Form 4 for PALI PALISADE BIO, INC.

Accepted 2022-08-18 00:00:00 ET · period of report 2022-08-16 · accession 0001493152-22-023510 · SEC index · Original document

Summary rows

Aggregated the way they appear in lists: one row per insider, transaction code and security table.

X	Filed	Traded	Ticker	Insider	Title	Type	Price	Qty	Owned	ΔOwn	Value
D	2022-08-18	2022-08-16	PALI	Finley John David	CFO	P - Purchase	$0.25	+100.0K	121.9K	+457%	+$25.0K
DM	2022-08-18	2022-08-16	PALI	Finley John David	CFO	P - Purchase	$0.00	+200.0K	100.0K	New	$0

Purchase Sale Sale after option exercise All abbreviations

#	Table	Security	Date	Code	A/D	Shares	Price	Owned after	Own	Exercise / expiry	Underlying	Footnotes
1	Common	Common Stock, par value $0.01	2022-08-16	P	A	100,000	$0.25	121,896	D	—	—
2	Derivative	Series 2 Common Stock Purchase Warrant	2022-08-16	P	A	100,000	$0.00	100,000	D	$0.25 · — to 2027-08-16	100,000 Common Stock	(F4) Represents Series 2 Common Stock Purchase Warrants received as part of the Units purchased by Reporting Person. The Series 2 Warrants are exercisable upon receipt of stockholder approval per Nasdaq rules, which has not been obtained as of the date of this Form 4.
3	Derivative	Series 1 Common Stock Purchase Warrant	2022-08-16	P	A	100,000	$0.00	100,000	D	$0.25 · — to 2023-08-16	100,000 Common Stock	(F3) Represents Series 1 Common Stock Purchase Warrants received as part of the Units purchased by Reporting Person. The Series 1 Warrants are exercisable upon receipt of stockholder approval per Nasdaq rules, which has not been obtained as of the date of this Form 4.