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PALISADE BIO, INC. — Director's Dealing 2014
Feb 13, 2014
35274_dirs_2014-02-13_5c68610c-da70-44e8-802e-a752afe4a472.zip
Director's Dealing
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SEC Form 4/A — Form 4/A
Issuer: Neuralstem, Inc. (CUR)
CIK: 0001357459
Period of Report: 2014-01-24
Reporting Person: GARR RICHARD (Director, CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-01-24 | Common Stock | M | 400000 | $0.50 | Acquired | 1455327 | Direct |
| 2014-01-24 | Common Stock | F | 65789 | $3.04 | Disposed | 1389538 | Direct |
| 2014-01-24 | Common Stock | F | 140201 | $3.04 | Disposed | 1249337 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2014-01-24 | Common Stock Purchase Option | $0.50 | M | 400000 | Acquired | 2015-07-28 | Common Stock (400000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 252000 | Indirect |
Footnotes
F1: Represents shares issued / cancelled upon the cashless exercise of an option to purchase 400,000 shares of Common Stock at an exercise price of $0.50 per share using a fair market value of the Issuer's stock on 1/24/2014 of $3.04.
F2: Represents the shares of Common Stock withheld to satisfy the reporting person's tax withholding obligation upon exercise of Common Stock Purchase Option. The deemed disposition of the withheld shares is exempt pursuant to Rule 16b-3.
F3: Reporting Person disclaims all interest, including pecuniary, of securities. Securities are held in spouse's name as her "sole and separate" property.
F4: Represents the cashless exercise of an option to purchase shares of Common Stock at an exercise price of $0.50.
F5: Right to Buy.