Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| PALISADE BIO, INC.PALI · Entity 5803 | Director · CEO CFO | October 06, 2026 | October 08, 2026 |
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 October 06, 2026 · Filed October 08, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,944,690 |
Ending reported balance
After 2026-10-06 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2026-10-06 · Exercise / conversion · Acquired 3,227,384 · Balance 3,356,672 F1: The shares were issued pursuant to settlement of vested Restricted Stock Units ("RSUs"). Row 2 · 2026-10-06 · Tax withholding · Disposed 1,411,982 · Balance 1,944,690 F2: Represents the number of shares of common stock the Issuer has withheld to satisfy the Reporting Person's income tax withholding and remittance obligations as part of the settlement of vested RSUs. Accordingly, no shares of common stock will be sold in the public market to satisfy such income tax withholding and remittance obligations associated with the settlement of these vested RSUs. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 6,119,600 |
Reported balance
After 2026-10-06 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2026-10-06 · Exercise / conversion · Disposed 3,059,800 · Balance 6,119,600 F4: Each RSU represents a contingent right to receive one share of the Issuer's common stock. F5: The RSUs shall vest with respect to 1/3rd of the shares on October 6, 2026 and quarterly thereafter over the following eight quarters, subject to the Reporting Person's continuous service to the Issuer through each such vesting date. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 1,508,249 |
Reported balance
After 2026-10-06 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2026-10-06 · Exercise / conversion · Disposed 167,584 · Balance 1,508,249 F4: Each RSU represents a contingent right to receive one share of the Issuer's common stock. F6: The RSUs shall vest with respect to 1/6th of the shares on July 6, 2026 and quarterly thereafter over the following ten quarters, subject to the Reporting Person's continuous service to the Issuer through each such vesting date. |
| Common StockSEC Table I · non-derivative | IndirectBy FCW Investments, LLC | 88,451 |
Reported balance
Holding disclosure · report date 2026-10-06 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 88,451 F3: The Reporting Person is the managing member of FCW Investments, LLC and has the sole investment and voting power over the securities held by this entity. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares were issued pursuant to settlement of vested Restricted Stock Units ("RSUs").
F2: Represents the number of shares of common stock the Issuer has withheld to satisfy the Reporting Person's income tax withholding and remittance obligations as part of the settlement of vested RSUs. Accordingly, no shares of common stock will be sold in the public market to satisfy such income tax withholding and remittance obligations associated with the settlement of these vested RSUs.
F3: The Reporting Person is the managing member of FCW Investments, LLC and has the sole investment and voting power over the securities held by this entity.
F4: Each RSU represents a contingent right to receive one share of the Issuer's common stock.
F5: The RSUs shall vest with respect to 1/3rd of the shares on October 6, 2026 and quarterly thereafter over the following eight quarters, subject to the Reporting Person's continuous service to the Issuer through each such vesting date.
F6: The RSUs shall vest with respect to 1/6th of the shares on July 6, 2026 and quarterly thereafter over the following ten quarters, subject to the Reporting Person's continuous service to the Issuer through each such vesting date.
