PALI

SEC source: 0001493152-23-021126 · ownership.xml · derivative · entry 1

Diaz Stephanie · CIK 0001850265 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,980

Underlying: Common Stock · 6,980 shares

Expires not disclosed

F1 · security: Represents partial compensation for services rendered as a director pursuant to Issuer's director compensation policy, which includes 5,100 restricted stock units and 7,000 common stock purchase options. The grants were issued from the Issuer's 2021 Equity Incentive Plan. In addition, Reporting Person received, per its election, an additional 1,880 restricted stock units and 2,580 common stock purchase options as a discretionary grant.

F3 · security: Each restricted stock unit represents the right to receive one share of common stock.

F2 · derivative.exercise_price: The grants vest fully on the one (1) year anniversary of the grant date.

F3 · shares: Each restricted stock unit represents the right to receive one share of common stock.

F2 · derivative.exercise_date: The grants vest fully on the one (1) year anniversary of the grant date.

F4 · derivative.expiration_date: N/A

SEC source: 0001493152-23-021127 · ownership.xml · derivative · entry 2

Wei Binxian · CIK 0001773586 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,580

Underlying: Common Stock · 9,580 shares

Expires 2033-06-11

F1 · security: Represents partial compensation for services rendered as a director pursuant to Issuer's director compensation policy, which includes 5,100 restricted stock units and 7,000 common stock purchase options. The grants were issued from the Issuer's 2021 Equity Incentive Plan. In addition, Reporting Person received, per its election, an additional 1,880 restricted stock units and 2,580 common stock purchase options as a discretionary grant.

F2 · security: The grants vest fully on the one (1) year anniversary of the grant date.

F5 · security: Each option represents the right to purchase one share of common stock at the exercise price.

F2 · derivative.exercise_date: The grants vest fully on the one (1) year anniversary of the grant date.

SEC source: 0001493152-23-021127 · ownership.xml · derivative · entry 1

Wei Binxian · CIK 0001773586 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,980

Underlying: Common Stock · 6,980 shares

Expires not disclosed

F1 · security: Represents partial compensation for services rendered as a director pursuant to Issuer's director compensation policy, which includes 5,100 restricted stock units and 7,000 common stock purchase options. The grants were issued from the Issuer's 2021 Equity Incentive Plan. In addition, Reporting Person received, per its election, an additional 1,880 restricted stock units and 2,580 common stock purchase options as a discretionary grant.

F3 · security: Each restricted stock unit represents the right to receive one share of common stock.

F2 · derivative.exercise_price: The grants vest fully on the one (1) year anniversary of the grant date.

F3 · shares: Each restricted stock unit represents the right to receive one share of common stock.

F2 · derivative.exercise_date: The grants vest fully on the one (1) year anniversary of the grant date.

F4 · derivative.expiration_date: N/A

SEC source: 0001493152-23-021128 · ownership.xml · derivative · entry 2

Csimma Cristina · CIK 0001501623 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,580

Underlying: Common Stock · 9,580 shares

Expires 2033-06-11

F1 · security: Represents partial compensation for services rendered as a director pursuant to Issuer's director compensation policy, which includes 5,100 restricted stock units and 7,000 common stock purchase options. The grants were issued from the Issuer's 2021 Equity Incentive Plan. In addition, Reporting Person received, per its election, an additional 1,880 restricted stock units and 2,580 common stock purchase options as a discretionary grant.

F2 · security: The grants vest fully on the one (1) year anniversary of the grant date.

F5 · security: Each option represents the right to purchase one share of common stock at the exercise price.

F2 · derivative.exercise_date: The grants vest fully on the one (1) year anniversary of the grant date.

SEC source: 0001493152-23-021128 · ownership.xml · derivative · entry 1

Csimma Cristina · CIK 0001501623 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,980

Underlying: Common Stock · 6,980 shares

Expires not disclosed

F1 · security: Represents partial compensation for services rendered as a director pursuant to Issuer's director compensation policy, which includes 5,100 restricted stock units and 7,000 common stock purchase options. The grants were issued from the Issuer's 2021 Equity Incentive Plan. In addition, Reporting Person received, per its election, an additional 1,880 restricted stock units and 2,580 common stock purchase options as a discretionary grant.

F3 · security: Each restricted stock unit represents the right to receive one share of common stock.

F2 · derivative.exercise_price: The grants vest fully on the one (1) year anniversary of the grant date.

