Form 4 for PALI PALISADE BIO, INC.
Accepted 2024-02-08 00:00:00 ET · period of report 2023-02-06 · accession 0001493152-24-005482 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2024-02-08 | 2024-02-06 | PALI | Jones Mitchell Lawrence | Chief Medical Off | M - OptEx | $0.00 | +6,891 | 9,815 | +236% | $0 |
| D | 2024-02-08 | 2024-02-06 | PALI | Jones Mitchell Lawrence | Chief Medical Off | F - Tax | $0.44 | -2,153 | 7,662 | -22% | -$947.32 |
| DM | 2024-02-08 | 2024-02-06 | PALI | Jones Mitchell Lawrence | Chief Medical Off | M - OptEx | — | -6,891 | 45.6K | -13% | — |
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 | 2024-02-06 | M | A | 4,558 | $0.00 | 7,482 | D | — | — | (F1) Represents the issuance of common stock upon the vesting and settlement of outstanding restricted stock units for the restricted stock units granted on September 5, 2023. |
| 2 | Common | Common Stock, par value $0.01 | 2024-02-06 | F | D | 2,153 | $0.44 | 7,662 | D | — | — | (F3) Represents shares sold on behalf of Reporting Person to satisfy tax requirements related to the vesting of the restricted stock units for each of the vested portions of the grant. |
| 3 | Common | Common Stock, par value $0.01 | 2024-02-06 | M | A | 2,333 | $0.00 | 9,815 | D | — | — | (F2) Represents the issuance of common stock upon the vesting and settlement of outstanding restricted stock units for the restricted stock units granted on November 21, 2023. |
| 4 | Derivative | Restricted Stock Units | 2024-02-06 | M | D | 2,333 | — | 25,667 | D | — · — to — | 2,333 Common Stock | (F6) This restricted stock unit was granted on November 21, 2023, and 2,333 restricted stock units subject to the award vested on February 6, 2024, and an additional 25,667 restricted stock units will vest in equal quarterly installments over the remaining portion of the three-year period from the grant date, subject to Reporting Person continuing to be a service provider to Issuer at the time of vesting. (F4) Each restricted stock unit represents the right to receive, at settlement, one share of common stock. |
| 5 | Derivative | Restricted Stock Units | 2024-02-06 | M | D | 4,558 | — | 45,586 | D | — · — to — | 4,558 Common Stock | (F5) This restricted stock unit was granted on September 5, 2023, and 4,558 restricted stock units subject to the award vested on February 6, 2024, and an additional 45,586 restricted stock units will vest in equal quarterly installments over the remaining portion of the three-year period from the grant date, subject to Reporting Person continuing to be a service provider to Issuer at the time of vesting. (F4) Each restricted stock unit represents the right to receive, at settlement, one share of common stock. |