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PALISADE BIO, INC. — Director's Dealing 2015
Nov 20, 2015
35274_dirs_2015-11-20_8236ba37-35dd-4d67-a7dd-f4c69aa6059a.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Neuralstem, Inc. (CUR)
CIK: 0001357459
Period of Report: 2015-11-19
Reporting Person: JOHE KARL (Director, Chief Scientific Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2015-11-19 | Common Stock | M | 143247 | — | Acquired | 969551 | Direct |
| 2015-11-19 | Common Stock | F | 39178 | $1.14 | Disposed | 930373 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2015-11-19 | Restricted Stock Unit | $ | M | 143247 | Disposed | Common Stock (143247) | Direct |
Footnotes
F1: Represents the conversion of restricted stock units into Common Stock. On November 19, 2015, the reporting person was granted 143,247 shares of Common Stock, of which 39,178 shares were forfeited for tax withholding purposes.
F2: 23,874 Shares of Common Stock issued upon conversion of the restricted stock units are being held as collateral for the payment of Reporting Person's divorce settlement.
F3: Each restricted stock unit represents a right to receive one share of Neuralstem's Common Stock.
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