Form 4 for PALI PALISADE BIO, INC.
Accepted 2024-05-30 00:00:00 ET · period of report 2024-05-28 · accession 0001493152-24-022037 · 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 | 2024-05-30 | 2024-05-28 | PALI | Finley John David | CEO, CFO, Dir | F - Tax | $4.76 | -2,033 | 9,592 | -17% | -$9,677 |
| DM | 2024-05-30 | 2024-05-28 | PALI | Finley John David | CEO, CFO, Dir | M - OptEx | $0.00 | +7,068 | 14.1K | +101% | $0 |
| DM | 2024-05-30 | 2024-05-28 | PALI | Finley John David | CEO, CFO, Dir | M - OptEx | — | -7,068 | 0 | -100% | — |
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 | 2024-05-28 | F | D | 607 | $4.76 | 13,472 | D | — | — | (F6) Represents shares withheld to cover tax withholding obligations in connection with the vesting and settlement of the restricted stock units referenced in footnote 5. |
| 2 | Common | Common Stock, par value $0.01 | 2024-05-28 | F | D | 959 | $4.76 | 11,968 | 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 | 2024-05-28 | M | A | 3,335 | $0.00 | 12,927 | 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 June 11, 2023. |
| 4 | Common | Common Stock, par value $0.01 | 2024-05-28 | F | D | 467 | $4.76 | 9,592 | 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 | Common | Common Stock, par value $0.01 | 2024-05-28 | M | A | 1,622 | $0.00 | 10,059 | 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 June 8, 2023. |
| 6 | Common | Common Stock, par value $0.01 | 2024-05-28 | M | A | 2,111 | $0.00 | 14,079 | D | — | — | (F5) 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. |
| 7 | Derivative | Restricted Stock Units | 2024-05-28 | M | D | 2,111 | — | 0 | D | — · — to — | 2,111 Common Stock | (F11) This restricted stock unit was granted on November 21, 2023, and all remaining 2,111 restricted stock units subject to the award were accelerated and vested on May 28, 2024 by the Compensation Committee of the Issuer. (F8) Each restricted stock unit represents the right to receive, at settlement, one share of common stock. |
| 8 | Derivative | Restricted Stock Units | 2024-05-28 | M | D | 3,335 | — | 0 | D | — · — to — | 3,335 Common Stock | (F10) This restricted stock unit was granted on June 11, 2023, and all remaining 3,335 restricted stock units subject to the award were accelerated and vested on May 28, 2024 by the Compensation Committee of the Issuer. (F8) Each restricted stock unit represents the right to receive, at settlement, one share of common stock. |
| 9 | Derivative | Restricted Stock Units | 2024-05-28 | M | D | 1,622 | — | 0 | D | — · — to — | 1,622 Common Stock | (F9) This restricted stock unit was granted on June 8, 2023, and all remaining 1,622 restricted stock units subject to the award were accelerated and vested on May 28, 2024 by the Compensation Committee of the Issuer. (F8) Each restricted stock unit represents the right to receive, at settlement, one share of common stock. |