0001493152-24-006049.txt : 20240213 0001493152-24-006049.hdr.sgml : 20240213 20240213150849 ACCESSION NUMBER: 0001493152-24-006049 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240209 FILED AS OF DATE: 20240213 DATE AS OF CHANGE: 20240213 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Neal James R CENTRAL INDEX KEY: 0001600865 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33672 FILM NUMBER: 24625065 MAIL ADDRESS: STREET 1: 2910 SEVENTH STREET CITY: BERKELEY STATE: CA ZIP: 94710 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: PALISADE BIO, INC. CENTRAL INDEX KEY: 0001357459 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] ORGANIZATION NAME: 03 Life Sciences 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 X0508 4 2024-02-09 1 0001357459 PALISADE BIO, INC. PALI 0001600865 Neal James R 7750 EL CAMINO REAL, SUITE 2A CARLSBAD, CA 92009 1 0 0 0 0 Common Stock, par value $0.01 2024-02-09 4 M 0 5100 0.00 A 5100 D Common Stock, par value $0.01 2024-02-09 4 M 0 5820 0.00 A 10920 D Restricted Stock Units 2024-02-09 4 M 0 5100 0.00 D Common Stock 5100 0 D Restricted Stock Units 2024-02-09 4 M 0 5820 0.00 D Common Stock 5820 0 D Common Stock Options 1.60 2024-02-09 4 M 0 12160 0.00 D 2023-06-11 2033-06-11 Common Stock 12160 0 D Common Stock Options 1.60 2024-02-09 4 M 0 12160 0.00 A 2023-06-11 2033-06-11 Common Stock 12160 12160 D Common Stock Options 0.59 2024-02-09 4 M 0 6880 0.00 D 2023-11-21 2033-11-21 Common Stock 6880 0 D Common Stock Options 0.59 2024-02-09 4 M 0 6880 0.00 A 2023-11-21 2033-11-21 Common Stock 6880 6880 D Represents the issuance of common stock upon the vesting and settlement of outstanding restricted stock units granted on June 11, 2023, resulting from the full accelerated vesting in connection with Reporting Person's resignation from the Issuer's Board of Directors. Represents the issuance of common stock upon the vesting and settlement of outstanding restricted stock units granted on November 21, 2023, resulting from the full accelerated vesting in connection with Reporting Person's resignation from the Issuer's Board of Directors. This restricted stock unit was granted on June 11, 2023 and pursuant to the issuance upon full vesting as described in Footnote 1, is no longer outstanding. This restricted stock unit was granted on November 21, 2023 and pursuant to the issuance upon full vesting described in Footnote 2, is no longer outstanding. Each restricted stock unit represents the right to receive one share of common stock. Each option represents the right to purchase one share of common stock at the exercise price. Represents the modification of the option granted on June 11, 2023, resulting in (i) immediate vesting in full of the outstanding grant and (ii) extension of the exercise period until the expiration date in connection with Reporting Person's resignation from the Issuer's Board of Directors. Represents the modification of the option granted on November 21, 2023, resulting in (i) immediate vesting in full of the outstanding grant and (ii) extension of the exercise period until the expiration date in connection with Reporting Person's resignation from the Issuer's Board of Directors. /s/ James Neal 2024-02-13