PALI

SEC source: 0001209191-21-029066 · doc4.xml · derivative · entry 5

Dawson Michael John · CIK 0001849790 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,800

Underlying: Common Stock · 2,800 shares

Expires 2030-02-19

F8 · price: Received in the Merger in exchange for a stock option to acquire 103,000 shares of LBS common stock for $0.73 per share.

F1 · derivative.exercise_date: The stock option vested in four equal quarterly installments from the vesting commencement date.

SEC source: 0001209191-21-029066 · doc4.xml · derivative · entry 4

Dawson Michael John · CIK 0001849790 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,962

Underlying: Common Stock · 1,962 shares

Expires 2029-03-22

F7 · price: Received in the Merger in exchange for a stock option to acquire 72,200 shares of LBS common stock for $1.12 per share.

F1 · derivative.exercise_date: The stock option vested in four equal quarterly installments from the vesting commencement date.

SEC source: 0001209191-21-029066 · doc4.xml · derivative · entry 3

Dawson Michael John · CIK 0001849790 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,084

Underlying: Common Stock · 5,084 shares

Expires 2029-03-22

F6 · price: Received in the Merger in exchange for a stock option to acquire 187,000 shares of LBS common stock for $1.12 per share.

F5 · derivative.exercise_date: The stock option vests according to the following schedule: 33% of the shares underlying the option vests on grant date and the remaining 67% vests in eight equal quarterly installments thereafter beginning on March 31, 2019.

SEC source: 0001209191-21-029066 · doc4.xml · derivative · entry 2

Dawson Michael John · CIK 0001849790 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,391

Underlying: Common Stock · 20,391 shares

Expires 2028-07-24

F4 · price: Received in the Merger in exchange for a stock option to acquire 750,000 shares of LBS common stock for $1.45 per share.

F3 · derivative.exercise_date: The stock option vests according to the following schedule: 17% of the shares underlying the option vests on grant date and the remaining 83% vests in 10 quarterly installments thereafter beginning on September 30, 2018.

SEC source: 0001209191-21-029066 · doc4.xml · derivative · entry 1

Dawson Michael John · CIK 0001849790 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,438

Underlying: Common Stock · 5,438 shares

Expires 2027-02-10

F2 · price: Received in exchange for a stock option to acquire 200,000 shares of common stock of Leading BioSciences, Inc. ("LBS") for $0.75 per share, pursuant to the Agreement and Plan of Merger, dated December 16, 2020, among Seneca Biopharma Inc., Townsgate Acquisition Sub 1, Inc. and LBS (the "Merger"). Per the terms of the Merger, each share of LBS's common stock was converted into the right to receive 0.02719 shares of Seneca's common stock. In the Merger, the name of the Issuer was changed from Seneca Biopharma, Inc. to Palisade Bio, Inc.

F1 · derivative.exercise_date: The stock option vested in four equal quarterly installments from the vesting commencement date.

SEC source: 0001209191-21-029078 · doc4.xml · derivative · entry 6

Neal James R · CIK 0001600865 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,406

Underlying: Common Stock · 4,406 shares

Expires 2030-07-10

F12 · price: Received in the Merger in exchange for a stock option to acquire 162,069 shares of LBS common stock for $0.73 per share.

F11 · derivative.exercise_date: The stock option vests according to the following schedule: 25% of the shares underlying the option vests on the grant date and the remaining 75% vested in three equal quarterly installments thereafter beginning on September 30, 2020.

SEC source: 0001209191-21-029078 · doc4.xml · derivative · entry 5

Neal James R · CIK 0001600865 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,298

Underlying: Common Stock · 1,298 shares

Expires 2029-06-19

F10 · price: Received in the Merger in exchange for a stock option to acquire 47,758 shares of LBS common stock for $1.12 per share.

F9 · derivative.exercise_date: The stock option is fully vested.

SEC source: 0001209191-21-029078 · doc4.xml · derivative · entry 4

Neal James R · CIK 0001600865 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,091

Underlying: Common Stock · 5,091 shares

Expires 2029-04-25

F8 · price: Received in the Merger in exchange for a stock option to acquire 187,250 shares of LBS common stock for $1.12 per share.

