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