Form 4 for PALI PALISADE BIO, INC.
Accepted 2023-04-05 00:00:00 ET · period of report 2023-04-03 · accession 0001493152-23-011082 · 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 | 2023-04-05 | 2023-04-03 | PALI | McRae Robert Curtis | COO | F - Tax | $2.00 | -270 | 625 | -30% | -$540 |
| D | 2023-04-05 | 2023-04-03 | PALI | McRae Robert Curtis | COO | M - OptEx | $0.00 | +655 | 895 | +273% | $0 |
| D | 2023-04-05 | 2023-04-03 | PALI | McRae Robert Curtis | COO | M - OptEx | — | -655 | 1,963 | -25% | — |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock, par value $0.01 | 2023-04-03 | F | D | 270 | $2.00 | 625 | D | — | — | (F2) Represents shares withheld by Issuer to satisfy tax withholding requirements on vesting of restricted stock units. |
| 2 | Common | Common Stock, par value $0.01 | 2023-04-03 | M | A | 655 | $0.00 | 895 | D | — | — | (F1) 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. |
| 3 | Derivative | Restricted Stock Units | 2023-04-03 | M | D | 655 | — | 1,963 | D | — · — to — | 655 Common Stock | (F1) 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. (F3) This restricted stock unit was granted on January 3, 2023, and 655 restricted stock units subject to the award vested on April 3, 2023, and approximately 654 restricted stock units are scheduled to vest on each of July 3, 2023, October 3, 2023, and January 3, 2023, subject to Reporting Person continuing to be a service provider to Issuer at the time of vesting. |