F7 · derivative.exercise_date: The stock option vested according to the following schedule: 25% of the shares underlying the option vested on the grant date and the remaining 75% vested in three equal quarterly installments thereafter beginning on June 30, 2019.

SEC source: 0001209191-21-029078 · doc4.xml · derivative · entry 3

Neal James R · CIK 0001600865 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,359

Underlying: Common Stock · 1,359 shares

Expires 2028-07-24

F6 · price: Received in the Merger in exchange for a stock option to acquire 50,000 shares of LBS common stock for $1.45 per share.

F5 · derivative.exercise_date: The stock option vested according to the following schedule: 50% of the shares underlying the option vested on the grant date and the remaining 50% vested in two equal quarterly installments thereafter beginning on September 30, 2018.

SEC source: 0001209191-21-029078 · doc4.xml · derivative · entry 2

Neal James R · CIK 0001600865 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,398

Underlying: Common Stock · 3,398 shares

Expires 2028-04-05

F4 · price: Received in the Merger in exchange for a stock option to acquire 125,000 shares of LBS common stock for $1.45 per share.

F3 · derivative.exercise_date: The stock option vested according to the following schedule: 25% of the shares underlying the option vested on the grant date and the remaining 75% vested in three equal quarterly installments thereafter beginning on June 30, 2018.

SEC source: 0001209191-21-029078 · doc4.xml · derivative · entry 1

Neal James R · CIK 0001600865 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 849

Underlying: Common Stock · 849 shares

Expires 2027-11-10

F2 · price: Received in exchange for a stock option to acquire 31,250 shares of common stock of Leading BioSciences, Inc. ("LBS") for $0.75 per share, pursuant to the Agreement and Plan of Merger, dated December 16, 2020, among Seneca Biopharma Inc., Townsgate Acquisition Sub 1, Inc. and LBS (the "Merger"). Per the terms of the Merger, each share of LBS's common stock was converted into the right to receive 0.02719 shares of Seneca's common stock. In the Merger, the name of the Issuer was changed from Seneca Biopharma, Inc. to Palisade Bio, Inc.

F1 · derivative.exercise_date: The stock option vested in four equal quarterly installments from the vesting commencement date.

SEC source: 0001171843-21-002778 · ownership.xml · derivative · entry 1

Mazzo David J · CIK 0001334549 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,000

Underlying: Common Stock · 6,000 shares

Expires not disclosed

F1 · security: Represents partial compensation for services as a director of the Issuer for the board year commencing on April 1, 2021 and ending March 31, 2022. 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 6/30/21, 9/30/21, 12/31/21, and 3/31/22.

F2 · security: Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.

F1 · shares: Represents partial compensation for services as a director of the Issuer for the board year commencing on April 1, 2021 and ending March 31, 2022. 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 6/30/21, 9/30/21, 12/31/21, and 3/31/22.

F2 · shares: Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.

F1 · derivative.exercise_date: Represents partial compensation for services as a director of the Issuer for the board year commencing on April 1, 2021 and ending March 31, 2022. 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 6/30/21, 9/30/21, 12/31/21, and 3/31/22.

F1 · derivative.expiration_date: Represents partial compensation for services as a director of the Issuer for the board year commencing on April 1, 2021 and ending March 31, 2022. 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 6/30/21, 9/30/21, 12/31/21, and 3/31/22.

SEC source: 0001171843-21-002777 · ownership.xml · derivative · entry 1

GRAY MARY ANN · CIK 0001261974 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,000

Underlying: Common Stock · 6,000 shares

Expires not disclosed

F1 · security: Represents partial compensation for services as a director of the Issuer for the board year commencing on April 1, 2021 and ending March 31, 2022. 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 6/30/21, 9/30/21, 12/31/21, and 3/31/22.

F2 · security: Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.

F1 · shares: Represents partial compensation for services as a director of the Issuer for the board year commencing on April 1, 2021 and ending March 31, 2022. 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 6/30/21, 9/30/21, 12/31/21, and 3/31/22.

F2 · shares: Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.

F1 · derivative.exercise_date: Represents partial compensation for services as a director of the Issuer for the board year commencing on April 1, 2021 and ending March 31, 2022. 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 6/30/21, 9/30/21, 12/31/21, and 3/31/22.