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 |
|---|---|---|---|---|---|---|
| November 20, 2023 Filed Nov 24, 2023 21:00 UTC | PALISADE BIO, INC. PALI · Entity 5803 | GrantCommon Stock, par value $0.01 | 10,000 | $0.51 | $5,100.00 |
DisclosureSEC source: 0001493152-23-042663 · 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: 57,781 F1 · security: Shares were purchased pursuant to the Palisade Bio, Inc. 2021 Employee Stock Purchase Plan, as amended ("ESPP") for the ESPP purchase period from July 1, 2023 through November 20, 2023. In accordance with the ESPP, the shares were purchased in a transaction exempt under Rule 16b-3(c) at a price equal to 85% of the closing price of the issuer's common stock on November 20, 2023. F1 · shares: Shares were purchased pursuant to the Palisade Bio, Inc. 2021 Employee Stock Purchase Plan, as amended ("ESPP") for the ESPP purchase period from July 1, 2023 through November 20, 2023. In accordance with the ESPP, the shares were purchased in a transaction exempt under Rule 16b-3(c) at a price equal to 85% of the closing price of the issuer's common stock on November 20, 2023. F1 · price: Shares were purchased pursuant to the Palisade Bio, Inc. 2021 Employee Stock Purchase Plan, as amended ("ESPP") for the ESPP purchase period from July 1, 2023 through November 20, 2023. In accordance with the ESPP, the shares were purchased in a transaction exempt under Rule 16b-3(c) at a price equal to 85% of the closing price of the issuer's common stock on November 20, 2023. Read SEC document |
| November 06, 2023 Filed Nov 8, 2023 22:01 UTC | PALISADE BIO, INC. PALI · Entity 5803 | Exercise / conversionRestricted Stock Units · Derivative | 3,475 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001493152-23-039936 · ownership.xml · derivative · entry 3 Finley John David · CIK 0001851034 · Director · CEO, CFO, Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 31,275 Underlying: Common Stock · 3,475 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. F4 · security: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. F4 · derivative.exercise_price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. F4 · price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. F3 · derivative.exercise_date: This restricted stock unit was granted on February 6, 2023, and 3,475 restricted stock units subject to the award vested on November 6, 2023, and an additional 31,275 restricted stock units will vest in equal installments over the remaining three-year period from the grant date, 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 February 6, 2023, and 3,475 restricted stock units subject to the award vested on November 6, 2023, and an additional 31,275 restricted stock units will vest in equal installments over the remaining three-year period from the grant date, subject to Reporting Person continuing to be a service provider to Issuer at the time of vesting. Read SEC document |
| November 06, 2023 Filed Nov 8, 2023 22:01 UTC | PALISADE BIO, INC. PALI · Entity 5803 | Exercise / conversionCommon Stock, par value $0.01 | 3,475 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-23-039936 · 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: 47,781 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: Represents the issuance of common stock upon the vesting and settlement of outstanding restricted stock units. F1 · shares: Represents the issuance of common stock upon the vesting and settlement of outstanding restricted stock units. F1 · price: Represents the issuance of common stock upon the vesting and settlement of outstanding restricted stock units. Read SEC document |
| October 04, 2023 Filed Oct 5, 2023 21:46 UTC | PALISADE BIO, INC. PALI · Entity 5803 | Tax withholdingCommon Stock, par value $0.01 | 397 | $0.55 | $218.39 |
DisclosureSEC source: 0001493152-23-036404 · 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: 44,306 F2 · security: Represents shares sold on behalf of Reporting Person to satisfy tax requirements related to the vesting of the restricted stock units. F2 · price: Represents shares sold on behalf of Reporting Person to satisfy tax requirements related to the vesting of the restricted stock units. Read SEC document |
| October 03, 2023 Filed Oct 5, 2023 21:46 UTC | PALISADE BIO, INC. PALI · Entity 5803 | Exercise / conversionRestricted Stock Units · Derivative | 1,309 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001493152-23-036404 · 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: 1,309 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 October 4, 2023, and an additional 1,309 restricted stock units will vest on January 3, 2024, 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 October 4, 2023, and an additional 1,309 restricted stock units will vest on January 3, 2024, subject to Reporting Person continuing to be a service provider to Issuer at the time of vesting. Read SEC document |
