Form 4 for PALI PALISADE BIO, INC.
Accepted 2023-11-08 00:00:00 ET · period of report 2023-11-06 · accession 0001493152-23-039935 · 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 | 2023-11-08 | 2023-11-07 | PALI | Jones Mitchell Lawrence | Chief Medical Off | F - Tax | $0.54 | -1,630 | 2,926 | -36% | -$880.20 |
| D | 2023-11-08 | 2023-11-06 | PALI | Jones Mitchell Lawrence | Chief Medical Off | M - OptEx | $0.00 | +4,556 | 4,556 | New | $0 |
| D | 2023-11-08 | 2023-11-06 | PALI | Jones Mitchell Lawrence | Chief Medical Off | M - OptEx | — | -4,556 | 50.1K | -8% | — |
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 | 2023-11-07 | F | D | 1,630 | $0.54 | 2,926 | D | — | — | (F2) Represents shares sold on behalf of Reporting Person to satisfy tax requirements related to the vesting of the restricted stock units. |
| 2 | Common | Common Stock, par value $0.01 | 2023-11-06 | M | A | 4,556 | $0.00 | 4,556 | D | — | — | (F1) Represents the issuance of common stock upon the vesting and settlement of outstanding restricted stock units. |
| 3 | Derivative | Restricted Stock Units | 2023-11-06 | M | D | 4,556 | — | 50,144 | D | — · — to — | 4,556 Common Stock | (F4) Each restricted stock unit represents the right to receive, at settlement, one share of common stock. (F3) This restricted stock unit was granted on September 5, 2023, and 4,556 restricted stock units subject to the award vested on November 6, 2023, and an additional 50,144 restricted stock units will vest in equal installments over the eleven (11) quarterly periods thereafter, subject to Reporting Person continuing to be a service provider to Issuer at the time of vesting. |