PALISADE BIO, INC. — Director's Dealing 2023

Sep 13, 2023

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: PALISADE BIO, INC. (PALI)
CIK: 0001357459
Period of Report: 2023-09-11

Reporting Person: Finley John David (Director, CEO, CFO, Director)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2023-09-11	Common Stock, par value $0.01	M	5558	$0.00	Acquired	15186	Direct
2023-09-12	Common Stock, par value $0.01	F	1792	$0.655	Disposed	13394	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2023-09-11	Restricted Stock Units	$	M	5558	Disposed		Common Stock (5558)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock, par value $0.01	777	Indirect

Footnotes

F1: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. This transaction represents the settlement of restricted stock units in shares of common stock on their scheduled vesting date.

F2: Represents shares sold on behalf of Reporting Person on September 11, 2023, to satisfy tax requirements related to the vesting of the restricted stock units.

F3: Reporting Person is the managing member of FCW Investments LLC and has the sole investment and voting power over the securities held by this entity.

F4: This restricted stock unit was granted on June 11, 2023, and 5,558 restricted stock units subject to the award vested on September 11, 2023, and an additional 61,142 restricted stock units will vest in equal installments over the remaining three-year period from the grant date, subject to Reporting Person continuing to be a service provider to Issuer at the time of vesting.