F3 · shares: Each restricted stock unit represents the right to receive one share of common stock.

F2 · derivative.exercise_date: The grants vest fully on the one (1) year anniversary of the grant date.

F4 · derivative.expiration_date: N/A

SEC source: 0001493152-23-021132 · ownership.xml · derivative · entry 2

GRAY MARY ANN · CIK 0001261974 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,160

Underlying: Common Stock · 12,160 shares

Expires 2033-06-11

F1 · security: Represents partial compensation for services as a director pursuant to Issuer's director compensation policy, which includes 5,100 restricted stock units and 7,000 common stock purchase options. The grants were issued from Issuer's 2021 Equity Incentive Plan. In addition, Reporting Person received, per its election, an additional 5,160 common stock purchase options as a discretionary grant.

F2 · security: The grants vest fully on the one (1) year anniversary of the grant date.

F5 · security: Each option represents the right to purchase one share of common stock at the exercise price.

F2 · derivative.exercise_date: The grants vest fully on the one (1) year anniversary of the grant date.

SEC source: 0001493152-23-021132 · ownership.xml · derivative · entry 1

GRAY MARY ANN · CIK 0001261974 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,100

Underlying: Common Stock · 5,100 shares

Expires not disclosed

F1 · security: Represents partial compensation for services as a director pursuant to Issuer's director compensation policy, which includes 5,100 restricted stock units and 7,000 common stock purchase options. The grants were issued from Issuer's 2021 Equity Incentive Plan. In addition, Reporting Person received, per its election, an additional 5,160 common stock purchase options as a discretionary grant.

F3 · security: Each restricted stock unit represents the right to receive one share of common stock.

F2 · derivative.exercise_price: The grants vest fully on the one (1) year anniversary of the grant date.

F3 · shares: Each restricted stock unit represents the right to receive one share of common stock.

F2 · derivative.exercise_date: The grants vest fully on the one (1) year anniversary of the grant date.

F4 · derivative.expiration_date: N/A

SEC source: 0001493152-23-021130 · ownership.xml · derivative · entry 2

Neal James R · CIK 0001600865 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,160

Underlying: Common Stock · 12,160 shares

Expires 2033-06-11

F1 · security: Represents partial compensation for services as a director pursuant to Issuer's director compensation policy, which includes 5,100 restricted stock units and 7,000 common stock purchase options. The grants were issued from Issuer's 2021 Equity Incentive Plan. In addition, Reporting Person received, per its election, an additional 5,160 common stock purchase options as a discretionary grant.

F2 · security: The grants vest fully on the one (1) year anniversary of the grant date.

F5 · security: Each option represents the right to purchase one share of common stock at the exercise price.

F2 · derivative.exercise_date: The grants vest fully on the one (1) year anniversary of the grant date.

SEC source: 0001493152-23-021130 · ownership.xml · derivative · entry 1

Neal James R · CIK 0001600865 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,100

Underlying: Common Stock · 5,100 shares

Expires not disclosed

F1 · security: Represents partial compensation for services as a director pursuant to Issuer's director compensation policy, which includes 5,100 restricted stock units and 7,000 common stock purchase options. The grants were issued from Issuer's 2021 Equity Incentive Plan. In addition, Reporting Person received, per its election, an additional 5,160 common stock purchase options as a discretionary grant.

F3 · security: Each restricted stock unit represents the right to receive one share of common stock.

F2 · derivative.exercise_price: The grants vest fully on the one (1) year anniversary of the grant date.

F3 · shares: Each restricted stock unit represents the right to receive one share of common stock.

F2 · derivative.exercise_date: The grants vest fully on the one (1) year anniversary of the grant date.

F4 · derivative.expiration_date: N/A

SEC source: 0001493152-23-021129 · ownership.xml · derivative · entry 2

Williams Donald Allen · CIK 0001620013 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,160

Underlying: Common Stock · 12,160 shares

Expires 2033-06-11

F1 · security: Represents partial compensation for services as a director pursuant to Issuer's director compensation policy, which includes 5,100 restricted stock units and 7,000 common stock purchase options. The grants were issued from Issuer's 2021 Equity Incentive Plan. In addition, Reporting Person received, per its election, an additional 5,160 common stock purchase options as a discretionary grant.

F2 · security: The grants vest fully on the one (1) year anniversary of the grant date.

F5 · security: Each option represents the right to purchase one share of common stock at the exercise price.

