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  4. [Form 4] PALISADE BIO, INC. Insider Trading Activity

Palisade Bio (PALI) director reports major RSU grant and new share holdings

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

Palisade Bio director Donald Allen Williams increased his equity stake through stock-based compensation rather than market trades. He received a grant of 1,498,900 restricted stock units (RSUs) that vest in three equal annual installments starting on the earlier of the 2027 annual stockholders meeting or the anniversary of June 10, 2026, subject to continued service. On June 10, 2026, 60,666 previously granted RSUs vested and were converted into Common Stock at no cash exercise price, contributing to direct ownership of 1,509,628 common shares and 121,334 remaining RSUs. He also has 3,000 additional shares held indirectly through his defined benefit plan.

Positive

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Insights

Transactions reflect routine equity compensation grants and RSU vesting, not open‑market buying or selling.

Director Donald Allen Williams received a grant of 1,498,900 RSUs and had 60,666 RSUs vest into Common Stock on June 10, 2026. Both are non-cash compensation events at a stated price of $0.0000 per share, typical for stock awards.

The filing shows 1,509,628 Common Stock shares held directly after these transactions, plus 121,334 remaining RSUs and 3,000 shares indirectly via a defined benefit plan. Because there are no open‑market purchases or sales, these actions mainly adjust the mix and scale of his equity-based compensation rather than signaling a change in market view.

Insider Williams Donald Allen
Role null
Type Security Shares Price Value
Exercise Restricted Stock Units 60,666 $0.00 --
Grant/Award Common Stock 1,498,900 $0.00 --
Exercise Common Stock 60,666 $0.00 --
holding Common Stock -- -- --
Holdings After Transaction: Restricted Stock Units — 121,334 shares (Direct, null); Common Stock — 1,509,628 shares (Direct, null); Common Stock — 3,000 shares (Indirect, By Reporting Person's Defined Benefit Plan)
Footnotes (1)
  1. The Reporting Person was granted restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs are subject to a service-based vesting requirement and shall vest in three equal annual installments, with the first installment vesting on the earlier of (i) the date of the 2027 annual meeting of stockholders or (ii) the anniversary of June 10, 2026, subject to the Reporting Person's continuous service with the Issuer through such date. The Reporting Person was granted RSUs. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs vested on June 10, 2026. The RSUs are subject to a service-based vesting requirement and shall vest in three equal annual installments, with the first installment vesting on the earlier of (i) the date of the 2026 annual meeting of stockholders or (ii) the anniversary of October 6, 2025, subject to the Reporting Person's continuous service with the Issuer through such date.
RSU grant 1,498,900 units Restricted Stock Units granted to director on June 10, 2026
RSUs vested and converted 60,666 units/shares RSUs vested and converted into Common Stock on June 10, 2026
Direct Common Stock holdings 1,509,628 shares Total Common Stock directly held following reported transactions
Remaining RSU balance 121,334 units Restricted Stock Units remaining after the 60,666-unit vesting event
Indirect holdings 3,000 shares Common Stock held via reporting person’s defined benefit plan
Exercise price for RSU conversion $0.0000 per share Price per share for RSUs converted to Common Stock
Restricted Stock Units financial
"The Reporting Person was granted restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share..."
Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.
service-based vesting requirement financial
"The RSUs are subject to a service-based vesting requirement and shall vest in three equal annual installments..."
annual meeting of stockholders financial
"with the first installment vesting on the earlier of (i) the date of the 2027 annual meeting of stockholders..."
defined benefit plan financial
"nature_of_ownership: By Reporting Person's Defined Benefit Plan"
A defined benefit plan is a retirement program that guarantees workers a specific monthly payment after they retire, with the employer responsible for funding whatever is needed to meet that promise. Investors care because these plans create long-term payment obligations that can affect a company’s cash flow and balance sheet—similar to a homeowner having a fixed mortgage the household must cover regardless of income swings.
Exercise or conversion of derivative security financial
"transaction_code_description: Exercise or conversion of derivative security"
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Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:3235-0287
Estimated average burden
hours per response:0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Williams Donald Allen
(Last)(First)(Middle)
C/O PALISADE BIO, INC.
4600 SOUTH SYRACUSE STREET, SUITE 900
(Street)
DENVER COLORADO 80237
(City)(State)(Zip)
UNITED STATES
(Country)		2. Issuer Name and Ticker or Trading Symbol
PALISADE BIO, INC. [ PALI ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
XDirector10% Owner
Officer (give title below)Other (specify below)
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
06/10/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year)2A. Deemed Execution Date, if any (Month/Day/Year)3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeVAmount(A) or (D)Price
Common Stock06/10/2026A(1)1,498,900A(1)1,509,628D
Common Stock06/10/2026M(2)60,666A(2)1,570,294D
Common Stock3,000IBy Reporting Person's Defined Benefit Plan
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year)3A. Deemed Execution Date, if any (Month/Day/Year)4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year)7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Restricted Stock Units(3)06/10/2026M60,666 (3) (3)Common Stock60,666$0121,334D
Explanation of Responses:
1. The Reporting Person was granted restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs are subject to a service-based vesting requirement and shall vest in three equal annual installments, with the first installment vesting on the earlier of (i) the date of the 2027 annual meeting of stockholders or (ii) the anniversary of June 10, 2026, subject to the Reporting Person's continuous service with the Issuer through such date.
2. The Reporting Person was granted RSUs. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs vested on June 10, 2026.
3. The RSUs are subject to a service-based vesting requirement and shall vest in three equal annual installments, with the first installment vesting on the earlier of (i) the date of the 2026 annual meeting of stockholders or (ii) the anniversary of October 6, 2025, subject to the Reporting Person's continuous service with the Issuer through such date.
/s/ Ryker Willie, Attorney-in-Fact for Donald Allen Williams06/12/2026
** Signature of Reporting PersonDate
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR

