8-K 1 ea144299-8k_cleneinc.htm CURRENT REPORT
Clene Inc.
8-K on 01/11/2021   Download
SEC Document
SEC Filing

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM 8-K

 

CURRENT REPORT

 

Pursuant to Section 13 OR 15(d)

of The Securities Exchange Act of 1934

 

Date of Report (Date of earliest event reported): July 13, 2021

 

Clene Inc.

(Exact name of registrant as specified in its charter)

  

Delaware   001-39834   85-2828339
(State or other jurisdiction   (Commission   (IRS Employer
of incorporation)   File Number)   Identification No.)

 

6550 South Millrock Drive, Suite G50

Salt Lake City, Utah

  84121
(Address of principal executive offices)   (Zip Code)

 

Registrant’s telephone number, including area code: (801) 676 9695

 

N/A

(Former name or former address, if changed since last report.)

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):

 

Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

Securities registered pursuant to Section 12(b) of the Act:

 

Title of each class   Trading Symbol(s)   Name of each exchange on which registered
Common Stock, par value US$0.0001 per share   CLNN   The Nasdaq Stock Market LLC
Warrants, to acquire one-half of one share of Common Stock for $11.50 per share   CLNNW   The Nasdaq Stock Market LLC

 

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

 

Emerging growth company ☒

 

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

  

 

 

 

 

 

Item 5.03   Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year.

 

On July 13, 2021, the Company filed with the Secretary of State of the State of Delaware the Third Amended and Restated Certificate of Incorporation to correct an inadvertent filing error in its prior filing of the Second Amended and Restated Certificate of Incorporation. There were no other changes in the Third Amended and Restated Certificate of Incorporation.

 

A copy of the Third Amended and Restated Certificate of Incorporation, as filed with the Secretary of State of the State of Delaware on July 13, 2021, is attached as Exhibit 3.1 to this Current Report on Form 8-K and is incorporated herein by reference.

 

Item 9.01 Financial Statements and Exhibits.

 

(d) Exhibits

 

Exhibit
Number
  Exhibit Description
     
3.1   Third Amended and Restated Certificate of Incorporation of Clene Inc.

  

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SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

  Clene Inc.
     
Date: July 16, 2021 By: /s/ Robert Etherington
    Robert Etherington
    President, Chief Executive Officer and Director

 

 

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