Form 4 for PALI PALISADE BIO, INC.
Accepted 2024-02-13 00:00:00 ET · period of report 2024-02-09 · accession 0001493152-24-006049 · 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 | 2024-02-13 | 2024-02-09 | PALI | Neal James R | Dir | M - OptEx | $0.00 | +10.9K | 5,100 | New | $0 |
| DM | 2024-02-13 | 2024-02-09 | PALI | Neal James R | Dir | M - OptEx | $0.00 | -10.9K | 0 | -100% | $0 |
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 | 2024-02-09 | M | A | 5,820 | $0.00 | 10,920 | D | — | — | (F1) Represents the issuance of common stock upon the vesting and settlement of outstanding restricted stock units granted on June 11, 2023, resulting from the full accelerated vesting in connection with Reporting Person's resignation from the Issuer's Board of Directors. (F2) Represents the issuance of common stock upon the vesting and settlement of outstanding restricted stock units granted on November 21, 2023, resulting from the full accelerated vesting in connection with Reporting Person's resignation from the Issuer's Board of Directors. |
| 2 | Common | Common Stock, par value $0.01 | 2024-02-09 | M | A | 5,100 | $0.00 | 5,100 | D | — | — | (F1) Represents the issuance of common stock upon the vesting and settlement of outstanding restricted stock units granted on June 11, 2023, resulting from the full accelerated vesting in connection with Reporting Person's resignation from the Issuer's Board of Directors. |
| 3 | Derivative | Common Stock Options | 2024-02-09 | M | A | 6,880 | $0.00 | 6,880 | D | $0.59 · 2023-11-21 to 2033-11-21 | 6,880 Common Stock | (F8) Represents the modification of the option granted on November 21, 2023, resulting in (i) immediate vesting in full of the outstanding grant and (ii) extension of the exercise period until the expiration date in connection with Reporting Person's resignation from the Issuer's Board of Directors. (F6) Each option represents the right to purchase one share of common stock at the exercise price. |
| 4 | Derivative | Restricted Stock Units | 2024-02-09 | M | D | 5,100 | $0.00 | 0 | D | — · — to — | 5,100 Common Stock | (F3) This restricted stock unit was granted on June 11, 2023 and pursuant to the issuance upon full vesting as described in Footnote 1, is no longer outstanding. (F5) Each restricted stock unit represents the right to receive one share of common stock. |
| 5 | Derivative | Restricted Stock Units | 2024-02-09 | M | D | 5,820 | $0.00 | 0 | D | — · — to — | 5,820 Common Stock | (F4) This restricted stock unit was granted on November 21, 2023 and pursuant to the issuance upon full vesting described in Footnote 2, is no longer outstanding. (F5) Each restricted stock unit represents the right to receive one share of common stock. |
| 6 | Derivative | Common Stock Options | 2024-02-09 | M | D | 12,160 | $0.00 | 0 | D | $1.60 · 2023-06-11 to 2033-06-11 | 12,160 Common Stock | (F6) Each option represents the right to purchase one share of common stock at the exercise price. (F7) Represents the modification of the option granted on June 11, 2023, resulting in (i) immediate vesting in full of the outstanding grant and (ii) extension of the exercise period until the expiration date in connection with Reporting Person's resignation from the Issuer's Board of Directors. |
| 7 | Derivative | Common Stock Options | 2024-02-09 | M | A | 12,160 | $0.00 | 12,160 | D | $1.60 · 2023-06-11 to 2033-06-11 | 12,160 Common Stock | (F6) Each option represents the right to purchase one share of common stock at the exercise price. (F7) Represents the modification of the option granted on June 11, 2023, resulting in (i) immediate vesting in full of the outstanding grant and (ii) extension of the exercise period until the expiration date in connection with Reporting Person's resignation from the Issuer's Board of Directors. |
| 8 | Derivative | Common Stock Options | 2024-02-09 | M | D | 6,880 | $0.00 | 0 | D | $0.59 · 2023-11-21 to 2033-11-21 | 6,880 Common Stock | (F8) Represents the modification of the option granted on November 21, 2023, resulting in (i) immediate vesting in full of the outstanding grant and (ii) extension of the exercise period until the expiration date in connection with Reporting Person's resignation from the Issuer's Board of Directors. (F6) Each option represents the right to purchase one share of common stock at the exercise price. |