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4//SEC Filing

Hallam Thomas 4

Accession 0001209191-21-029076

CIK 0001357459other
View on SEC.govCompany Profile

Filed

Apr 28, 8:00 PM ET

Accepted

Apr 29, 5:52 PM ET

Size

34.9 KB

Accession

0001209191-21-029076

Insider Transaction Report

Form 4
Period: 2021-04-27
PALISADE BIO, INC.PALI
Hallam Thomas
DirectorChief Executive Officer
Transactions
  • Award

    Common Stock

    2021-04-27+1,592→ 1,592 total
  • Award

    Stock Option (Right to Buy)

    2021-04-27+27,189→ 27,189 total
    Exercise: $18.39Exp: 2023-10-01→ Common Stock (27,189 underlying)
  • Award

    Stock Option (Right to Buy)

    2021-04-27+477→ 477 total
    Exercise: $27.59Exp: 2024-02-02→ Common Stock (477 underlying)
  • Award

    Stock Option (Right to Buy)

    2021-04-27+6,797→ 6,797 total
    Exercise: $27.59Exp: 2025-02-02→ Common Stock (6,797 underlying)
  • Award

    Stock Option (Right to Buy)

    2021-04-27+15,002→ 15,002 total
    Exercise: $53.33Exp: 2029-03-22→ Common Stock (15,002 underlying)
  • Award

    Stock Option (Right to Buy)

    2021-04-27+12,294→ 12,294 total
    Exercise: $26.85Exp: 2030-02-19→ Common Stock (12,294 underlying)
  • Award

    Stock Option (Right to Buy)

    2021-04-27+4,078→ 4,078 total
    Exercise: $14.72Exp: 2022-10-10→ Common Stock (4,078 underlying)
  • Award

    Stock Option (Right to Buy)

    2021-04-27+2,719→ 2,719 total
    Exercise: $27.59Exp: 2027-11-10→ Common Stock (2,719 underlying)
  • Award

    Stock Option (Right to Buy)

    2021-04-27+95,572→ 95,572 total
    Exercise: $27.59Exp: 2027-11-10→ Common Stock (95,572 underlying)
  • Award

    Stock Option (Right to Buy)

    2021-04-27+22,730→ 22,730 total
    Exercise: $41.20Exp: 2029-03-22→ Common Stock (22,730 underlying)
  • Award

    Stock Option (Right to Buy)

    2021-04-27+8,754→ 8,754 total
    Exercise: $41.20Exp: 2029-03-22→ Common Stock (8,754 underlying)
  • Award

    Stock Option (Right to Buy)

    2021-04-27+20,392→ 20,392 total
    Exercise: $41.20Exp: 2029-03-22→ Common Stock (20,392 underlying)
  • Award

    Stock Option (Right to Buy)

    2021-04-27+27,190→ 27,190 total
    Exercise: $17.72Exp: 2031-04-26→ Common Stock (27,190 underlying)
Footnotes (20)
  • [F1]The Reporting Person acquired the shares of the Issuer in exchange for 58,582 shares of common stock of Leading BioSciences, Inc. ("LBS"), pursuant to the Agreement and Plan of Merger, dated December 16, 2020, among Seneca Biopharma Inc., Townsgate Acquisition Sub 1, Inc. and LBS (the "Merger"). Per the terms of the Merger, each share of LBS's common stock was converted into the right to receive 0.02719 shares of Seneca's common stock. In the Merger, the name of the Issuer was changed from Seneca Biopharma, Inc. to Palisade Bio, Inc.
  • [F10]Received in the Merger in exchange for a stock option to acquire 100,000 shares of LBS common stock for $0.75 per share.
  • [F11]The stock option vests according to the following schedule: 25% of the shares underlying the option vests on grant date and the remaining 75% vests in nine equal quarterly installments thereafter beginning on January 1, 2018.
  • [F12]Received in the Merger in exchange for a stock option to acquire 3,515,000 shares of LBS common stock for $0.75 per share.
  • [F13]The stock option vests according to the following schedule: 67% of the shares underlying the option vests on the grant date and the remaining 33% vests in eight equal quarterly installments thereafter beginning on March 31, 2019.
  • [F14]Received in the Merger in exchange for a stock option to acquire 836,000 shares of LBS common stock for $1.12 per share.
  • [F15]Received in the Merger in exchange for a stock option to acquire 322,000 shares of LBS common stock for $1.12 per share.
  • [F16]Received in the Merger in exchange for a stock option to acquire 750,000 shares of LBS common stock for $1.12 per share.
  • [F17]The stock option vests according to the following schedule: 67% of the shares underlying the option vests on the grant date and the remaining 33% vests in four equal quarterly installments thereafter beginning on March 31, 2019.
  • [F18]Received in the Merger in exchange for a stock option to acquire 551,753 shares of LBS common stock for $1.45 per share.
  • [F19]Received in the Merger in exchange for a stock option to acquire 452,200 shares of LBS common stock for $0.73 per share.
  • [F2]The stock option vested according to the following schedule: 50% of the shares underlying the option vested on the grant date and the remaining 50% vested in six equal quarterly installments thereafter beginning on July 9, 2014.
  • [F20]Received in the Merger in exchange for a stock option to acquire 1,000,000 shares of LBS common stock for $0.48 per share.
  • [F3]Received in the Merger in exchange for a stock option to acquire 150,000 shares of LBS common stock for $0.40 per share.
  • [F4]The stock option vested according to the following schedule: 17% of the shares underlying the option vested on grant date and the remaining 83% vested in 10 equal quarterly installments thereafter beginning on June 30, 2014.
  • [F5]Received in the Merger in exchange for a stock option to acquire 1,000,000 shares of LBS common stock for $0.50 per share.
  • [F6]The option vests in 12 equal quarterly installments from the vesting commencement date.
  • [F7]Received in the Merger in exchange for a stock option to acquire 250,000 shares of LBS common stock for $0.75 per share.
  • [F8]The stock option is fully vested.
  • [F9]Received in the Merger in exchange for a stock option to acquire 17,567 shares of LBS common stock for $0.75 per share.

Documents

1 file

Issuer

PALISADE BIO, INC.

CIK 0001357459

→
Entity typeother

Related Parties

1
  • filerCIK 0001850921

Filing Metadata

Form type
4
Filed
Apr 28, 8:00 PM ET
Accepted
Apr 29, 5:52 PM ET
Size
34.9 KB
View on SEC.gov