F1 · derivative.expiration_date: Represents partial compensation for services as a director of the Issuer for the board year commencing on April 1, 2021 and ending March 31, 2022. 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 6/30/21, 9/30/21, 12/31/21, and 3/31/22.

SEC source: 0001171843-21-002776 · ownership.xml · derivative · entry 1

Csimma Cristina · CIK 0001501623 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,000

Underlying: Common Stock · 6,000 shares

Expires not disclosed

F1 · security: Represents partial compensation for services as a director of the Issuer for the board year commencing on April 1, 2021 and ending March 31, 2022. 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 6/30/21, 9/30/21, 12/31/21, and 3/31/22.

F2 · security: Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.

F1 · shares: Represents partial compensation for services as a director of the Issuer for the board year commencing on April 1, 2021 and ending March 31, 2022. 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 6/30/21, 9/30/21, 12/31/21, and 3/31/22.

F2 · shares: Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.

F1 · derivative.exercise_date: Represents partial compensation for services as a director of the Issuer for the board year commencing on April 1, 2021 and ending March 31, 2022. 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 6/30/21, 9/30/21, 12/31/21, and 3/31/22.

F1 · derivative.expiration_date: Represents partial compensation for services as a director of the Issuer for the board year commencing on April 1, 2021 and ending March 31, 2022. 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 6/30/21, 9/30/21, 12/31/21, and 3/31/22.

SEC source: 0001171843-21-002775 · ownership.xml · derivative · entry 1

Wei Binxian · CIK 0001773586 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,000

Underlying: Common Stock · 6,000 shares

Expires not disclosed

F1 · security: Represents partial compensation for services as a director of the Issuer for the board year commencing on April 1, 2021 and ending March 31, 2022. 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 6/30/21, 9/30/21, 12/31/21, and 3/31/22.

F2 · security: Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.

F1 · shares: Represents partial compensation for services as a director of the Issuer for the board year commencing on April 1, 2021 and ending March 31, 2022. 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 6/30/21, 9/30/21, 12/31/21, and 3/31/22.

F2 · shares: Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.

F1 · derivative.exercise_date: Represents partial compensation for services as a director of the Issuer for the board year commencing on April 1, 2021 and ending March 31, 2022. 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 6/30/21, 9/30/21, 12/31/21, and 3/31/22.

F1 · derivative.expiration_date: Represents partial compensation for services as a director of the Issuer for the board year commencing on April 1, 2021 and ending March 31, 2022. 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 6/30/21, 9/30/21, 12/31/21, and 3/31/22.

SEC source: 0001171843-20-002464 · ownership.xml · derivative · entry 1

Csimma Cristina · CIK 0001501623 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,000

Underlying: Common Stock · 6,000 shares

Expires not disclosed

F1 · security: Represents partial compensation for services as a director of the Issuer for the board year commencing on April 1, 2020 and ending March 31, 2021. 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 6/30/20, 9/30/20, 12/31/20, and 3/31/21.

F2 · security: Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.

F1 · shares: Represents partial compensation for services as a director of the Issuer for the board year commencing on April 1, 2020 and ending March 31, 2021. 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 6/30/20, 9/30/20, 12/31/20, and 3/31/21.

F2 · shares: Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.

F1 · derivative.exercise_date: Represents partial compensation for services as a director of the Issuer for the board year commencing on April 1, 2020 and ending March 31, 2021. 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 6/30/20, 9/30/20, 12/31/20, and 3/31/21.

F3 · derivative.expiration_date: N/A

SEC source: 0001171843-20-002465 · ownership.xml · derivative · entry 1

Wei Binxian · CIK 0001773586 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,000

Underlying: Common Stock · 6,000 shares

Expires not disclosed

F1 · security: Represents partial compensation for services as a director of the Issuer for the board year commencing on April 1, 2020 and ending March 31, 2021. 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 6/30/20, 9/30/20, 12/31/20, and 3/31/21.

F2 · security: Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.

F1 · shares: Represents partial compensation for services as a director of the Issuer for the board year commencing on April 1, 2020 and ending March 31, 2021. 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 6/30/20, 9/30/20, 12/31/20, and 3/31/21.

F2 · shares: Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.