| October 03, 2023 Filed Oct 5, 2023 21:46 UTC | PALISADE BIO, INC. PALI · Entity 5803 | Exercise / conversionCommon Stock, par value $0.01 | 1,309 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-23-036404 · 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: 44,703 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. Read SEC document |
| September 27, 2023 Filed Sep 29, 2023 13:21 UTC | PALISADE BIO, INC. PALI · Entity 5803 | PurchaseCommon Stock, par value $0.01 | 15,000 | $0.54 | $8,088.00 |
DisclosureSEC source: 0001493152-23-034754 · 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: 43,394 F1 · shares: Reporting Person purchased 15,000 shares of Common Stock of Issuer at a price per share of $0.5392 on September 27, 2023. F1 · price: Reporting Person purchased 15,000 shares of Common Stock of Issuer at a price per share of $0.5392 on September 27, 2023. Read SEC document |
| September 13, 2023 Filed Sep 14, 2023 21:00 UTC | PALISADE BIO, INC. PALI · Entity 5803 | PurchaseCommon Stock, par value $0.01 | 15,000 | $0.66 | $9,825.00 |
DisclosureSEC source: 0001493152-23-032655 · 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: 28,394 F1 · shares: Reporting Person purchased 15,000 shares of Common Stock at prices ranging from $0.636 to $0.658 with a weighted average price per share of $0.655 on September 13, 2023. 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. F1 · price: Reporting Person purchased 15,000 shares of Common Stock at prices ranging from $0.636 to $0.658 with a weighted average price per share of $0.655 on September 13, 2023. 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. Read SEC document |
| September 12, 2023 Filed Sep 13, 2023 20:55 UTC | PALISADE BIO, INC. PALI · Entity 5803 | Tax withholdingCommon Stock, par value $0.01 | 1,792 | $0.66 | $1,173.76 |
DisclosureSEC source: 0001493152-23-032505 · 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: 13,394 F2 · security: Represents shares sold on behalf of Reporting Person on September 11, 2023, to satisfy tax requirements related to the vesting of the restricted stock units. F2 · price: Represents shares sold on behalf of Reporting Person on September 11, 2023, to satisfy tax requirements related to the vesting of the restricted stock units. Read SEC document |
| September 11, 2023 Filed Sep 13, 2023 20:55 UTC | PALISADE BIO, INC. PALI · Entity 5803 | Exercise / conversionRestricted Stock Units · Derivative | 5,558 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001493152-23-032505 · 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: 61,142 Underlying: Common Stock · 5,558 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 June 11, 2023, and 5,558 restricted stock units subject to the award vested on September 11, 2023, and an additional 61,142 restricted stock units will vest in equal installments over the remaining three-year period from the grant date, 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 June 11, 2023, and 5,558 restricted stock units subject to the award vested on September 11, 2023, and an additional 61,142 restricted stock units will vest in equal installments over the remaining three-year period from the grant date, subject to Reporting Person continuing to be a service provider to Issuer at the time of vesting. Read SEC document |
| September 11, 2023 Filed Sep 13, 2023 20:55 UTC | PALISADE BIO, INC. PALI · Entity 5803 | Exercise / conversionCommon Stock, par value $0.01 | 5,558 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-23-032505 · 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: 15,186 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. Read SEC document |
| August 11, 2023 Filed Aug 14, 2023 22:33 UTC | PALISADE BIO, INC. PALI · Entity 5803 | Tax withholdingCommon Stock, par value $0.01 | 1,040 | $0.70 | $728.00 |
DisclosureSEC source: 0001493152-23-028702 · 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: 9,628 F2 · security: Represents shares sold on behalf of Reporting Person on August 11, 2023, to satisfy tax requirements related to the vesting of the restricted stock units. F2 · price: Represents shares sold on behalf of Reporting Person on August 11, 2023, to satisfy tax requirements related to the vesting of the restricted stock units. Read SEC document |
