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 |
|---|---|---|---|---|---|---|
| April 27, 2021 Filed Apr 29, 2021 21:51 UTC | PALISADE BIO, INC. PALI · Entity 5803 | GrantWarrant (Right to Buy) · Derivative | 95 | Not disclosed Strike: $27.59 | Not disclosed |
DisclosureSEC source: 0001209191-21-029073 · doc4.xml · derivative · entry 12 Finley John David · CIK 0001851034 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95 Underlying: Common Stock · 95 shares Expires 2027-12-15 F19 · price: Received in the Merger in exchange for a warrant to purchase 3,500 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 | GrantStock Option (Right to Buy) · Derivative | 2,595 | Not disclosed Strike: $26.85 | Not disclosed |
DisclosureSEC source: 0001209191-21-029073 · doc4.xml · derivative · entry 11 Finley John David · CIK 0001851034 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,595 Underlying: Common Stock · 2,595 shares Expires 2031-04-26 F18 · price: Received in the Merger in exchange for a stock option to acquire 95,463 shares of LBS common stock for $0.73 per share. F4 · derivative.exercise_date: The stock option is fully vested. Read SEC document |
| April 27, 2021 Filed Apr 29, 2021 21:51 UTC | PALISADE BIO, INC. PALI · Entity 5803 | GrantStock Option (Right to Buy) · Derivative | 7,952 | Not disclosed Strike: $26.85 | Not disclosed |
DisclosureSEC source: 0001209191-21-029073 · doc4.xml · derivative · entry 10 Finley John David · CIK 0001851034 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,952 Underlying: Common Stock · 7,952 shares Expires 2030-02-19 F17 · price: Received in the Merger in exchange for a stock option to acquire 292,500 shares of LBS common stock for $0.73 per share. F12 · derivative.exercise_date: The stock option vests in 12 equal quarterly installments from the vesting commencement date. Read SEC document |
| April 27, 2021 Filed Apr 29, 2021 21:51 UTC | PALISADE BIO, INC. PALI · Entity 5803 | GrantStock Option (Right to Buy) · Derivative | 9,702 | Not disclosed Strike: $53.33 | Not disclosed |
DisclosureSEC source: 0001209191-21-029073 · doc4.xml · derivative · entry 9 Finley John David · CIK 0001851034 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,702 Underlying: Common Stock · 9,702 shares Expires 2029-03-22 F16 · price: Received in the Merger in exchange for a stock option to acquire 356,855 shares of LBS common stock for $1.45 per share. F15 · derivative.exercise_date: The stock option vests according to the following schedule: 67% of the shares underlying the option vests on grant date and the remaining 33% vests in four equal quarterly installments thereafter beginning on March 31, 2020. Read SEC document |
| April 27, 2021 Filed Apr 29, 2021 21:51 UTC | PALISADE BIO, INC. PALI · Entity 5803 | GrantStock Option (Right to Buy) · Derivative | 19,033 | Not disclosed Strike: $41.20 | Not disclosed |
DisclosureSEC source: 0001209191-21-029073 · doc4.xml · derivative · entry 8 Finley John David · CIK 0001851034 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,033 Underlying: Common Stock · 19,033 shares Expires 2029-03-22 F14 · price: Received in the Merger in exchange for a stock option to acquire 700,000 shares of LBS common stock for $1.12 per share. F4 · derivative.exercise_date: The stock option is fully vested. Read SEC document |
| April 27, 2021 Filed Apr 29, 2021 21:51 UTC | PALISADE BIO, INC. PALI · Entity 5803 | GrantStock Option (Right to Buy) · Derivative | 5,662 | Not disclosed Strike: $41.20 | Not disclosed |
DisclosureSEC source: 0001209191-21-029073 · doc4.xml · derivative · entry 7 Finley John David · CIK 0001851034 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,662 Underlying: Common Stock · 5,662 shares Expires 2029-03-22 F13 · price: Received in the Merger in exchange for a stock option to acquire 208,300 shares of LBS common stock for $1.12 per share. F12 · derivative.exercise_date: The stock option vests in 12 equal quarterly installments from the vesting commencement date. Read SEC document |
