4 | Footnotes: F1, F8, F2
• Acquired 0 shares of Series A Warrants (Right to buy) at $6.0 per share (Derivative)
  Date: 2026-01-13 | Code: A | Expires: 2029-01-09 | Exercise: 2026-01-09 | equity_swap_involved: 0 | shares_owned_after: 20,000.00 | transaction_form_type: 4 | Footnotes: F9, F10, F4, F10, F2
• Acquired 0 shares of Series B Warrants (Right to buy) at $6.0 per share (Derivative)
  Date: 2026-01-13 | Code: A | Expires: 2029-01-09 | Exercise: 2026-01-09 | equity_swap_involved: 0 | shares_owned_after: 46,667.00 | transaction_form_type: 4 | Footnotes: F11, F12, F4, F12, F2

Footnotes:

• F1: The transaction reported on this line represents a distribution in kind by the limited liability company to a limited partner for no consideration.
• F2: The securities are owned by Kensington Clene 2021, LLC. Ms. Mosca is the sole manager of and owns a minority interest in Kensington Clene 2021, LLC. The shares owned by Kensington Clene 2021, LLC may be deemed to be beneficially owned by Ms. Mosca. Ms. Mosca disclaims all shares owned by Kensington Clene 2021, LLC for which she does not have a pecuniary or profits interest.
• F3: Kensington Clene 2021, LLC entered into a Securities Purchase Agreement with Clene Inc. and the other parties thereto, dated January 8, 2026, for the purchase of 16,667 shares of the Company's common stock, Series A Warrants to purchase 20,000 shares of the Company's common Stock and Series B Warrants to purchase 46,667 shares of the Company's common stock, closing effective January 13, 2026.
• F4: The price of each Unit is $6.50; one Unit consists of one share of Common Stock of Clene Inc., one Series A Warrant and one Series B Warrant.
• F5: The securities are owned by the Kensington Investments, L.P. Ms. Mosca is the chief executive officer of Kensington Investments, L.P. The shares owned by the Kensington Investments, L.P. may be deemed to be beneficially owned by Ms. Mosca. Ms. Mosca disclaims all shares owned by Kensington Investments, L.P., for which she does not have a pecuniary or profits interest.
• F6: The securities are owned by the Robert C. Gay 1998 Family Trust. Ms. Mosca is the trustee of the Robert C. Gay 1998 Family Trust. The shares owned by the Robert C. Gay 1998 Family Trust may be deemed to be beneficially owned by Ms. Mosca. Ms. Mosca has no pecuniary or profits interest in the shares held by the Robert C. Gay 1998 Family Trust.
• F7: The Tranche B Warrants will expire on the earlier of (a) June 16, 2030, or (b) 60 days after the FDA approval of a New Drug Application from the Company. The shares owned by Kensington Clene 2021, LLC may be deemed to be beneficially owned by Ms. Mosca. Ms. Mosca disclaims all shares owned by Kensington Clene 2021, LLC for which she does not have a pecuniary or profits interest.
• F8: The Tranche A Warrants will expire on the earlier of (a) June 16, 2026, or (b) 60 days after the FDA accepts a New Drug Application from the Company. The shares owned by Kensington Clene 2021, LLC may be deemed to be beneficially owned by Ms. Mosca. Ms. Mosca disclaims all shares owned by Kensington Clene 2021, LLC for which she does not have a pecuniary or profits interest.
• F9: The exercise price for 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 Drugs 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.
• F10: 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.
• F11: 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.
• F12: 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.