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