Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| PALISADE BIO, INC.PALI · Entity 5803 | Director · Chief Executive Officer | August 16, 2022 | August 18, 2022 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
PALISADE BIO, INC.
Report date August 16, 2022 · Filed August 18, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.01SEC Table I · non-derivative | Direct | 57,592 |
Reported balance
After 2022-08-16 transaction · row 1
1 source rowRow 1 · 2022-08-16 · Purchase · Acquired 40,000 · Balance 57,592 F1: 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. |
| Series 1 Common Stock Purchase WarrantSEC Table II · derivative / convertible security · Conversion / exercise price $0.25 · Expires 2023-08-16 | Direct | 40,000 |
Reported balance
After 2022-08-16 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2022-08-16 · Purchase · Acquired 40,000 · Balance 40,000 F2: 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. |
| Series 2 Common Stock Purchase WarrantSEC Table II · derivative / convertible security · Conversion / exercise price $0.25 · Expires 2027-08-16 | Direct | 40,000 |
Reported balance
After 2022-08-16 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2022-08-16 · Purchase · Acquired 40,000 · Balance 40,000 F3: 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. |
Filing footnotes · ownership attribution and instrument terms
F1: 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.
F2: 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: 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.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| August 16, 2022 Filed Aug 18, 2022 21:06 UTC | PALISADE BIO, INC. PALI · Entity 5803 | PurchaseSeries 2 Common Stock Purchase Warrant · Derivative | 40,000 | $0.00 Strike: $0.25 | $0.00 |
DisclosureSEC 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. Read SEC document |
| August 16, 2022 Filed Aug 18, 2022 21:06 UTC | PALISADE BIO, INC. PALI · Entity 5803 | PurchaseSeries 1 Common Stock Purchase Warrant · Derivative | 40,000 | $0.00 Strike: $0.25 | $0.00 |
DisclosureSEC 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. Read SEC document |
| August 16, 2022 Filed Aug 18, 2022 21:06 UTC | PALISADE BIO, INC. PALI · Entity 5803 | PurchaseCommon Stock, par value $0.01 | 40,000 | $0.25 | $10,000.00 |
DisclosureSEC 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. Read SEC document |
| March 28, 2022 Filed Mar 29, 2022 08:37 UTC | PALISADE BIO, INC. PALI · Entity 5803 | PurchaseCommon Stock | 10,000 | $1.18 | $11,800.00 |
DisclosureSEC 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 Read SEC document |
| February 17, 2022 Filed Feb 22, 2022 17:58 UTC | PALISADE BIO, INC. PALI · Entity 5803 | GrantStock Option (right to buy) · Derivative | 156,600 | $0.00 Strike: $0.95 | $0.00 |
DisclosureSEC 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. Read SEC document |
| November 18, 2021 Filed Feb 10, 2022 18:36 UTC | PALISADE BIO, INC. PALI · Entity 5803 | GrantStock Option (right to buy) · Derivative | 267,868 | $0.00 Strike: $2.32 | $0.00 |
DisclosureSEC 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. Read SEC document |
| September 21, 2021 Filed Sep 22, 2021 19:35 UTC | PALISADE BIO, INC. PALI · Entity 5803 | PurchaseCommon Stock | 6,000 | $2.49 | $14,940.00 |
DisclosureSEC 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 Read SEC document |
| April 27, 2021 Filed Apr 29, 2021 17:52 UTC | PALISADE BIO, INC. PALI · Entity 5803 | GrantStock Option (Right to Buy) · Derivative | 27,190 | Not disclosed Strike: $17.72 | Not disclosed |
DisclosureSEC source: 0001209191-21-029076 · doc4.xml · derivative · entry 13 Hallam Thomas · CIK 0001850921 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,190 Underlying: Common Stock · 27,190 shares Expires 2031-04-26 F20 · price: Received in the Merger in exchange for a stock option to acquire 1,000,000 shares of LBS common stock for $0.48 per share. F8 · derivative.exercise_date: The stock option is fully vested. Read SEC document |
| April 27, 2021 Filed Apr 29, 2021 17:52 UTC | PALISADE BIO, INC. PALI · Entity 5803 | GrantStock Option (Right to Buy) · Derivative | 12,294 | Not disclosed Strike: $26.85 | Not disclosed |