F2 · derivative.exercise_date: The grants vest fully on the one (1) year anniversary of the grant date.

SEC source: 0001493152-23-021129 · ownership.xml · derivative · entry 1

Williams Donald Allen · CIK 0001620013 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,100

Underlying: Common Stock · 5,100 shares

Expires not disclosed

F1 · security: Represents partial compensation for services as a director pursuant to Issuer's director compensation policy, which includes 5,100 restricted stock units and 7,000 common stock purchase options. The grants were issued from Issuer's 2021 Equity Incentive Plan. In addition, Reporting Person received, per its election, an additional 5,160 common stock purchase options as a discretionary grant.

F3 · security: Each restricted stock unit represents the right to receive one share of common stock.

F2 · derivative.exercise_price: The grants vest fully on the one (1) year anniversary of the grant date.

F3 · shares: Each restricted stock unit represents the right to receive one share of common stock.

F2 · derivative.exercise_date: The grants vest fully on the one (1) year anniversary of the grant date.

F4 · derivative.expiration_date: N/A

SEC source: 0001493152-23-011082 · ownership.xml · derivative · entry 3

McRae Robert Curtis · CIK 0001965845 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,963

Underlying: Common Stock · 655 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. This transaction represents the settlement of restricted stock units in shares of common stock on their scheduled vesting date.

F1 · derivative.exercise_price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. This transaction represents the settlement of restricted stock units in shares of common stock on their scheduled vesting date.

F1 · price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. This transaction represents the settlement of restricted stock units in shares of common stock on their scheduled vesting date.

F3 · derivative.exercise_date: This restricted stock unit was granted on January 3, 2023, and 655 restricted stock units subject to the award vested on April 3, 2023, and approximately 654 restricted stock units are scheduled to vest on each of July 3, 2023, October 3, 2023, and January 3, 2023, subject to Reporting Person continuing to be a service provider to Issuer at the time of vesting.

F3 · derivative.expiration_date: This restricted stock unit was granted on January 3, 2023, and 655 restricted stock units subject to the award vested on April 3, 2023, and approximately 654 restricted stock units are scheduled to vest on each of July 3, 2023, October 3, 2023, and January 3, 2023, subject to Reporting Person continuing to be a service provider to Issuer at the time of vesting.

SEC source: 0001493152-23-011082 · ownership.xml · nonDerivative · entry 2

McRae Robert Curtis · CIK 0001965845 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 625

F2 · security: Represents shares withheld by Issuer to satisfy tax withholding requirements on vesting of restricted stock units.

F2 · price: Represents shares withheld by Issuer to satisfy tax withholding requirements on vesting of restricted stock units.

SEC source: 0001493152-23-011082 · ownership.xml · nonDerivative · entry 1

McRae Robert Curtis · CIK 0001965845 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 895

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. This transaction represents the settlement of restricted stock units in shares of common stock on their scheduled vesting date.

F1 · shares: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. This transaction represents the settlement of restricted stock units in shares of common stock on their scheduled vesting date.

F1 · price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. This transaction represents the settlement of restricted stock units in shares of common stock on their scheduled vesting date.

SEC source: 0001493152-23-011080 · ownership.xml · derivative · entry 4

Finley John David · CIK 0001851034 · Director · CEO, CFO, Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,927

Underlying: Common Stock · 1,309 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. This transaction represents the settlement of restricted stock units in shares of common stock on their scheduled vesting date.

F1 · derivative.exercise_price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. This transaction represents the settlement of restricted stock units in shares of common stock on their scheduled vesting date.

F1 · price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. This transaction represents the settlement of restricted stock units in shares of common stock on their scheduled vesting date.

F4 · derivative.exercise_date: This restricted stock unit was granted on January 3, 2023, and 1,309 restricted stock units subject to the award vested on April 3, 2023, and 1,309 restricted stock units are scheduled to vest on each of July 3, 2023, October 3, 2023, and January 3, 2023, subject to Reporting Person continuing to be a service provider to Issuer at the time of vesting.

F4 · derivative.expiration_date: This restricted stock unit was granted on January 3, 2023, and 1,309 restricted stock units subject to the award vested on April 3, 2023, and 1,309 restricted stock units are scheduled to vest on each of July 3, 2023, October 3, 2023, and January 3, 2023, subject to Reporting Person continuing to be a service provider to Issuer at the time of vesting.

