Form 4 for PALI PALISADE BIO, INC.
Accepted 2024-05-08 00:00:00 ET · period of report 2024-05-06 · accession 0001493152-24-018284 · 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 | 2024-05-08 | 2024-05-06 | PALI | Jones Mitchell Lawrence | CEO, CFO, Dir | M - OptEx | $0.00 | +460 | 880 | +110% | $0 |
| DM | 2024-05-08 | 2024-05-06 | PALI | Jones Mitchell Lawrence | CEO, CFO, Dir | F - Tax | $8.46 | -137 | 724 | -16% | -$1,159 |
| DM | 2024-05-08 | 2024-05-06 | PALI | Jones Mitchell Lawrence | CEO, CFO, Dir | M - OptEx | — | -460 | 2,735 | -14% | — |
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 | 2024-05-06 | M | A | 304 | $0.00 | 814 | 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 | 2024-05-06 | F | D | 47 | $8.46 | 833 | D | — | — | (F4) Represents shares withheld to cover tax withholding obligations in connection with the vesting and settlement of the restricted stock units referenced in footnote 3. |
| 3 | Common | Common Stock, par value $0.01 | 2024-05-06 | M | A | 156 | $0.00 | 880 | D | — | — | (F3) 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 | Common | Common Stock, par value $0.01 | 2024-05-06 | F | D | 90 | $8.46 | 724 | D | — | — | (F2) Represents shares withheld to cover tax withholding obligations in connection with the vesting and settlement of the restricted stock units referenced in footnote 1. |
| 5 | Derivative | Restricted Stock Units | 2024-05-06 | M | D | 156 | — | 1,555 | D | — · — to — | 156 Common Stock | (F7) This restricted stock unit was granted on November 21, 2023, and 156 restricted stock units subject to the award vested on May 6, 2024, and an additional 1,555 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. (F5) Each restricted stock unit represents the right to receive, at settlement, one share of common stock. |
| 6 | Derivative | Restricted Stock Units | 2024-05-06 | M | D | 304 | — | 2,735 | D | — · — to — | 304 Common Stock | (F6) This restricted stock unit was granted on September 5, 2023, and 304 restricted stock units subject to the award vested on May 6, 2024, and an additional 2,735 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. (F5) Each restricted stock unit represents the right to receive, at settlement, one share of common stock. |