FAQ

What did Palisade Bio (PALI) director Donald Allen Williams acquire in this Form 4?

Donald Allen Williams received a grant of 1,498,900 restricted stock units and had 60,666 RSUs vest into Common Stock. These awards are equity compensation, not open‑market purchases, and increase his potential ownership stake in Palisade Bio over time as they vest.

How many Palisade Bio (PALI) shares does Donald Allen Williams hold after these transactions?

After the reported transactions, Donald Allen Williams directly holds 1,509,628 shares of Palisade Bio Common Stock. He also has 121,334 remaining RSUs that may convert into shares as they vest, plus 3,000 additional shares held indirectly via his defined benefit plan.

Were there any open-market stock purchases or sales in this Palisade Bio (PALI) Form 4?

No open‑market purchases or sales are reported. The transactions involve RSU grants, RSU vesting, and related issuance of Common Stock at a zero exercise price, all categorized as acquisitions rather than market trades, making them primarily compensation and accounting events.

How do the new RSU grants for Palisade Bio (PALI) director vest over time?

The newly granted RSUs vest in three equal annual installments. The first installment vests on the earlier of the 2027 annual meeting of stockholders or the anniversary of June 10, 2026, and vesting remains contingent on the director’s continuous service with Palisade Bio.

What happened to the 60,666 RSUs reported in the Palisade Bio (PALI) Form 4?

The 60,666 RSUs vested on June 10, 2026 and were converted into an equal number of Palisade Bio Common Stock shares. This raised Donald Allen Williams’ direct share ownership while reducing his outstanding RSU balance recorded in the derivative section of the filing.

What indirect ownership does Donald Allen Williams have in Palisade Bio (PALI)?

In addition to his direct holdings, Donald Allen Williams has 3,000 shares of Palisade Bio Common Stock held indirectly through his defined benefit plan. This position is reported separately from his directly owned shares as indirect ownership in the Form 4 filing.