SEC source: 0001493152-23-011080 · ownership.xml · nonDerivative · entry 2

Finley John David · CIK 0001851034 · Director · CEO, CFO, Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,848

F2 · security: Represents shares withheld by Issuer to satisfy tax withholding requirements on vesting of restricted stock units.

F2 · price: Represents shares withheld by Issuer to satisfy tax withholding requirements on vesting of restricted stock units.

SEC source: 0001493152-23-011080 · ownership.xml · nonDerivative · entry 1

Finley John David · CIK 0001851034 · Director · CEO, CFO, Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,283

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. This transaction represents the settlement of restricted stock units in shares of common stock on their scheduled vesting date.

F1 · shares: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. This transaction represents the settlement of restricted stock units in shares of common stock on their scheduled vesting date.

F1 · price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. This transaction represents the settlement of restricted stock units in shares of common stock on their scheduled vesting date.

SEC source: 0001493152-23-003989 · ownership.xml · derivative · entry 3

Finley John David · CIK 0001851034 · Director · CEO, CFO, Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,200

Underlying: Common Stock · 57,200 shares

Expires 2033-02-06

F1 · security: Each grant represents a one-time bonus grant to Reporting Person for services as an executive officer for the year ended December 31, 2022. The grants were issued from the Issuer's 2021 Equity Incentive Plan. Vesting for each grant is subject to: (a) the Reporting Person being a service provider to the Issuer at the time of vesting and (b) shareholder approval of the applicable grant is received.

F2 · security: The applicable grant will vest: with respect to the Restricted Stock Units ("RSUs") and Common Stock Purchase Options ("Options"), in twelve (12) equal quarterly installments over a three-year period from the grant date, and with respect to the Performance Restricted Stock Units ("PSUs"), (i) 50% at such time when the volume weighted average price of the Company's common stock over a twenty (20) consecutive trading day period is at or greater than $3.20, and (ii) 50% at such time when the volume weighted average price of the Company's common stock over a twenty (20) consecutive trading day period is at or greater than $4.25

F1 · shares: Each grant represents a one-time bonus grant to Reporting Person for services as an executive officer for the year ended December 31, 2022. The grants were issued from the Issuer's 2021 Equity Incentive Plan. Vesting for each grant is subject to: (a) the Reporting Person being a service provider to the Issuer at the time of vesting and (b) shareholder approval of the applicable grant is received.

F2 · shares: The applicable grant will vest: with respect to the Restricted Stock Units ("RSUs") and Common Stock Purchase Options ("Options"), in twelve (12) equal quarterly installments over a three-year period from the grant date, and with respect to the Performance Restricted Stock Units ("PSUs"), (i) 50% at such time when the volume weighted average price of the Company's common stock over a twenty (20) consecutive trading day period is at or greater than $3.20, and (ii) 50% at such time when the volume weighted average price of the Company's common stock over a twenty (20) consecutive trading day period is at or greater than $4.25

F1 · derivative.exercise_date: Each grant represents a one-time bonus grant to Reporting Person for services as an executive officer for the year ended December 31, 2022. The grants were issued from the Issuer's 2021 Equity Incentive Plan. Vesting for each grant is subject to: (a) the Reporting Person being a service provider to the Issuer at the time of vesting and (b) shareholder approval of the applicable grant is received.

F2 · derivative.exercise_date: The applicable grant will vest: with respect to the Restricted Stock Units ("RSUs") and Common Stock Purchase Options ("Options"), in twelve (12) equal quarterly installments over a three-year period from the grant date, and with respect to the Performance Restricted Stock Units ("PSUs"), (i) 50% at such time when the volume weighted average price of the Company's common stock over a twenty (20) consecutive trading day period is at or greater than $3.20, and (ii) 50% at such time when the volume weighted average price of the Company's common stock over a twenty (20) consecutive trading day period is at or greater than $4.25

SEC source: 0001493152-23-003989 · ownership.xml · derivative · entry 2

Finley John David · CIK 0001851034 · Director · CEO, CFO, Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,500

Underlying: Common Stock · 32,500 shares

Expires 2033-02-06

F1 · security: Each grant represents a one-time bonus grant to Reporting Person for services as an executive officer for the year ended December 31, 2022. The grants were issued from the Issuer's 2021 Equity Incentive Plan. Vesting for each grant is subject to: (a) the Reporting Person being a service provider to the Issuer at the time of vesting and (b) shareholder approval of the applicable grant is received.