F1 · derivative.exercise_date: Represents partial compensation for services as a director of the Issuer for the board year commencing on April 1, 2020 and ending March 31, 2021. 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 6/30/20, 9/30/20, 12/31/20, and 3/31/21.

F3 · derivative.expiration_date: N/A

SEC source: 0001171843-20-002463 · ownership.xml · derivative · entry 1

GRAY MARY ANN · CIK 0001261974 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,000

Underlying: Common Stock · 6,000 shares

Expires not disclosed

F1 · security: Represents partial compensation for services as a director of the Issuer for the board year commencing on April 1, 2020 and ending March 31, 2021. 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 6/30/20, 9/30/20, 12/31/20, and 3/31/21.

F2 · security: Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.

F1 · shares: Represents partial compensation for services as a director of the Issuer for the board year commencing on April 1, 2020 and ending March 31, 2021. 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 6/30/20, 9/30/20, 12/31/20, and 3/31/21.

F2 · shares: Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.

F1 · derivative.exercise_date: Represents partial compensation for services as a director of the Issuer for the board year commencing on April 1, 2020 and ending March 31, 2021. 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 6/30/20, 9/30/20, 12/31/20, and 3/31/21.

F3 · derivative.expiration_date: N/A

SEC source: 0001171843-20-002462 · ownership.xml · derivative · entry 1

Mazzo David J · CIK 0001334549 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,000

Underlying: Common Stock · 6,000 shares

Expires not disclosed

F1 · security: Represents partial compensation for services as a director of the Issuer for the board year commencing on April 1, 2020 and ending March 31, 2021. 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 6/30/20, 9/30/20, 12/31/20, and 3/31/21.

F2 · security: Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.

F1 · shares: Represents partial compensation for services as a director of the Issuer for the board year commencing on April 1, 2020 and ending March 31, 2021. 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 6/30/20, 9/30/20, 12/31/20, and 3/31/21.

F2 · shares: Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.

F1 · derivative.exercise_date: Represents partial compensation for services as a director of the Issuer for the board year commencing on April 1, 2020 and ending March 31, 2021. 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 6/30/20, 9/30/20, 12/31/20, and 3/31/21.

F3 · derivative.expiration_date: N/A

SEC source: 0001171843-19-004419 · ownership.xml · nonDerivative · entry 1

SMITH SANDFORD D · CIK 0001243004 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 219,916

F1 · security: The shares represented are restricted stock grants pursuant to 50% of compensatory Annual Grant for director services equal to $50,0000. The shares vest quarterly on 9/30/19, 12/31/19, 3/31/20, and 6/30/2020.

SEC source: 0001171843-19-004417 · ownership.xml · derivative · entry 1

OGILVIE SCOTT VARDE · CIK 0001379413 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 187,510

Underlying: Common Stock · 187,510 shares

Expires 2029-07-01

F1 · security: Represents 50% of compensatory Annual Grant for director services equal to $50,000. The options vest quarterly on 9/30/19, 12/31/19, 3/31/20, and 6/30/20.

F1 · derivative.exercise_date: Represents 50% of compensatory Annual Grant for director services equal to $50,000. The options vest quarterly on 9/30/19, 12/31/19, 3/31/20, and 6/30/20.

SEC source: 0001171843-19-004418 · ownership.xml · derivative · entry 1

OLDAKER WILLIAM CLYDE · CIK 0001397571 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 187,510

Underlying: Common Stock · 187,510 shares

Expires 2029-07-01

F1 · security: Represents 50% of compensatory Annual Grant for director services equal to $50,000. The options vest quarterly on 9/30/19, 12/31/19, 3/31/20, and 6/30/20.

F1 · derivative.exercise_date: Represents 50% of compensatory Annual Grant for director services equal to $50,000. The options vest quarterly on 9/30/19, 12/31/19, 3/31/20, and 6/30/20.

SEC source: 0001171843-19-004416 · ownership.xml · derivative · entry 1

Mazzo David J · CIK 0001334549 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 187,510

Underlying: Common Stock · 187,510 shares

Expires 2029-07-01

F1 · security: Represents 50% of compensatory Annual Grant for director services equal to $50,000. The options vest quarterly on 9/30/19, 12/31/19, 3/31/20, and 6/30/20.

