Sec Form 13G Filing - Mosca Alison filing for Clene Inc. (CLNN) - 2024-11-12

Insider filing report for Changes in Beneficial Ownership

  • Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
  • Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
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SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, DC 20549

 

 

 

SCHEDULE 13G

 

Under the Securities Exchange Act of 1934

(Amendment No.2 )*

 

 

 

Clene Inc.

(Name of Issuer)

 

Common Stock, $0.0001 par value

(Title of Class of Securities)

 

185634201

(CUSIP Number)

 

September 30, 2024

(Date of Event Which Requires Filing of this Statement)

 

 

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

 

¨ Rule 13d-1(b)

 

¨ Rule 13d-1(c)

 

x Rule 13d-1(d)

 

* The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.

 

The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 

 

 

 

 

CUSIP No. 185634201

 

1

NAME OF REPORTING PERSON:

Alison Mosca

 

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP:

(a)  ¨

(b)  ¨

 

3

SEC USE ONLY:

 

4

CITIZENSHIP OR PLACE OF ORGANIZATION:

United States of America

 

NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH:		 5

SOLE VOTING POWER:  28,427(1)

 

 

6

SHARED VOTING POWER:  942,954(2)

 

 

7

SOLE DISPOSITIVE POWER:  28,427(1)

 

 

8

SHARED DISPOSITIVE POWER:  942,954(2)

 

 

9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:  971,381(1)(2)

 

 

10

CHECK IF THE AGGREGATE AMOUNT IN ROW(9) EXCLUDES CERTAIN SHARES:

 

¨

 

 

 

11

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9):

11.6% (See Item 4 herein)

 

12

TYPE OF REPORTING PERSON:

IN

 

 

(1) Includes options to purchase 26,454 shares of common stock.

(2) Includes warrants to purchase 398,572 shares of common stock.

 

END OF COVER PAGE

 

2 

 

 

Item 1. (a) Name of Issuer.

 

  Clene Inc.

 

  (b) Address of issuer’s principal executive offices.

 

  6550 South Millrock Drive, Suite G50, Salt Lake City, UT 84121

 

Item 2. (a) Name of person filing (the “Reporting Person”).

 

  Alison Mosca

 

  (b) Address of principal business office or, if none, residence.

 

  The address for Ms. Mosca is c/o Kensington Capital Holdings, LLC, 26 Patriot Place, Suite 301, Foxboro, MA 02035.

 

  (c) Citizenship.

 

  Ms. Mosca is a citizen of the United States of America.

 

  (d) Title of class of securities.

 

  Common Stock, $0.0001 par value (the “Common Stock”)

 

  (e) CUSIP No.

 

  185634201

 

Item 3.

 

If this statement is filed pursuant to §§.240.13d-1(b) or 240.13d-2(b), or (c), check whether the person filing is a:

 

(a)¨    Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).

 

(b)¨    Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).

 

(c)¨    Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).

 

(d)¨    Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).

 

(e)¨    An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E).

 

(f)¨    An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F).

 

(g)¨    A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G).

 

(h)¨    A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813).

 

(i)¨    A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3).

 

(j)¨     A non-U.S. institution in accordance with §240.13d-1(b)(1)(ii)(J).

 

(k)¨    Group, in accordance with §240.13d-1(b)(1)(ii)(K).

 

If filing as a non-U.S. institution in accordance with §240.13d-1(b)(1)(ii)(J), please specify the type of institution.

 

3 

 

4 

 

 

SIGNATURE

 

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

 

Dated: November 12, 2024

 

/s/ Alison Mosca  

Alison Mosca

 

5