F2 · security: The applicable grant will vest: with respect to the Restricted Stock Units ("RSUs") and Common Stock Purchase Options ("Options"), in twelve (12) equal quarterly installments over a three-year period from the grant date, and with respect to the Performance Restricted Stock Units ("PSUs"), (i) 50% at such time when the volume weighted average price of the Company's common stock over a twenty (20) consecutive trading day period is at or greater than $3.20, and (ii) 50% at such time when the volume weighted average price of the Company's common stock over a twenty (20) consecutive trading day period is at or greater than $4.25

F3 · derivative.exercise_price: Each RSU or PSU represents a contingent right to receive one share of Issuer's common stock.

F1 · shares: Each grant represents a one-time bonus grant to Reporting Person for services as an executive officer for the year ended December 31, 2022. The grants were issued from the Issuer's 2021 Equity Incentive Plan. Vesting for each grant is subject to: (a) the Reporting Person being a service provider to the Issuer at the time of vesting and (b) shareholder approval of the applicable grant is received.

F3 · shares: Each RSU or PSU represents a contingent right to receive one share of Issuer's common stock.

F1 · derivative.exercise_date: Each grant represents a one-time bonus grant to Reporting Person for services as an executive officer for the year ended December 31, 2022. The grants were issued from the Issuer's 2021 Equity Incentive Plan. Vesting for each grant is subject to: (a) the Reporting Person being a service provider to the Issuer at the time of vesting and (b) shareholder approval of the applicable grant is received.

F2 · derivative.exercise_date: The applicable grant will vest: with respect to the Restricted Stock Units ("RSUs") and Common Stock Purchase Options ("Options"), in twelve (12) equal quarterly installments over a three-year period from the grant date, and with respect to the Performance Restricted Stock Units ("PSUs"), (i) 50% at such time when the volume weighted average price of the Company's common stock over a twenty (20) consecutive trading day period is at or greater than $3.20, and (ii) 50% at such time when the volume weighted average price of the Company's common stock over a twenty (20) consecutive trading day period is at or greater than $4.25

SEC source: 0001493152-23-003989 · ownership.xml · derivative · entry 1

Finley John David · CIK 0001851034 · Director · CEO, CFO, Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,700

Underlying: Common Stock · 41,700 shares

Expires not disclosed

F1 · security: Each grant represents a one-time bonus grant to Reporting Person for services as an executive officer for the year ended December 31, 2022. The grants were issued from the Issuer's 2021 Equity Incentive Plan. Vesting for each grant is subject to: (a) the Reporting Person being a service provider to the Issuer at the time of vesting and (b) shareholder approval of the applicable grant is received.

F2 · security: The applicable grant will vest: with respect to the Restricted Stock Units ("RSUs") and Common Stock Purchase Options ("Options"), in twelve (12) equal quarterly installments over a three-year period from the grant date, and with respect to the Performance Restricted Stock Units ("PSUs"), (i) 50% at such time when the volume weighted average price of the Company's common stock over a twenty (20) consecutive trading day period is at or greater than $3.20, and (ii) 50% at such time when the volume weighted average price of the Company's common stock over a twenty (20) consecutive trading day period is at or greater than $4.25

F3 · derivative.exercise_price: Each RSU or PSU represents a contingent right to receive one share of Issuer's common stock.

F1 · shares: Each grant represents a one-time bonus grant to Reporting Person for services as an executive officer for the year ended December 31, 2022. The grants were issued from the Issuer's 2021 Equity Incentive Plan. Vesting for each grant is subject to: (a) the Reporting Person being a service provider to the Issuer at the time of vesting and (b) shareholder approval of the applicable grant is received.

F3 · shares: Each RSU or PSU represents a contingent right to receive one share of Issuer's common stock.

F1 · derivative.exercise_date: Each grant represents a one-time bonus grant to Reporting Person for services as an executive officer for the year ended December 31, 2022. The grants were issued from the Issuer's 2021 Equity Incentive Plan. Vesting for each grant is subject to: (a) the Reporting Person being a service provider to the Issuer at the time of vesting and (b) shareholder approval of the applicable grant is received.