DisclosureSEC source: 0001209191-21-029076 · doc4.xml · derivative · entry 12 Hallam Thomas · CIK 0001850921 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,294 Underlying: Common Stock · 12,294 shares Expires 2030-02-19 F19 · price: Received in the Merger in exchange for a stock option to acquire 452,200 shares of LBS common stock for $0.73 per share. F6 · derivative.exercise_date: The option vests in 12 equal quarterly installments from the vesting commencement date. Read SEC document |
| April 27, 2021 Filed Apr 29, 2021 17:52 UTC | PALISADE BIO, INC. PALI · Entity 5803 | GrantStock Option (Right to Buy) · Derivative | 15,002 | Not disclosed Strike: $53.33 | Not disclosed |
DisclosureSEC source: 0001209191-21-029076 · doc4.xml · derivative · entry 11 Hallam Thomas · CIK 0001850921 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,002 Underlying: Common Stock · 15,002 shares Expires 2029-03-22 F18 · price: Received in the Merger in exchange for a stock option to acquire 551,753 shares of LBS common stock for $1.45 per share. F17 · derivative.exercise_date: The stock option vests according to the following schedule: 67% of the shares underlying the option vests on the grant date and the remaining 33% vests in four equal quarterly installments thereafter beginning on March 31, 2019. Read SEC document |
| April 27, 2021 Filed Apr 29, 2021 17:52 UTC | PALISADE BIO, INC. PALI · Entity 5803 | GrantStock Option (Right to Buy) · Derivative | 20,392 | Not disclosed Strike: $41.20 | Not disclosed |
DisclosureSEC source: 0001209191-21-029076 · doc4.xml · derivative · entry 10 Hallam Thomas · CIK 0001850921 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,392 Underlying: Common Stock · 20,392 shares Expires 2029-03-22 F16 · price: Received in the Merger in exchange for a stock option to acquire 750,000 shares of LBS common stock for $1.12 per share. F8 · derivative.exercise_date: The stock option is fully vested. Read SEC document |
| April 27, 2021 Filed Apr 29, 2021 17:52 UTC | PALISADE BIO, INC. PALI · Entity 5803 | GrantStock Option (Right to Buy) · Derivative | 8,754 | Not disclosed Strike: $41.20 | Not disclosed |
DisclosureSEC source: 0001209191-21-029076 · doc4.xml · derivative · entry 9 Hallam Thomas · CIK 0001850921 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,754 Underlying: Common Stock · 8,754 shares Expires 2029-03-22 F15 · price: Received in the Merger in exchange for a stock option to acquire 322,000 shares of LBS common stock for $1.12 per share. F6 · derivative.exercise_date: The option vests in 12 equal quarterly installments from the vesting commencement date. Read SEC document |
| April 27, 2021 Filed Apr 29, 2021 17:52 UTC | PALISADE BIO, INC. PALI · Entity 5803 | GrantStock Option (Right to Buy) · Derivative | 22,730 | Not disclosed Strike: $41.20 | Not disclosed |
DisclosureSEC source: 0001209191-21-029076 · doc4.xml · derivative · entry 8 Hallam Thomas · CIK 0001850921 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,730 Underlying: Common Stock · 22,730 shares Expires 2029-03-22 F14 · price: Received in the Merger in exchange for a stock option to acquire 836,000 shares of LBS common stock for $1.12 per share. F13 · derivative.exercise_date: The stock option vests according to the following schedule: 67% of the shares underlying the option vests on the grant date and the remaining 33% vests in eight equal quarterly installments thereafter beginning on March 31, 2019. Read SEC document |
| April 27, 2021 Filed Apr 29, 2021 17:52 UTC | PALISADE BIO, INC. PALI · Entity 5803 | GrantStock Option (Right to Buy) · Derivative | 95,572 | Not disclosed Strike: $27.59 | Not disclosed |
DisclosureSEC source: 0001209191-21-029076 · doc4.xml · derivative · entry 7 Hallam Thomas · CIK 0001850921 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,572 Underlying: Common Stock · 95,572 shares Expires 2027-11-10 F12 · price: Received in the Merger in exchange for a stock option to acquire 3,515,000 shares of LBS common stock for $0.75 per share. F11 · derivative.exercise_date: The stock option vests according to the following schedule: 25% of the shares underlying the option vests on grant date and the remaining 75% vests in nine equal quarterly installments thereafter beginning on January 1, 2018. Read SEC document |