F1 · derivative.exercise_date: Represents 50% of compensatory Annual Grant for director services equal to $50,000. The options vest quarterly on 9/30/19, 12/31/19, 3/31/20, and 6/30/20.

SEC source: 0001171843-19-004415 · ownership.xml · derivative · entry 1

Csimma Cristina · CIK 0001501623 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 187,510

Underlying: Common Stock · 187,510 shares

Expires 2029-07-01

F1 · security: Represents 50% of compensatory Annual Grant for director services equal to $50,000. The options vest quarterly on 9/30/19, 12/31/19, 3/31/20, and 6/30/20.

F1 · derivative.exercise_date: Represents 50% of compensatory Annual Grant for director services equal to $50,000. The options vest quarterly on 9/30/19, 12/31/19, 3/31/20, and 6/30/20.

SEC source: 0001171843-19-006480 · ownership.xml · derivative · entry 1

OGILVIE SCOTT VARDE · CIK 0001379413 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,106

Underlying: Common Stock · 10,106 shares

Expires 2029-07-01

F1 · security: Represents 50% of compensatory Annual Grant for director services equal to $50,000. The options vest quarterly on 9/30/19, 12/31/19, 3/31/20, and 6/30/20.

F3 · security: This amendment is being filed to correct a scrivener's error with regard to the option amount previously reported.

F2 · derivative.exercise_price: All exercise prices and share amounts reported in this Form 4/A reflect a 1-for-20 reverse split that occurred on July 17, 2019.

F2 · shares: All exercise prices and share amounts reported in this Form 4/A reflect a 1-for-20 reverse split that occurred on July 17, 2019.

F3 · shares: This amendment is being filed to correct a scrivener's error with regard to the option amount previously reported.

F1 · derivative.exercise_date: Represents 50% of compensatory Annual Grant for director services equal to $50,000. The options vest quarterly on 9/30/19, 12/31/19, 3/31/20, and 6/30/20.

SEC source: 0001171843-19-006481 · ownership.xml · derivative · entry 1

Csimma Cristina · CIK 0001501623 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,106

Underlying: Common Stock · 10,106 shares

Expires 2029-07-01

F1 · security: Represents 50% of compensatory Annual Grant for director services equal to $50,000. The options vest quarterly on 9/30/19, 12/31/19, 3/31/20, and 6/30/20.

F3 · security: This amendment is being filed to correct a scrivener's error with regard to the option amount previously reported.

F2 · derivative.exercise_price: All exercise prices and share amounts reported in this Form 4/A reflect a 1-for-20 reverse split that occurred on July 17, 2019.

F2 · shares: All exercise prices and share amounts reported in this Form 4/A reflect a 1-for-20 reverse split that occurred on July 17, 2019.

F3 · shares: This amendment is being filed to correct a scrivener's error with regard to the option amount previously reported.

F1 · derivative.exercise_date: Represents 50% of compensatory Annual Grant for director services equal to $50,000. The options vest quarterly on 9/30/19, 12/31/19, 3/31/20, and 6/30/20.

SEC source: 0001171843-19-006482 · ownership.xml · derivative · entry 1

Mazzo David J · CIK 0001334549 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,106

Underlying: Common Stock · 10,106 shares

Expires 2029-07-01

F1 · security: Represents 50% of compensatory Annual Grant for director services equal to $50,000. The options vest quarterly on 9/30/19, 12/31/19, 3/31/20, and 6/30/20.

F3 · security: This amendment is being filed to correct a scrivener's error with regard to the option amount previously reported.

F2 · derivative.exercise_price: All exercise prices and share amounts reported in this Form 4/A reflect a 1-for-20 reverse split that occurred on July 17, 2019.

F2 · shares: All exercise prices and share amounts reported in this Form 4/A reflect a 1-for-20 reverse split that occurred on July 17, 2019.

F3 · shares: This amendment is being filed to correct a scrivener's error with regard to the option amount previously reported.

F1 · derivative.exercise_date: Represents 50% of compensatory Annual Grant for director services equal to $50,000. The options vest quarterly on 9/30/19, 12/31/19, 3/31/20, and 6/30/20.