| April 27, 2021 Filed Apr 29, 2021 21:51 UTC | PALISADE BIO, INC. PALI · Entity 5803 | GrantStock Option (Right to Buy) · Derivative | 14,708 | Not disclosed Strike: $41.20 | Not disclosed |
DisclosureSEC source: 0001209191-21-029073 · doc4.xml · derivative · entry 6 Finley John David · CIK 0001851034 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,708 Underlying: Common Stock · 14,708 shares Expires 2029-03-22 F11 · price: Received in the Merger in exchange for a stock option to acquire 541,000 shares of LBS common stock for $1.12 per share. F10 · derivative.exercise_date: The stock option vests according to the following schedule: 34% of the shares subject to the option vests on grant date and the remaining 66% vests in eight equal quarterly installments thereafter beginning on March 31, 2019. Read SEC document |
| April 27, 2021 Filed Apr 29, 2021 21:51 UTC | PALISADE BIO, INC. PALI · Entity 5803 | GrantStock Option (Right to Buy) · Derivative | 52,068 | Not disclosed Strike: $27.59 | Not disclosed |
DisclosureSEC source: 0001209191-21-029073 · doc4.xml · derivative · entry 5 Finley John David · CIK 0001851034 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,068 Underlying: Common Stock · 52,068 shares Expires 2027-11-10 F9 · price: Received in the Merger in exchange for a stock option to acquire 1,915,000 shares of LBS common stock for $0.75 per share. F8 · derivative.exercise_date: The stock option vests according to the following schedule: 31% of the shares underlying the option vested on the grant date and the remaining 69% vests in nine equal quarterly installments thereafter beginning on January 1, 2018. Read SEC document |
| April 27, 2021 Filed Apr 29, 2021 21:51 UTC | PALISADE BIO, INC. PALI · Entity 5803 | GrantStock Option (Right to Buy) · Derivative | 9,516 | Not disclosed Strike: $27.59 | Not disclosed |
DisclosureSEC source: 0001209191-21-029073 · doc4.xml · derivative · entry 4 Finley John David · CIK 0001851034 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,516 Underlying: Common Stock · 9,516 shares Expires 2024-12-13 F7 · price: Received in the Merger in exchange for a stock option to acquire 350,000 shares of LBS common stock for $0.75 per share. F6 · derivative.exercise_date: The stock option vested according to the following schedule: 58% of the shares underlying the option vested on the grant date and the remaining 62% vested in five equal quarterly installments thereafter beginning on December 12, 2016. Read SEC document |
| April 27, 2021 Filed Apr 29, 2021 21:51 UTC | PALISADE BIO, INC. PALI · Entity 5803 | GrantStock Option (Right to Buy) · Derivative | 10,418 | Not disclosed Strike: $27.59 | Not disclosed |
DisclosureSEC source: 0001209191-21-029073 · doc4.xml · derivative · entry 3 Finley John David · CIK 0001851034 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,418 Underlying: Common Stock · 10,418 shares Expires 2025-06-12 F5 · price: Received in the Merger in exchange for a stock option to acquire 383,200 shares of LBS common stock for $0.75 per share. F4 · derivative.exercise_date: The stock option is fully vested. Read SEC document |
| April 27, 2021 Filed Apr 29, 2021 21:51 UTC | PALISADE BIO, INC. PALI · Entity 5803 | GrantCommon Stock | 26,322 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-21-029073 · doc4.xml · nonDerivative · entry 2 Finley John David · CIK 0001851034 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By FCW Investments LLC Disclosed balance after: 26,322 F2 · price: Received in the Merger in exchange for 968,098 shares of LBS common stock. 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 | GrantCommon Stock | 2,396 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-21-029073 · doc4.xml · nonDerivative · entry 1 Finley John David · CIK 0001851034 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,396 F1 · price: The Reporting Person acquired the shares of the Issuer in exchange for 88,182 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.