| August 06, 2023 Filed Aug 14, 2023 22:33 UTC | PALISADE BIO, INC. PALI · Entity 5803 | Exercise / conversionRestricted Stock Units · Derivative | 3,475 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001493152-23-028702 · 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: 34,750 Underlying: Common Stock · 3,475 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 February 6, 2023, and 3,475 restricted stock units subject to the award vested on August 6, 2023, and an additional 34,750 restricted stock units will vest in equal installments over the remaining three-year period from the grant date, 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 February 6, 2023, and 3,475 restricted stock units subject to the award vested on August 6, 2023, and an additional 34,750 restricted stock units will vest in equal installments over the remaining three-year period from the grant date, subject to Reporting Person continuing to be a service provider to Issuer at the time of vesting. Read SEC document |
| August 06, 2023 Filed Aug 14, 2023 22:33 UTC | PALISADE BIO, INC. PALI · Entity 5803 | Exercise / conversionCommon Stock, par value $0.01 | 3,475 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-23-028702 · 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: 11,057 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. Read SEC document |
| July 06, 2023 Filed Jul 6, 2023 22:27 UTC | PALISADE BIO, INC. PALI · Entity 5803 | Tax withholdingCommon Stock, par value $0.01 | 389 | $1.76 | $686.20 |
DisclosureSEC source: 0001493152-23-023867 · 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: 7,193 F2 · security: Represents shares sold on behalf of Reporting Person to satisfy tax requirements related to the vesting of the restricted stock units. F2 · price: Represents shares sold on behalf of Reporting Person to satisfy tax requirements related to the vesting of the restricted stock units. Read SEC document |
| July 03, 2023 Filed Jul 6, 2023 22:27 UTC | PALISADE BIO, INC. PALI · Entity 5803 | Exercise / conversionRestricted Stock Units · Derivative | 1,309 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001493152-23-023867 · 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: 2,618 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 July 3, 2023, and an additional 1,309 restricted stock units will vest on each of October 3, 2023 and January 3, 2024, 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 July 3, 2023, and an additional 1,309 restricted stock units will vest on each of October 3, 2023 and January 3, 2024, subject to Reporting Person continuing to be a service provider to Issuer at the time of vesting. Read SEC document |
| July 03, 2023 Filed Jul 6, 2023 22:27 UTC | PALISADE BIO, INC. PALI · Entity 5803 | Exercise / conversionCommon Stock, par value $0.01 | 1,309 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-23-023867 · 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: 7,582 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. Read SEC document |
| June 13, 2023 Filed Jun 14, 2023 22:23 UTC | PALISADE BIO, INC. PALI · Entity 5803 | Tax withholdingCommon Stock, par value $0.01 | 1,050 | $1.54 | $1,618.58 |
DisclosureSEC source: 0001493152-23-021308 · 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: 6,273 F2 · security: Represents shares sold on behalf of Reporting Person to satisfy tax requirements related to the vesting of the restricted stock units. F2 · price: Represents shares sold on behalf of Reporting Person to satisfy tax requirements related to the vesting of the restricted stock units. Read SEC document |
| June 12, 2023 Filed Jun 14, 2023 22:23 UTC | PALISADE BIO, INC. PALI · Entity 5803 | Exercise / conversionRestricted Stock Units · Derivative | 3,475 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001493152-23-021308 · 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: 38,225 Underlying: Common Stock · 3,475 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 February 6, 2023, and 3,475 restricted stock units subject to the award vested on June 12, 2023, upon receipt of shareholder approval of the grant, and an additional 38,225 restricted stock units will vest in equal installments over the remaining three-year period from the grant date, 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 February 6, 2023, and 3,475 restricted stock units subject to the award vested on June 12, 2023, upon receipt of shareholder approval of the grant, and an additional 38,225 restricted stock units will vest in equal installments over the remaining three-year period from the grant date, subject to Reporting Person continuing to be a service provider to Issuer at the time of vesting. Read SEC document |