F2 · derivative.exercise_date: The applicable grant will vest: with respect to the Restricted Stock Units ("RSUs") and Common Stock Purchase Options ("Options"), in twelve (12) equal quarterly installments over a three-year period from the grant date, and with respect to the Performance Restricted Stock Units ("PSUs"), (i) 50% at such time when the volume weighted average price of the Company's common stock over a twenty (20) consecutive trading day period is at or greater than $3.20, and (ii) 50% at such time when the volume weighted average price of the Company's common stock over a twenty (20) consecutive trading day period is at or greater than $4.25

F4 · derivative.expiration_date: N/A

SEC source: 0001493152-23-000862 · ownership.xml · derivative · entry 1

Finley John David · CIK 0001851034 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,236

Underlying: Common Stock · 5,236 shares

Expires not disclosed

F1 · security: Represents a one-time retention grant to Reporting Person valued at $20,000 on the date of grant based on the closing price of the Issuer's common stock on the date of grant. Provided the Reporting Person is a service provider to the Issuer at the time of vesting, the RSU's will vest in equal quarterly amounts on 4/3/23, 7/3/23, 10/3/23, and 1/3/24.

F2 · security: Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock. The restricted stock units were issued from the Issuer's 2021 Equity Incentive Plan.

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock. The restricted stock units were issued from the Issuer's 2021 Equity Incentive Plan.

F1 · shares: Represents a one-time retention grant to Reporting Person valued at $20,000 on the date of grant based on the closing price of the Issuer's common stock on the date of grant. Provided the Reporting Person is a service provider to the Issuer at the time of vesting, the RSU's will vest in equal quarterly amounts on 4/3/23, 7/3/23, 10/3/23, and 1/3/24.

F2 · shares: Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock. The restricted stock units were issued from the Issuer's 2021 Equity Incentive Plan.

F1 · derivative.exercise_date: Represents a one-time retention grant to Reporting Person valued at $20,000 on the date of grant based on the closing price of the Issuer's common stock on the date of grant. Provided the Reporting Person is a service provider to the Issuer at the time of vesting, the RSU's will vest in equal quarterly amounts on 4/3/23, 7/3/23, 10/3/23, and 1/3/24.

F3 · derivative.expiration_date: N/A

SEC source: 0001493152-22-025023 · ownership.xml · nonDerivative · entry 1

Finley John David · CIK 0001851034 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 148,727.242

F1 · price: Reporting Person purchased 19,481.242 shares of Common Stock of Issuer at prices ranging from $0.1437 to $0.1439 with a weighted average price per share of $0.1437 on September 1 2022. The reporting person agrees to provide full information regarding the number of shares purchased at each separate price paid if requested by the SEC staff, the Issuer, or a security holder of the Issuer

SEC source: 0001493152-22-024082 · ownership.xml · nonDerivative · entry 1

Finley John David · CIK 0001851034 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 129,246

F1 · kind: Reporting Person purchased 7,350 shares of Common Stock of Issuer at a price per share of $0.16 on August 23, 2022.

SEC source: 0001493152-22-023511 · ownership.xml · derivative · entry 3

Hallam Thomas · CIK 0001850921 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2027-08-16

F3 · kind: Represents Series 2 Common Stock Purchase Warrants received as part of the Units purchased by Reporting Person. The Series 2 Warrants are exercisable upon receipt of stockholder approval per Nasdaq rules, which has not been obtained as of the date of this Form 4.

F3 · derivative.exercise_date: Represents Series 2 Common Stock Purchase Warrants received as part of the Units purchased by Reporting Person. The Series 2 Warrants are exercisable upon receipt of stockholder approval per Nasdaq rules, which has not been obtained as of the date of this Form 4.

SEC source: 0001493152-22-023511 · ownership.xml · derivative · entry 2

Hallam Thomas · CIK 0001850921 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2023-08-16

F2 · kind: Represents Series 1 Common Stock Purchase Warrants received as part of the Units purchased by Reporting Person. The Series 1 Warrants are exercisable upon receipt of stockholder approval per Nasdaq rules, which has not been obtained as of the date of this Form 4.

F2 · derivative.exercise_date: Represents Series 1 Common Stock Purchase Warrants received as part of the Units purchased by Reporting Person. The Series 1 Warrants are exercisable upon receipt of stockholder approval per Nasdaq rules, which has not been obtained as of the date of this Form 4.

SEC source: 0001493152-22-023511 · ownership.xml · nonDerivative · entry 1

Hallam Thomas · CIK 0001850921 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,592

F1 · kind: Represents common shares underlying 40,000 Units of Issuer purchased by Reporting Person ("Units") in Underwritten Offering with each Unit containing (i) one share of common stock, (ii) one Series 1 Warrant and (iii) One Series 2 Warrant at a price per Unit of $0.25.

