Form 4 for PALI PALISADE BIO, INC.
Accepted 2023-11-08 00:00:00 ET · period of report 2023-11-06 · accession 0001493152-23-039936 · 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 | 2023-11-06 | PALI | Finley John David | CEO, CFO, Dir | M - OptEx | $0.00 | +3,475 | 47.8K | +8% | $0 |
| D | 2023-11-08 | 2023-11-06 | PALI | Finley John David | CEO, CFO, Dir | M - OptEx | — | -3,475 | 31.3K | -10% | — |
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 | 2023-11-06 | M | A | 3,475 | $0.00 | 47,781 | D | — | — | (F1) Represents the issuance of common stock upon the vesting and settlement of outstanding restricted stock units. |
| 2 | Derivative | Restricted Stock Units | 2023-11-06 | M | D | 3,475 | — | 31,275 | D | — · — to — | 3,475 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 February 6, 2023, and 3,475 restricted stock units subject to the award vested on November 6, 2023, and an additional 31,275 restricted stock units will vest in equal installments over the remaining three-year period from the grant date, subject to Reporting Person continuing to be a service provider to Issuer at the time of vesting. |