| June 12, 2023 Filed Jun 14, 2023 22:23 UTC | PALISADE BIO, INC. PALI · Entity 5803 | Exercise / conversionCommon Stock, par value $0.01 | 3,475 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-23-021308 · 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: 7,323 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. Read SEC document |
| June 11, 2023 Filed Jun 13, 2023 22:43 UTC | PALISADE BIO, INC. PALI · Entity 5803 | GrantCommon Stock Options · Derivative | 148,500 | $0.00 Strike: $1.60 | $0.00 |
DisclosureSEC source: 0001493152-23-021131 · ownership.xml · derivative · entry 2 Finley John David · CIK 0001851034 · Director · CEO, CFO, Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 148,500 Underlying: Common Stock · 148,500 shares Expires 2033-06-11 F1 · security: The Grants were made as discretionary grants to the Reporting Person, from the Issuer's 2021 Equity Incentive Plan, as amended. Each grant vests in twelve (12) equal quarterly installments over a three (3) year period from the grant date, subject to Reporting Person continuing to be a service provider at the time of vesting. F3 · security: Each option represents the right to purchase one share of common stock at the exercise price. F1 · derivative.exercise_date: The Grants were made as discretionary grants to the Reporting Person, from the Issuer's 2021 Equity Incentive Plan, as amended. Each grant vests in twelve (12) equal quarterly installments over a three (3) year period from the grant date, subject to Reporting Person continuing to be a service provider at the time of vesting. Read SEC document |
| June 11, 2023 Filed Jun 13, 2023 22:43 UTC | PALISADE BIO, INC. PALI · Entity 5803 | GrantRestricted Stock Units · Derivative | 66,700 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-23-021131 · ownership.xml · derivative · entry 1 Finley John David · CIK 0001851034 · Director · CEO, CFO, Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 66,700 Underlying: Common Stock · 66,700 shares Expires not disclosed F1 · security: The Grants were made as discretionary grants to the Reporting Person, from the Issuer's 2021 Equity Incentive Plan, as amended. Each grant vests in twelve (12) equal quarterly installments over a three (3) year period from the grant date, subject to Reporting Person continuing to be a service provider at the time of vesting. F2 · security: Each restricted stock unit represents the right to receive one share of common stock. F2 · derivative.exercise_price: Each restricted stock unit represents the right to receive one share of common stock. F2 · shares: Each restricted stock unit represents the right to receive one share of common stock. F1 · derivative.exercise_date: The Grants were made as discretionary grants to the Reporting Person, from the Issuer's 2021 Equity Incentive Plan, as amended. Each grant vests in twelve (12) equal quarterly installments over a three (3) year period from the grant date, subject to Reporting Person continuing to be a service provider at the time of vesting. F4 · derivative.expiration_date: N/A Read SEC document |
| April 03, 2023 Filed Apr 5, 2023 22:49 UTC | PALISADE BIO, INC. PALI · Entity 5803 | Exercise / conversionRestricted Stock Units · Derivative | 1,309 | Not disclosed | Not disclosed |
DisclosureSEC 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. Read SEC document |
| April 03, 2023 Filed Apr 5, 2023 22:49 UTC | PALISADE BIO, INC. PALI · Entity 5803 | Tax withholdingCommon Stock, par value $0.01 | 435 | $2.01 | $874.35 |
DisclosureSEC 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. Read SEC document |
| April 03, 2023 Filed Apr 5, 2023 22:49 UTC | PALISADE BIO, INC. PALI · Entity 5803 | Exercise / conversionCommon Stock, par value $0.01 | 1,309 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| February 06, 2023 Filed Feb 9, 2023 02:01 UTC | PALISADE BIO, INC. PALI · Entity 5803 | GrantCommon Stock Purchase Option · Derivative | 57,200 | $0.00 Strike: $2.40 | $0.00 |
DisclosureSEC 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 Read SEC document |
| February 06, 2023 Filed Feb 9, 2023 02:01 UTC | PALISADE BIO, INC. PALI · Entity 5803 | GrantRestricted Performance Stock Units · Derivative | 32,500 | $0.00 | $0.00 |
DisclosureSEC 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 Read SEC document |
| February 06, 2023 Filed Feb 9, 2023 02:01 UTC | PALISADE BIO, INC. PALI · Entity 5803 | GrantRestricted Stock Units · Derivative | 41,700 | $0.00 | $0.00 |
