0001209191-22-008562.txt : 20220210 0001209191-22-008562.hdr.sgml : 20220210 20220210180259 ACCESSION NUMBER: 0001209191-22-008562 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20211118 FILED AS OF DATE: 20220210 DATE AS OF CHANGE: 20220210 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GRAY MARY ANN CENTRAL INDEX KEY: 0001261974 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33672 FILM NUMBER: 22615688 MAIL ADDRESS: STREET 1: 201 W 70TH ST, SUITE 23K CITY: NEW YORK STATE: NY ZIP: 10023 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: PALISADE BIO, INC. CENTRAL INDEX KEY: 0001357459 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 522007292 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 5800 ARMADA DRIVE, SUITE 210 CITY: CARLSBAD STATE: CA ZIP: 92008 BUSINESS PHONE: (858) 704-4900 MAIL ADDRESS: STREET 1: 5800 ARMADA DRIVE, SUITE 210 CITY: CARLSBAD STATE: CA ZIP: 92008 FORMER COMPANY: FORMER CONFORMED NAME: Seneca Biopharma, Inc. DATE OF NAME CHANGE: 20200127 FORMER COMPANY: FORMER CONFORMED NAME: Neuralstem, Inc. DATE OF NAME CHANGE: 20060324 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2021-11-18 0 0001357459 PALISADE BIO, INC. PALI 0001261974 GRAY MARY ANN C/O PALISADE BIO, INC. 5800 ARMADA DR., SUITE 210 CARLSBAD CA 92008 1 0 0 0 Stock Option (right to buy) 2.32 2021-11-18 4 A 0 48340 0.00 A 2032-11-17 Common Stock 48340 48340 D 25% of the shares of Common Stock subject to the Option shall vest on each quarterly anniversary of the grant date over a one-year period. /s/ Mary Ann Gray, Ph.D. 2022-02-10 EX-24 2 poa.txt POA DOCUMENT POWER OF ATTORNEY Know all by these presents, that the undersigned hereby constitutes and appoints each THOMAS HALLAM, PH.D., JD FINLEY and RYKER WILLIE, signing individually, the undersigned's true and lawful attorneys-in-fact and agents to: (1) execute for and on behalf of the undersigned, in the undersigned's capacity as an officer, director or beneficial owner of more than 10% of a registered class of securities of PALISADE BIO, INC. (the "Company"), Forms 3, 4 and 5 (including any amendments thereto) in accordance with Section 16(a) of the Securities Exchange Act of 1934, as amended (the "Exchange Act") and the rules thereunder and a Form ID, Uniform Application for Access Codes to File on EDGAR; (2) do and perform any and all acts for and on behalf of the undersigned that may be necessary or desirable to execute such Forms 3, 4 or 5 or Form ID (including any amendments thereto) and timely file such forms with the United States Securities and Exchange Commission and any stock exchange or similar authority; and (3) take any other action of any nature whatsoever in connection with the foregoing which, in the opinion of such attorney-in-fact, may be of benefit, in the best interest of, or legally required by, the undersigned, it being understood that the documents executed by such attorney-in-fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as such attorney-in-fact may approve in such attorney-in-fact's discretion. The undersigned hereby grants to each such attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that such attorney-in-fact, or such attorney-in-fact's substitute or substitutes, shall lawfully do or cause to be done by virtue of this power of attorney and the rights and powers herein granted. The undersigned acknowledges that the foregoing attorneys-in-fact, in serving in such capacity at the request of the undersigned, are not assuming, nor is the Company assuming, any of the undersigned's responsibilities to comply with Section 16 of the Exchange Act. This Power of Attorney shall remain in full force and effect until the earliest to occur of (a) the undersigned is no longer required to file Forms 3, 4 and 5 with respect to the undersigned's holdings of and transactions in securities issued by the Company, (b) revocation by the undersigned in a signed writing delivered to the foregoing attorneys-in-fact or (c) as to any attorney-in-fact individually, until such attorney-in-fact is no longer employed by the Company or Cooley LLP. IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of February 10, 2022. /s/ Mary Ann Gray Mary Ann Gray, Ph.D.