SEC source: 0001171843-18-005068 · formfour.xml · derivative · entry 1

WESTREICH STANLEY · CIK 0001238046 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,660

Underlying: Common Stock · 59,660 shares

Expires 2028-07-02

F1 · security: Represents 50% of compensatory Annual Grant for director services of $100,000. The options vest quarterly on 9/30/18, 12/31/18, 3/31/19, and 6/30/19.

F1 · derivative.exercise_date: Represents 50% of compensatory Annual Grant for director services of $100,000. The options vest quarterly on 9/30/18, 12/31/18, 3/31/19, and 6/30/19.

SEC source: 0001171843-18-005067 · formfour.xml · derivative · entry 1

Csimma Cristina · CIK 0001501623 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,660

Underlying: Common Stock · 59,660 shares

Expires 2028-07-02

F1 · security: Represents 50% of compensatory Annual Grant for director services of $100,000. The options vest quarterly on 9/30/18, 12/31/18, 3/31/19, and 6/30/19.

F1 · derivative.exercise_date: Represents 50% of compensatory Annual Grant for director services of $100,000. The options vest quarterly on 9/30/18, 12/31/18, 3/31/19, and 6/30/19.

SEC source: 0001171843-18-005065 · formfour.xml · derivative · entry 1

OGILVIE SCOTT VARDE · CIK 0001379413 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,660

Underlying: Common Stock · 59,660 shares

Expires 2028-07-02

F1 · security: Represents 50% of compensatory Annual Grant for director services of $100,000. The options vest quarterly on 9/30/18, 12/31/18, 3/31/19, and 6/30/19.

F1 · derivative.exercise_date: Represents 50% of compensatory Annual Grant for director services of $100,000. The options vest quarterly on 9/30/18, 12/31/18, 3/31/19, and 6/30/19.

SEC source: 0001171843-18-005064 · formfour.xml · derivative · entry 1

OLDAKER WILLIAM CLYDE · CIK 0001397571 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,660

Underlying: Common Stock · 59,660 shares

Expires 2028-07-02

F1 · security: Represents 50% of compensatory Annual Grant for director services of $100,000. The options vest quarterly on 9/30/18, 12/31/18, 3/31/19, and 6/30/19.

F1 · derivative.exercise_date: Represents 50% of compensatory Annual Grant for director services of $100,000. The options vest quarterly on 9/30/18, 12/31/18, 3/31/19, and 6/30/19.

SEC source: 0001171843-18-005063 · formfour.xml · nonDerivative · entry 1

SMITH SANDFORD D · CIK 0001243004 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,899

F1 · security: The shares represented are restricted stock grants pursuant to 50% of compensatory Annual Grant for director services of $100,000. The shares vest quarterly on 9/30/18, 12/31/18, 3/31/19, and 6/30/2019.

SEC source: 0001171843-17-006832 · formfour.xml · derivative · entry 1

Daly Richard J · CIK 0001635393 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2027-11-07

F1 · security: Represents a discretionary grant to Employee. The options vest quarterly on 2/718, 5/7/18, 8/7/18, and 11/7/18.

SEC source: 0001171843-17-004171 · formfour.xml · nonDerivative · entry 1

WESTREICH STANLEY · CIK 0001238046 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 143,281

F1 · security: The shares represented are restricted stock grants pursuant to compensatory Annual Grant for director services of $100,000. The shares vest quarterly on 9/30/17, 12/31/17, 3/31/18, and 6/30/2018.

SEC source: 0001171843-17-004170 · formfour.xml · derivative · entry 1

SMITH SANDFORD D · CIK 0001243004 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,311

Underlying: Common Stock · 9,311 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.

F2 · shares: Represents 50% of compensatory Annual Grant for director services of $100,000. The RSU's vest quarterly on 9/30/17, 12/31/17, 3/31/18, and 6/30/18.

F2 · derivative.exercise_date: Represents 50% of compensatory Annual Grant for director services of $100,000. The RSU's vest quarterly on 9/30/17, 12/31/17, 3/31/18, and 6/30/18.

F2 · derivative.expiration_date: Represents 50% of compensatory Annual Grant for director services of $100,000. The RSU's vest quarterly on 9/30/17, 12/31/17, 3/31/18, and 6/30/18.

