Filing Details
- Accession Number:
- 0001493152-22-023510
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2022-08-18 21:04:53
- Reporting Period:
- 2022-08-16
- Accepted Time:
- 2022-08-18 21:04:53
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1357459 | Palisade Bio Inc. | PALI | Biological Products, (No Disgnostic Substances) (2836) | 522007292 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1851034 | David John Finley | 7750 El Camino Real, Suite 5200 Carlsbad, CA 92009 | Chief Financial Officer | No | Yes | No | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock, Par Value $0.01 | Acquisiton | 2022-08-16 | 100,000 | $0.25 | 121,896 | No | 4 | P | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Series 1 Common Stock Purchase Warrant | Acquisiton | 2022-08-16 | 100,000 | $0.00 | 100,000 | $0.25 |
Common Stock | Series 2 Common Stock Purchase Warrant | Acquisiton | 2022-08-16 | 100,000 | $0.00 | 100,000 | $0.25 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
100,000 | 2023-08-16 | No | 4 | P | Direct | |
100,000 | 2027-08-16 | No | 4 | P | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock, Par Value $0.01 | 38,867 | Indirect | By FCW Investments, LLC |
Footnotes
- Represents common shares underlying 100,000 Units of Issuer purchased by Reporting Person ("Units") in Underwritten Offering with each Unit containing (i) one share of common stock, (ii) one Series 1 Warrant and (iii) One Series 2 Warrant at a price per Unit of $0.25.
- Reporting Person is the managing member of FCW Investments LLC and has the sole investment and voting power over the securities held by this entity.
- Represents Series 1 Common Stock Purchase Warrants received as part of the Units purchased by Reporting Person. The Series 1 Warrants are exercisable upon receipt of stockholder approval per Nasdaq rules, which has not been obtained as of the date of this Form 4.
- Represents Series 2 Common Stock Purchase Warrants received as part of the Units purchased by Reporting Person. The Series 2 Warrants are exercisable upon receipt of stockholder approval per Nasdaq rules, which has not been obtained as of the date of this Form 4.