SEC source: 0001493152-22-023510 · ownership.xml · derivative · entry 4

Finley John David · CIK 0001851034 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2027-08-16

F4 · kind: Represents Series 2 Common Stock Purchase Warrants received as part of the Units purchased by Reporting Person. The Series 2 Warrants are exercisable upon receipt of stockholder approval per Nasdaq rules, which has not been obtained as of the date of this Form 4.

F4 · derivative.exercise_date: Represents Series 2 Common Stock Purchase Warrants received as part of the Units purchased by Reporting Person. The Series 2 Warrants are exercisable upon receipt of stockholder approval per Nasdaq rules, which has not been obtained as of the date of this Form 4.

SEC source: 0001493152-22-023510 · ownership.xml · derivative · entry 3

Finley John David · CIK 0001851034 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2023-08-16

F3 · kind: Represents Series 1 Common Stock Purchase Warrants received as part of the Units purchased by Reporting Person. The Series 1 Warrants are exercisable upon receipt of stockholder approval per Nasdaq rules, which has not been obtained as of the date of this Form 4.

F3 · derivative.exercise_date: Represents Series 1 Common Stock Purchase Warrants received as part of the Units purchased by Reporting Person. The Series 1 Warrants are exercisable upon receipt of stockholder approval per Nasdaq rules, which has not been obtained as of the date of this Form 4.

SEC source: 0001493152-22-023510 · ownership.xml · nonDerivative · entry 1

Finley John David · CIK 0001851034 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,896

F1 · kind: Represents common shares underlying 100,000 Units of Issuer purchased by Reporting Person ("Units") in Underwritten Offering with each Unit containing (i) one share of common stock, (ii) one Series 1 Warrant and (iii) One Series 2 Warrant at a price per Unit of $0.25.

SEC source: 0001209191-22-026450 · doc4.xml · nonDerivative · entry 1

Finley John David · CIK 0001851034 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By FCW Investments LLC

Disclosed balance after: 38,867

F1 · kind: Represents a distribution of partnership assets (shares of Palisade Bio, Inc. common stock) made by LBS Investors LP to its partners in connection with the partnership's dissolution. No additional payment is being made by any of the partners in connection with the distribution.

F1 · price: Represents a distribution of partnership assets (shares of Palisade Bio, Inc. common stock) made by LBS Investors LP to its partners in connection with the partnership's dissolution. No additional payment is being made by any of the partners in connection with the distribution.

F2 · ownership.nature: The Reporting Person is the managing member of FCW Investments LLC and has sole investment and voting power over the securities held by this entity.

SEC source: 0001209191-22-021681 · doc4.xml · nonDerivative · entry 1

Dawson Michael John · CIK 0001849790 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

SEC source: 0001209191-22-021405 · doc4.xml · nonDerivative · entry 1

Hallam Thomas · CIK 0001850921 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,592

SEC source: 0001209191-22-021051 · doc4.xml · nonDerivative · entry 1

Finley John David · CIK 0001851034 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,896

SEC source: 0001209191-22-011856 · doc4.xml · derivative · entry 1

Hallam Thomas · CIK 0001850921 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 156,600

Underlying: Common Stock · 156,600 shares

Expires 2032-02-16

F1 · derivative.exercise_date: 1/12th of the shares underlying the Stock Option shall vest and become exercisable on each three-month anniversary of the vesting commencement date and if there is no corresponding day, the last day of the month.

SEC source: 0001209191-22-011855 · doc4.xml · derivative · entry 1

Finley John David · CIK 0001851034 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,800

Underlying: Common Stock · 64,800 shares

Expires 2032-02-16

F1 · derivative.exercise_date: 1/12th of the shares underlying the Stock Option shall vest and become exercisable on each three-month anniversary of the vesting commencement date and if there is no corresponding day, the last day of the month.

SEC source: 0001209191-22-011853 · doc4.xml · derivative · entry 1

Dawson Michael John · CIK 0001849790 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,400

Underlying: Common Stock · 32,400 shares

Expires 2032-02-16

F1 · derivative.exercise_date: 1/12th of the shares underlying the Stock Option shall vest and become exercisable on each three-month anniversary of the vesting commencement date and if there is no corresponding day, the last day of the month.

