SEC Form 4 · accession 0001144204-15-067242
PALISADE BIO, INC. · PALI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William Clyde Oldaker
Director
Period of report
Nov 19, 2015
Accepted (ET)
Nov 20, 2015 · 4:16 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001357459
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Nov 19, 2015 | M | 15,000 | $0.00 | A | 196,826 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF2,F1 | — | Nov 19, 2015 | M | 15,000 | D | Nov 15, 2015 | — | Common Stock | 15,000 | 0 | D |
Explanation of responses
- F1Represents the conversion of restricted stock units into Common Stock. On November 19, 2015, the reporting person was granted 15,000 shares of Common Stock upon conversion.
- F2Each restricted stock unit represents a right to receive one share of Neuralstem's Common Stock.