DisclosureSEC 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 Read SEC document |
| January 03, 2023 Filed Jan 7, 2023 00:42 UTC | PALISADE BIO, INC. PALI · Entity 5803 | GrantRestricted Stock Units · Derivative | 5,236 | $0.00 | $0.00 |
DisclosureSEC 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 Read SEC document |
| September 01, 2022 Filed Sep 2, 2022 22:21 UTC | PALISADE BIO, INC. PALI · Entity 5803 | PurchaseCommon Stock, par value $0.01 | 19,481.242 | $0.14 | $2,799.45 |
DisclosureSEC 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 Read SEC document |
| August 23, 2022 Filed Aug 25, 2022 21:10 UTC | PALISADE BIO, INC. PALI · Entity 5803 | PurchaseCommon Stock, par value $0.01 | 7,350 | $0.16 | $1,176.00 |
DisclosureSEC 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. Read SEC document |
| August 16, 2022 Filed Aug 19, 2022 01:04 UTC | PALISADE BIO, INC. PALI · Entity 5803 | PurchaseSeries 2 Common Stock Purchase Warrant · Derivative | 100,000 | $0.00 Strike: $0.25 | $0.00 |
DisclosureSEC 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. Read SEC document |
| August 16, 2022 Filed Aug 19, 2022 01:04 UTC | PALISADE BIO, INC. PALI · Entity 5803 | PurchaseSeries 1 Common Stock Purchase Warrant · Derivative | 100,000 | $0.00 Strike: $0.25 | $0.00 |
DisclosureSEC 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. Read SEC document |
| August 16, 2022 Filed Aug 19, 2022 01:04 UTC | PALISADE BIO, INC. PALI · Entity 5803 | PurchaseCommon Stock, par value $0.01 | 100,000 | $0.25 | $25,000.00 |
DisclosureSEC 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. Read SEC document |
| April 29, 2022 Filed May 2, 2022 21:34 UTC | PALISADE BIO, INC. PALI · Entity 5803 | OtherCommon Stock | 12,545 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| March 24, 2022 Filed Mar 25, 2022 12:01 UTC | PALISADE BIO, INC. PALI · Entity 5803 | PurchaseCommon Stock | 7,500 | $1.09 | $8,174.25 |
DisclosureSEC 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 Read SEC document |
| February 17, 2022 Filed Feb 22, 2022 22:57 UTC | PALISADE BIO, INC. PALI · Entity 5803 | GrantStock Option (right to buy) · Derivative | 64,800 | $0.00 Strike: $0.95 | $0.00 |
DisclosureSEC 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. Read SEC document |
| November 18, 2021 Filed Feb 10, 2022 23:39 UTC | PALISADE BIO, INC. PALI · Entity 5803 | GrantStock Option (right to buy) · Derivative | 178,091 | $0.00 Strike: $2.32 | $0.00 |
DisclosureSEC 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. Read SEC document |
| September 21, 2021 Filed Sep 22, 2021 23:36 UTC | PALISADE BIO, INC. PALI · Entity 5803 | PurchaseCommon Stock | 2,000 | $2.44 | $4,880.00 |
DisclosureSEC 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 Read SEC document |
| August 27, 2021 Filed Aug 30, 2021 18:01 UTC | PALISADE BIO, INC. PALI · Entity 5803 | PurchaseCommon Stock | 8,400 | $2.65 | $22,260.00 |
DisclosureSEC source: 0001209191-21-053803 · doc4.xml · nonDerivative · entry 2 Finley John David · CIK 0001851034 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,396 Read SEC document |
| August 27, 2021 Filed Aug 30, 2021 18:01 UTC | PALISADE BIO, INC. PALI · Entity 5803 | PurchaseCommon Stock | 1,600 | $2.63 | $4,208.00 |
DisclosureSEC source: 0001209191-21-053803 · doc4.xml · nonDerivative · entry 1 Finley John David · CIK 0001851034 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,996 Read SEC document |
| April 27, 2021 Filed Apr 29, 2021 21:51 UTC | PALISADE BIO, INC. PALI · Entity 5803 | GrantWarrant (Right to Buy) · Derivative | 293 | Not disclosed Strike: $41.20 | Not disclosed |
DisclosureSEC source: 0001209191-21-029073 · doc4.xml · derivative · entry 21 Finley John David · CIK 0001851034 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By FCW Investments LLC Disclosed balance after: 293 Underlying: Common Stock · 293 shares Expires 2028-06-30 F28 · price: Received in the Merger in exchange for a warrant to purchase 10,787 shares of LBS common stock for $1.12 per share. F3 · 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. Read SEC document |
| April 27, 2021 Filed Apr 29, 2021 21:51 UTC | PALISADE BIO, INC. PALI · Entity 5803 | GrantWarrant (Right to Buy) · Derivative | 325 | Not disclosed Strike: $41.20 | Not disclosed |
