Thomas Hallam - 16 Aug 2022 Form 4 Insider Report for PALISADE BIO, INC. (PALI)

Reporting relationship: Chief Executive Officer, Director
Issuer ticker: PALI
Reported as of: 16 Aug 2022
Net transaction value: +$10,000
SEC form: 4
Accepted by SEC: 18 Aug 2022, 21:06:31 UTC
Prior SEC filing: 29 Mar 2022
Source filing: View source filing
Reporting owner signature: /s/ JD Finley, Attorney-in-Fact for Thomas Hallam

Key filing fact

Thomas Hallam filed Form 4 for PALISADE BIO, INC. (PALI) on 18 Aug 2022.

Key facts

This page summarizes Thomas Hallam's Form 4 filing for PALISADE BIO, INC. (PALI).
3 reported transactions and 2 derivative rows are listed below.
Accepted by SEC: 18 Aug 2022, 21:06.

Change

Previous filing in this sequence was filed on 29 Mar 2022.
Current net transaction value: +$10,000.

Research use

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Evidence

Filed on Form 4

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

PALI transaction

Common Stock, par value $0.01

Purchase

Transaction value: $10,000
Shares: +40,000
Change %: +227%
Price: $0.2500
Shares after: 57,592
Date: 16 Aug 2022
Ownership: Direct
Footnotes: F1

Reported derivative securities

Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.

PALI transaction Derivative

Series 1 Common Stock Purchase Warrant

Purchase

Transaction value: $0
Shares: +40,000
Change %
Price: $0.000000
Shares after: 40,000
Date: 16 Aug 2022
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 40,000
Exercise price: $0.2500
Footnotes: F2

PALI transaction Derivative

Series 2 Common Stock Purchase Warrant

Purchase

Transaction value: $0
Shares: +40,000
Change %
Price: $0.000000
Shares after: 40,000
Date: 16 Aug 2022
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 40,000
Exercise price: $0.2500
Footnotes: F3

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 3 footnotes

Footnote F1

Represents common shares underlying 40,000 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.

Footnote F2

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.

Footnote F3

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.