0001493152-24-018282.txt : 20240508
0001493152-24-018282.hdr.sgml : 20240508
20240508183623
ACCESSION NUMBER: 0001493152-24-018282
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20240506
FILED AS OF DATE: 20240508
DATE AS OF CHANGE: 20240508
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Finley John David
CENTRAL INDEX KEY: 0001851034
ORGANIZATION NAME:
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33672
FILM NUMBER: 24927908
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]
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
2024-05-06
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
2024-05-06
4
M
0
232
0.00
A
6688
D
Common Stock, par value $0.01
2024-05-06
4
F
0
67
8.46
D
6621
D
Common Stock, par value $0.01
2024-05-06
4
M
0
211
0.00
A
6832
D
Common Stock, par value $0.01
2024-05-06
4
F
0
61
8.46
D
6771
D
Common Stock, par value $0.01
51
I
By FCW Investments, LLC
Restricted Stock Units
2024-05-06
4
M
0
232
D
Common Stock
232
1622
D
Restricted Stock Units
2024-05-06
4
M
0
211
D
Common Stock
211
2111
D
Represents the issuance of common stock upon the vesting and settlement of outstanding restricted stock units for the restricted stock units granted on June 8, 2023.
Represents shares withheld to cover tax withholding obligations in connection with the vesting and settlement of the restricted stock units referenced in footnote 1.
Represents the issuance of common stock upon the vesting and settlement of outstanding restricted stock units for the restricted stock units granted on November 21, 2023.
Represents shares withheld to cover tax withholding obligations in connection with the vesting and settlement of the restricted stock units referenced in footnote 3.
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.
Each restricted stock unit represents the right to receive, at settlement, one share of common stock.
This restricted stock unit was granted on June 8, 2023, and 232 restricted stock units subject to the award vested on May 6, 2024, and an additional 1,622 restricted stock units will vest in equal quarterly installments over the remaining portion of the three-year period from the grant date, subject to Reporting Person continuing to be a service provider to Issuer at the time of vesting.
This restricted stock unit was granted on November 21, 2023, and 211 restricted stock units subject to the award vested on May 6, 2024, and an additional 2,111 restricted stock units will vest in equal quarterly installments over the remaining portion of the three-year period from the grant date, subject to Reporting Person continuing to be a service provider to Issuer at the time of vesting.
/s/ JD Finley
2024-05-08