SEC source: 0001171843-17-004169 · formfour.xml · nonDerivative · entry 1

OLDAKER WILLIAM CLYDE · CIK 0001397571 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,763

F1 · security: The shares represented are restricted stock grants pursuant to compensatory Annual Grant for director services of $100,000. The shares vest quarterly on 9/30/17, 12/31/17, 3/31/18, and 6/30/2018.

SEC source: 0001171843-17-004168 · formfour.xml · derivative · entry 1

OGILVIE SCOTT VARDE · CIK 0001379413 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,574

Underlying: Common Stock · 13,574 shares

Expires 2027-07-14

F1 · security: Represents 50% of compensatory Annual Grant for director services of $100,000. The options vest quarterly on 9/30/17, 12/31/17, 3/31/18, and 6/30/18.

F1 · derivative.exercise_date: Represents 50% of compensatory Annual Grant for director services of $100,000. The options vest quarterly on 9/30/17, 12/31/17, 3/31/18, and 6/30/18.

SEC source: 0001171843-17-003169 · formfour.xml · nonDerivative · entry 1

Daly Richard J · CIK 0001635393 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,312

F1 · security: Reporting person, Richard Daly, purchased 7,500 shares of common stock in a private transaction directly from the issuer on May 17, 2017.

SEC source: 0001171843-17-002114 · f4_westreich041317.xml · derivative · entry 1

WESTREICH STANLEY · CIK 0001238046 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,408

Underlying: Common Stock · 33,408 shares

Expires 2024-04-11

F1 · security: On April 11, 2017, Neuralstem issued a conditional grant to reporting person for services rendered as a director for the 2016 fiscal board year. The grant is 100% vested on the grant date and is being made on a conditional basis pursuant to NASDAQ market rules and will not be exercisable and will be subject to forfeiture if applicable shareholder approval is not received.

F1 · derivative.exercise_date: On April 11, 2017, Neuralstem issued a conditional grant to reporting person for services rendered as a director for the 2016 fiscal board year. The grant is 100% vested on the grant date and is being made on a conditional basis pursuant to NASDAQ market rules and will not be exercisable and will be subject to forfeiture if applicable shareholder approval is not received.

SEC source: 0001171843-17-001771 · formfour.xml · nonDerivative · entry 1

LLOYD JONES JONATHAN BRIAN · CIK 0001567657 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,859

F1 · security: Reporting person, Jonathan Lloyd Jones, purchased 5,455 shares of common stock in a private transaction directly from the issuer.

SEC source: 0001171843-17-001161 · form4.xml · nonDerivative · entry 1

Daly Richard J · CIK 0001635393 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,812

F1 · security: Reporting person, Richard Daly, purchased 2,591 shares of common stock in a private transaction directly from the issuer.

SEC source: 0001171843-17-000498 · form4daly.xml · nonDerivative · entry 1

Daly Richard J · CIK 0001635393 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,221

F1 · security: Reporting person, Richard Daly, purchased 2,841 shares of common stock in a private transaction directly from the issuer.

SEC source: 0001171843-16-013813 · formfour.xml · nonDerivative · entry 1

Daly Richard J · CIK 0001635393 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 134,939

F1 · security: Reporting person, Richard Daly, purchased 32,259 shares of common stock in a private transaction directly from the issuer.

SEC source: 0001171843-16-013393 · formfour.xml · nonDerivative · entry 1

Daly Richard J · CIK 0001635393 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,680

F1 · security: Reporting person, Richard Daly, purchased 35,715 shares of common stock in a private transaction directly from the issuer.

SEC source: 0001171843-16-012678 · formfour.xml · nonDerivative · entry 1

Daly Richard J · CIK 0001635393 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,965

F1 · security: Reporting person, Richard Daly, purchased 35,715 shares of common stock in a private transaction directly from the issuer.

SEC source: 0001171843-16-012275 · formfour.xml · nonDerivative · entry 1

LLOYD JONES JONATHAN BRIAN · CIK 0001567657 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,250

F1 · security: Reporting person, Jonathan Lloyd Jones, purchased 31,250 shares of common stock in a private transaction directly from the issuer.

SEC source: 0001171843-16-012274 · f4_092616daly.xml · nonDerivative · entry 1

Daly Richard J · CIK 0001635393 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,250

F1 · security: Reporting person, Richard Daly, purchased 31,250 shares of common stock in a private transaction directly from the issuer.