Form 4 for PALI PALISADE BIO, INC.
Accepted 2023-10-05 00:00:00 ET · period of report 2023-10-03 · accession 0001493152-23-036404 · 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 | 2023-10-05 | 2023-10-03 | PALI | Finley John David | CEO, CFO, Dir | M - OptEx | $0.00 | +1,309 | 44.7K | +3% | $0 |
| D | 2023-10-05 | 2023-10-04 | PALI | Finley John David | CEO, CFO, Dir | F - Tax | $0.55 | -397 | 44.3K | -0.9% | -$218.35 |
| D | 2023-10-05 | 2023-10-03 | PALI | Finley John David | CEO, CFO, Dir | M - OptEx | — | -1,309 | 1,309 | -50% | — |
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 | 2023-10-03 | M | A | 1,309 | $0.00 | 44,703 | 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. |
| 2 | Common | Common Stock, par value $0.01 | 2023-10-04 | F | D | 397 | $0.55 | 44,306 | D | — | — | (F2) Represents shares sold on behalf of Reporting Person to satisfy tax requirements related to the vesting of the restricted stock units. |
| 3 | Derivative | Restricted Stock Units | 2023-10-03 | M | D | 1,309 | — | 1,309 | D | — · — to — | 1,309 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. (F4) This restricted stock unit was granted on January 3, 2023, and 1,309 restricted stock units subject to the award vested on October 4, 2023, and an additional 1,309 restricted stock units will vest on January 3, 2024, subject to Reporting Person continuing to be a service provider to Issuer at the time of vesting. |