Palisade Bio CEO shifts 176K shares via stock gifts

Q: What insider transactions did PALI report for John David Finley on this Form 4?

Palisade Bio reported that John David Finley executed two bona fide gift transactions in common stock on August 19, 2026, totaling 176,800 shares, reallocating shares between his direct ownership and FCW Investments, LLC, an entity he manages.

Q: How many PALI shares did John David Finley transfer and to whom?

Finley transferred 88,400 shares of Palisade Bio common stock to FCW Investments, LLC as a bona fide gift. He is the managing member of FCW Investments, LLC and has sole investment and voting power over the securities held by this entity.

Q: What are John David Finley’s PALI shareholdings after the reported transactions?

Following the transactions, Finley holds 129,288 shares of Palisade Bio common stock directly and 88,451 shares indirectly through FCW Investments, LLC, as disclosed in the Form 4.

Q: Were the reported PALI transactions under a Rule 10b5-1 trading plan?

No. The filing’s Rule 10b5-1 checkbox is not marked, and there is no footnote stating that the transactions were made pursuant to a Rule 10b5-1 trading plan.

Filing Impact

(Neutral)

Filing Sentiment

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Sentiment and the balance of points

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Form Type

Rhea-AI Filing Summary

PALISADE BIO, INC. (PALI) reported that its CEO and CFO, John David Finley, made an internal reallocation of holdings through bona fide gifts of common stock on August 19, 2026. He transferred 88,400 shares of common stock from his direct ownership to FCW Investments, LLC, an entity he manages.

After these related gift transactions, Finley directly holds 129,288 shares of Palisade Bio common stock and indirectly holds 88,451 shares through FCW Investments, LLC, over which he has sole investment and voting power. The Rule 10b5-1 trading plan checkbox was not marked for these transactions.

Insider Trade Summary

176,800 shares gifted

Gift 2 txns

Insider Finley John David

Role CEO, CFO

Type	Security	Shares	Price	Value
Gift	Common Stock ^F1	88,400	$0.00	$0.00
Gift	Common Stock ^F1	88,400	$0.00	$0.00

Holdings After Transaction: Common Stock — 129,288 shares (Direct); Common Stock — 88,451 shares (Indirect, By FCW Investments, LLC)

Footnotes (1)

F1. The Reporting Person transferred these shares to FCW Investments, LLC. The 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.

Key Figures

Gifted shares (total): 176,800 shares of Common Stock Shares transferred to FCW Investments, LLC: 88,400 shares of Common Stock Direct holdings after transaction: 129,288 shares of Common Stock +3 more

6 metrics

Gifted shares (total) 176,800 shares of Common Stock Total bona fide gift transactions on August 19, 2026

Shares transferred to FCW Investments, LLC 88,400 shares of Common Stock Bona fide gift from direct ownership on August 19, 2026

Direct holdings after transaction 129,288 shares of Common Stock Shares directly held by John David Finley after gifts

Indirect holdings after transaction 88,451 shares of Common Stock Shares indirectly held through FCW Investments, LLC after gifts

Gift transactions count 2 gift transactions Form 4 transaction summary for August 19, 2026

Gift shares per transaction 88,400 shares of Common Stock Each of the two bona fide gift transactions

Key Terms

Bona fide gift, indirect, investment and voting power, Rule 10b5-1

4 terms

Bona fide gift financial

"transaction_code_description": "Bona fide gift""

A bona fide gift is a genuine, voluntary transfer of money, property, or benefits from one party to another made without expectation of repayment, services, or hidden conditions. Investors care because such gifts can affect company disclosures, related‑party transaction rules, tax treatment, and perceived conflicts of interest; think of it like someone giving you a present with no strings attached — but on a corporate scale, auditors and regulators need to verify it really is unconditional.

indirect financial

""ownership_type": "indirect""

investment and voting power financial

"has the sole investment and voting power over the securities"

Rule 10b5-1 regulatory

"Rule 10b5-1 trading plan checkbox was not marked"

Rule 10b5-1 is a regulation that allows company insiders to buy or sell their shares at predetermined times, even if they have access to non-public information. It acts like setting a schedule in advance for transactions, helping prevent accusations of unfair trading. This rule provides a way for insiders to plan trades transparently, giving investors confidence that these transactions are not based on hidden information.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What insider transactions did PALI report for John David Finley on this Form 4?

Palisade Bio reported that John David Finley executed two bona fide gift transactions in common stock on August 19, 2026, totaling 176,800 shares, reallocating shares between his direct ownership and FCW Investments, LLC, an entity he manages.

How many PALI shares did John David Finley transfer and to whom?

Finley transferred 88,400 shares of Palisade Bio common stock to FCW Investments, LLC as a bona fide gift. He is the managing member of FCW Investments, LLC and has sole investment and voting power over the securities held by this entity.

What are John David Finley’s PALI shareholdings after the reported transactions?

Following the transactions, Finley holds 129,288 shares of Palisade Bio common stock directly and 88,451 shares indirectly through FCW Investments, LLC, as disclosed in the Form 4.

Were the reported PALI transactions under a Rule 10b5-1 trading plan?

No. The filing’s Rule 10b5-1 checkbox is not marked, and there is no footnote stating that the transactions were made pursuant to a Rule 10b5-1 trading plan.

Does the Form 4 show buying or selling of PALI shares on the market?

No. The transactions are coded G for bona fide gifts of common stock, reflecting a transfer between Finley’s direct ownership and an entity he manages, rather than open-market purchases or sales.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Available on EDGAR 08/21/2026 - 06:27 PM Accepted by SEC EDGAR 08/21/2026 - 06:26 PM

SEC Form 4

FORM 4

UNITED 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^*

Finley John David

(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)

X	Director	10% Owner
X	Officer (give title below)	Other (specify below)
	CEO, CFO

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
08/19/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form 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)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock	08/19/2026		G⁽¹⁾		88,400	D	$0	129,288	D
Common Stock	08/19/2026		G⁽¹⁾		88,400	A	$0	88,451	I	By FCW Investments, LLC

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)
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)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)

Explanation of Responses:

1. The Reporting Person transferred these shares to FCW Investments, LLC. The 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.

	/s/ Ryker Willie, Attorney-in-Fact for John David Finley	08/21/2026
	** Signature of Reporting Person	Date
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