DisclosureSEC source: 0001209191-21-029073 · doc4.xml · derivative · entry 20 Finley John David · CIK 0001851034 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By FCW Investments LLC Disclosed balance after: 325 Underlying: Common Stock · 325 shares Expires 2028-12-31 F27 · price: Received in the Merger in exchange for a warrant to purchase 11,994 shares of LBS common stock for $1.12 per share. F3 · 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. Read SEC document |
| April 27, 2021 Filed Apr 29, 2021 21:51 UTC | PALISADE BIO, INC. PALI · Entity 5803 | GrantWarrant (Right to Buy) · Derivative | 27 | Not disclosed Strike: $27.59 | Not disclosed |
DisclosureSEC source: 0001209191-21-029073 · doc4.xml · derivative · entry 19 Finley John David · CIK 0001851034 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By FCW Investments LLC Disclosed balance after: 27 Underlying: Common Stock · 27 shares Expires 2028-04-16 F26 · price: Received in the Merger in exchange for a warrant to purchase 1,000 shares of LBS common stock for $0.75 per share. F3 · 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. Read SEC document |
| April 27, 2021 Filed Apr 29, 2021 21:51 UTC | PALISADE BIO, INC. PALI · Entity 5803 | GrantWarrant (Right to Buy) · Derivative | 516 | Not disclosed Strike: $27.59 | Not disclosed |
DisclosureSEC source: 0001209191-21-029073 · doc4.xml · derivative · entry 18 Finley John David · CIK 0001851034 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By FCW Investments LLC Disclosed balance after: 516 Underlying: Common Stock · 516 shares Expires 2028-03-20 F25 · price: Received in the Merger in exchange for a warrant to purchase 19,000 shares of LBS common stock for $0.75 per share. F3 · 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. Read SEC document |
| April 27, 2021 Filed Apr 29, 2021 21:51 UTC | PALISADE BIO, INC. PALI · Entity 5803 | GrantWarrant (Right to Buy) · Derivative | 40 | Not disclosed Strike: $27.59 | Not disclosed |
DisclosureSEC source: 0001209191-21-029073 · doc4.xml · derivative · entry 17 Finley John David · CIK 0001851034 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By FCW Investments LLC Disclosed balance after: 40 Underlying: Common Stock · 40 shares Expires 2028-01-01 F24 · price: Received in the Merger in exchange for a warrant to purchase 1,500 shares of LBS common stock for $0.75 per share. F3 · 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. Read SEC document |
| April 27, 2021 Filed Apr 29, 2021 21:51 UTC | PALISADE BIO, INC. PALI · Entity 5803 | GrantWarrant (Right to Buy) · Derivative | 503 | Not disclosed Strike: $27.59 | Not disclosed |
DisclosureSEC source: 0001209191-21-029073 · doc4.xml · derivative · entry 16 Finley John David · CIK 0001851034 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By FCW Investments LLC Disclosed balance after: 503 Underlying: Common Stock · 503 shares Expires 2027-06-14 F23 · price: Received in the Merger in exchange for a warrant to purchase 18,500 shares of LBS common stock for $0.75 per share. F3 · 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. Read SEC document |
| April 27, 2021 Filed Apr 29, 2021 21:51 UTC | PALISADE BIO, INC. PALI · Entity 5803 | GrantWarrant (Right to Buy) · Derivative | 339 | Not disclosed Strike: $27.59 | Not disclosed |
DisclosureSEC source: 0001209191-21-029073 · doc4.xml · derivative · entry 15 Finley John David · CIK 0001851034 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 339 Underlying: Common Stock · 339 shares Expires 2026-09-02 F22 · price: Received in the Merger in exchange for a warrant to purchase 12,500 shares of LBS common stock for $0.75 per share. Read SEC document |
| April 27, 2021 Filed Apr 29, 2021 21:51 UTC | PALISADE BIO, INC. PALI · Entity 5803 | GrantWarrant (Right to Buy) · Derivative | 49 | Not disclosed Strike: $41.20 | Not disclosed |
DisclosureSEC source: 0001209191-21-029073 · doc4.xml · derivative · entry 14 Finley John David · CIK 0001851034 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49 Underlying: Common Stock · 49 shares Expires 2028-06-30 F21 · price: Received in the Merger in exchange for a warrant to purchase 1,824 shares of LBS common stock for $1.12 per share. Read SEC document |
| April 27, 2021 Filed Apr 29, 2021 21:51 UTC | PALISADE BIO, INC. PALI · Entity 5803 | GrantWarrant (Right to Buy) · Derivative | 51 | Not disclosed Strike: $41.20 | Not disclosed |
DisclosureSEC source: 0001209191-21-029073 · doc4.xml · derivative · entry 13 Finley John David · CIK 0001851034 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51 Underlying: Common Stock · 51 shares Expires 2028-12-31 F20 · price: Received in the Merger in exchange for a warrant to purchase 1,894 shares of LBS common stock for $1.12 per share. 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.