SEC source: 0001209191-22-008586 · doc4.xml · derivative · entry 1

Trenschel Robert J. · CIK 0001849917 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,340

Underlying: Common Stock · 48,340 shares

Expires 2032-11-17

F1 · derivative.exercise_date: 25% of the shares of Common Stock subject to the Option shall vest on each quarterly anniversary of the grant date over a one-year period.

SEC source: 0001209191-22-008592 · doc4.xml · derivative · entry 1

Hallam Thomas · CIK 0001850921 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 267,868

Underlying: Common Stock · 267,868 shares

Expires 2031-11-17

F1 · derivative.exercise_date: 1/12th of the shares underlying the Stock Option shall vest and become exercisable on each three-month anniversary of the vesting commencement date and if there is no corresponding day, the last day of the month.

SEC source: 0001209191-22-008594 · doc4.xml · derivative · entry 1

Finley John David · CIK 0001851034 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 178,091

Underlying: Common Stock · 178,091 shares

Expires 2031-11-17

F1 · derivative.exercise_date: 1/12th of the shares underlying the Stock Option shall vest and become exercisable on each three-month anniversary of the vesting commencement date and if there is no corresponding day, the last day of the month.

SEC source: 0001209191-22-008571 · doc4.xml · derivative · entry 1

Diaz Stephanie · CIK 0001850265 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,340

Underlying: Common Stock · 48,340 shares

Expires 2032-11-17

F1 · derivative.exercise_date: 25% of the shares of Common Stock subject to the Option shall vest on each quarterly anniversary of the grant date over a one-year period.

SEC source: 0001209191-22-008596 · doc4.xml · derivative · entry 1

Dawson Michael John · CIK 0001849790 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,294

Underlying: Common Stock · 39,294 shares

Expires 2031-11-17

F1 · derivative.exercise_date: 1/12th of the shares underlying the Stock Option shall vest and become exercisable on each three-month anniversary of the vesting commencement date and if there is no corresponding day, the last day of the month.

SEC source: 0001209191-22-008581 · doc4.xml · derivative · entry 1

Williams Donald Allen · CIK 0001620013 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,340

Underlying: Common Stock · 48,340 shares

Expires 2032-11-17

F1 · derivative.exercise_date: 25% of the shares of Common Stock subject to the Option shall vest on each quarterly anniversary of the grant date over a one-year period.

SEC source: 0001209191-22-008575 · doc4.xml · derivative · entry 1

Neal James R · CIK 0001600865 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,340

Underlying: Common Stock · 48,340 shares

Expires 2032-11-17

F1 · derivative.exercise_date: 25% of the shares of Common Stock subject to the Option shall vest on each quarterly anniversary of the grant date over a one-year period.

SEC source: 0001209191-22-008569 · doc4.xml · derivative · entry 1

Wei Binxian · CIK 0001773586 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,340

Underlying: Common Stock · 48,340 shares

Expires 2032-11-17

F1 · derivative.exercise_date: 25% of the shares of Common Stock subject to the Option shall vest on each quarterly anniversary of the grant date over a one-year period.

SEC source: 0001209191-22-008562 · doc4.xml · derivative · entry 1

GRAY MARY ANN · CIK 0001261974 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,340

Underlying: Common Stock · 48,340 shares

Expires 2032-11-17

F1 · derivative.exercise_date: 25% of the shares of Common Stock subject to the Option shall vest on each quarterly anniversary of the grant date over a one-year period.

SEC source: 0001209191-22-008565 · doc4.xml · derivative · entry 1

Csimma Cristina · CIK 0001501623 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,340

Underlying: Common Stock · 48,340 shares

Expires 2032-11-17

F1 · derivative.exercise_date: 25% of the shares of Common Stock subject to the Option shall vest on each quarterly anniversary of the grant date over a one-year period.

SEC source: 0001209191-21-057318 · doc4.xml · nonDerivative · entry 1

Hallam Thomas · CIK 0001850921 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,592

SEC source: 0001209191-21-057319 · doc4.xml · nonDerivative · entry 1

Finley John David · CIK 0001851034 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,396

SEC source: 0001209191-21-055729 · doc4.xml · nonDerivative · entry 5

Trenschel Robert J. · CIK 0001849917 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,999

SEC source: 0001209191-21-055729 · doc4.xml · nonDerivative · entry 4

Trenschel Robert J. · CIK 0001849917 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,857