0001493152-23-023867.txt : 20230706 0001493152-23-023867.hdr.sgml : 20230706 20230706182718 ACCESSION NUMBER: 0001493152-23-023867 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230703 FILED AS OF DATE: 20230706 DATE AS OF CHANGE: 20230706 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Finley John David CENTRAL INDEX KEY: 0001851034 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33672 FILM NUMBER: 231074789 MAIL ADDRESS: STREET 1: C/O SENECA BIOPHARMA, INC. STREET 2: 20271 GOLDENROD LANE CITY: GERMANTOWN STATE: MD ZIP: 20876 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: 7750 EL CAMINO REAL, SUITE 5200 CITY: CARLSBAD STATE: CA ZIP: 92009 BUSINESS PHONE: (858) 704-4900 MAIL ADDRESS: STREET 1: 7750 EL CAMINO REAL, SUITE 5200 CITY: CARLSBAD STATE: CA ZIP: 92009 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 ownership.xml X0407 4 2023-07-03 0 0001357459 PALISADE BIO, INC. PALI 0001851034 Finley John David 7750 EL CAMINO REAL, SUITE 2A CARLSBAD, CA 92009 1 1 0 0 CEO, CFO, Director 0 Common Stock, par value $0.01 2023-07-03 4 M 0 1309 0.00 A 7582 D Common Stock, par value $0.01 2023-07-06 4 F 0 389 1.764 D 7193 D Common Stock, par value $0.01 777 I By FCW Investments, LLC Restricted Stock Units 2023-07-03 4 M 0 1309 D Common Stock 1309 2618 D 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. Represents shares sold on behalf of Reporting Person to satisfy tax requirements related to the vesting of the restricted stock units. 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. 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. /s/ JD Finley 2023-07-06