| April 27, 2021 Filed Apr 29, 2021 17:52 UTC | PALISADE BIO, INC. PALI · Entity 5803 | GrantStock Option (Right to Buy) · Derivative | 2,719 | Not disclosed Strike: $27.59 | Not disclosed |
DisclosureSEC source: 0001209191-21-029076 · doc4.xml · derivative · entry 6 Hallam Thomas · CIK 0001850921 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,719 Underlying: Common Stock · 2,719 shares Expires 2027-11-10 F10 · price: Received in the Merger in exchange for a stock option to acquire 100,000 shares of LBS common stock for $0.75 per share. F8 · derivative.exercise_date: The stock option is fully vested. Read SEC document |
| April 27, 2021 Filed Apr 29, 2021 17:52 UTC | PALISADE BIO, INC. PALI · Entity 5803 | GrantStock Option (Right to Buy) · Derivative | 477 | Not disclosed Strike: $27.59 | Not disclosed |
DisclosureSEC source: 0001209191-21-029076 · doc4.xml · derivative · entry 5 Hallam Thomas · CIK 0001850921 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 477 Underlying: Common Stock · 477 shares Expires 2024-02-02 F9 · price: Received in the Merger in exchange for a stock option to acquire 17,567 shares of LBS common stock for $0.75 per share. F8 · derivative.exercise_date: The stock option is fully vested. Read SEC document |
| April 27, 2021 Filed Apr 29, 2021 17:52 UTC | PALISADE BIO, INC. PALI · Entity 5803 | GrantStock Option (Right to Buy) · Derivative | 6,797 | Not disclosed Strike: $27.59 | Not disclosed |
DisclosureSEC source: 0001209191-21-029076 · doc4.xml · derivative · entry 4 Hallam Thomas · CIK 0001850921 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,797 Underlying: Common Stock · 6,797 shares Expires 2025-02-02 F7 · price: Received in the Merger in exchange for a stock option to acquire 250,000 shares of LBS common stock for $0.75 per share. F6 · derivative.exercise_date: The option vests in 12 equal quarterly installments from the vesting commencement date. Read SEC document |
| April 27, 2021 Filed Apr 29, 2021 17:52 UTC | PALISADE BIO, INC. PALI · Entity 5803 | GrantStock Option (Right to Buy) · Derivative | 27,189 | Not disclosed Strike: $18.39 | Not disclosed |
DisclosureSEC source: 0001209191-21-029076 · doc4.xml · derivative · entry 3 Hallam Thomas · CIK 0001850921 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,189 Underlying: Common Stock · 27,189 shares Expires 2023-10-01 F5 · price: Received in the Merger in exchange for a stock option to acquire 1,000,000 shares of LBS common stock for $0.50 per share. F4 · derivative.exercise_date: The stock option vested according to the following schedule: 17% of the shares underlying the option vested on grant date and the remaining 83% vested in 10 equal quarterly installments thereafter beginning on June 30, 2014. Read SEC document |
| April 27, 2021 Filed Apr 29, 2021 17:52 UTC | PALISADE BIO, INC. PALI · Entity 5803 | GrantStock Option (Right to Buy) · Derivative | 4,078 | Not disclosed Strike: $14.72 | Not disclosed |
DisclosureSEC source: 0001209191-21-029076 · doc4.xml · derivative · entry 2 Hallam Thomas · CIK 0001850921 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,078 Underlying: Common Stock · 4,078 shares Expires 2022-10-10 F3 · price: Received in the Merger in exchange for a stock option to acquire 150,000 shares of LBS common stock for $0.40 per share. F2 · 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 six equal quarterly installments thereafter beginning on July 9, 2014. Read SEC document |
| April 27, 2021 Filed Apr 29, 2021 17:52 UTC | PALISADE BIO, INC. PALI · Entity 5803 | GrantCommon Stock | 1,592 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-21-029076 · doc4.xml · nonDerivative · entry 1 Hallam Thomas · CIK 0001850921 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,592 F1 · price: The Reporting Person acquired the shares of the Issuer in exchange for 58,582 shares of common stock of Leading BioSciences, Inc. ("LBS"), 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. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.