SEC FORM 3/A SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
 
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1. Name and Address of Reporting Person*
Etherington Robert Dee

(Last) (First) (Middle)
6550 SOUTH MILLROCK DRIVE
SUITE G50

(Street)
SALT LAKE CITY UT 84121

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
12/30/2020
3. Issuer Name and Ticker or Trading Symbol
Clene Inc. [ CLNN ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
X Officer (give title below) Other (specify below)
Chief Executive Officer
5. If Amendment, Date of Original Filed (Month/Day/Year)
01/04/2021
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock 12,717 I (I)(1)(2)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Incentive Stock Option (right to buy) (3) (3) Common Stock 428,674 0.5039 D
Incentive Stock Option (right to buy) (4) (4) Common Stock 1,092,777 0.144 D
Explanation of Responses:
1. This Form 3 amendment is being filed to correct the original Form 3 filed on January 4, 2021. The original Form 3 incorrectly omitted the shares of RDE RX Ventures LLC, which may be deemed to be beneficially owned by Mr. Etherington.
2. The securities are owned by RDE RX Ventures LLC. Mr. Etherington is the manager of RDE RX Ventures LLC. The shares owned by RDE RX Ventures LLC may be deemed to be beneficially owned by Mr. Etherington.
3. Awarded under the Clene Nanomedicine, Inc. 2014 Stock Plan on November 23, 2015 and currently exercisable. The options expire 10 years from the date of the grant.
4. Awarded under the Clene Nanomedicine, Inc. 2014 Stock Plan on July 31, 2014 and currently exercisable. The options expire 10 years from the date of the grant.
Remarks:
/s/ Jerry Miraglia POA 01/07/2021
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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