Palisade Bio Inc SEC Filings

Donald Allen, a director of Palisade Bio, Inc. (PALI), was granted 1,538,700 Restricted Stock Units (RSUs) with a transaction date of 10/06/2025. Each RSU converts into one share of common stock unless the company lacks reserved shares, in which case the RSUs may be settled in cash. The RSUs vest for service in three equal annual installments, to be satisfied on the earlier of the next annual meeting of stockholders or the anniversary of 10/06/2025, subject to continued service. Following the grant, the reporting person beneficially owns 1,538,700 shares (direct).

Palisade Bio director Wei Binxian received 510,700 restricted stock units (RSUs) on 10/06/2025. Each RSU converts to one share of common stock when settled, but may be cash-settled if sufficient shares are not reserved under the 2021 Equity Incentive Plan. The RSUs vest in three equal annual installments, each satisfied on the earlier of the next annual meeting of stockholders or the anniversary of 10/06/2025, subject to continuous service.

The reported holding after the grant is 510,700 shares beneficially owned, held directly. The Form 4 was filed by one reporting person and signed by an attorney-in-fact on 10/08/2025.

Palisade Bio issued a grant of 7,665,800 restricted stock units (RSUs) to its Chief Medical Officer, representing a contingent right to receive one share per RSU or, if shares are not available, a cash settlement. The RSUs vest in three equal parts: 1/3 on 10/06/2026 with the remaining two thirds vesting quarterly over the following eight quarters, contingent on the officer's continuous service. The grant carries a $0 exercise/settlement price per share and is recorded as a direct beneficial holding of 7,665,800 common shares once settled. The filing reports the insider transaction dated 10/06/2025 and is signed by an attorney-in-fact on behalf of the reporting person.

Palisade Bio reported that John David Finley, a director and officer (CEO, CFO), was granted 9,179,400 restricted stock units (RSUs) on 10/06/2025. Each RSU converts to one share of common stock when settled, though RSUs may be paid in cash if there are not enough shares reserved under the 2021 Equity Incentive Plan. The RSUs vest 1/3 on 10/06/2026 and then quarterly over the next eight quarters, conditioned on continuous service. The reported grant has a $0 per-share exercise/settlement price and is held directly by the reporting person.

Director Emil Chuang received an award of 510,700 restricted stock units (RSUs) on 10/06/2025. Each RSU converts to one share of common stock when settled, although the company may pay cash instead if there are not enough shares reserved under the 2021 Equity Incentive Plan. The RSUs vest for service in three equal annual installments, payable on the earlier of the next annual meeting or the anniversary of 10/06/2025, subject to continuous service. Following the reported grant, the Reporting Person beneficially owns 510,700 shares on a direct basis. The Form 4 was signed by an attorney-in-fact on 10/08/2025.

Schedule 13G filed for Palisade Bio, Inc. (PALI) discloses that several related reporting persons tied to Squadron Capital hold significant passive stakes in the company. The filing shows Squadron Master Fund LP beneficially owns 7,308,580 shares (representing 7.6% of the outstanding common stock) and Squadron Capital Management LLC and two partners, Matthew Sesterhenn and William Blank, each report ownership of 8,250,000 shares (each representing 8.5%). All reported holdings are shared voting and dispositive power; no reporting person claims sole voting or sole dispositive power. The ownership percentages are calculated from a stated base of 96,645,431 shares outstanding as of 10/01/2025. The filing includes the standard Rule 13d-4 disclaimer that the advisers and partners disclaim beneficial ownership.

Commodore Capital and affiliated filers reported beneficial ownership of 9,690,665 shares of Palisade Bio, Inc. common stock, representing 9.9% of the outstanding class as of October 1, 2025. The position consists of 9,332,443 shares plus 358,222 shares issuable upon exercise of a pre-funded warrant; an additional 4,827,492 shares underlying a separate pre-funded warrant were excluded due to a stated 9.99% beneficial ownership limitation. The reporting group includes Commodore Capital LP (investment manager), Commodore Capital Master LP, and principals Robert Egen Atkinson and Michael Kramarz. Filers certify the stake was not acquired to change or influence control.

Palisade Bio, Inc. received a joint Schedule 13G showing that Deep Track entities and David Kroin together beneficially own 10,012,958 shares, representing 9.99% of the outstanding common stock as of October 8, 2025. The filing breaks ownership across Deep Track Capital, LP (9.99% combined with related funds), Deep Track Biotechnology Master Fund, Ltd. (6.49%), and Deep Track Special Opportunities Fund, LP (3.5%). The total share count used for calculations is 100,229,818, which includes 6,428,571 pre-funded warrants exercisable subject to a 9.99% maximum ownership limitation. The filers state the holdings were not acquired to change or influence control.

Palisade Bio, Inc. received a Schedule 13G filing disclosing that Point72-related entities and Steven A. Cohen beneficially own 7,585,611 shares of common stock, representing 6.2% of the outstanding class as of 10/06/2025. The filing states the shares are held by Point72 Associates, an investment fund managed by Point72 Asset Management, with Point72 Capital Advisors, Inc. as general partner and Mr. Cohen exercising control. The reporting persons certify the position was not acquired to influence control of the issuer and they filed jointly under a Joint Filing Agreement.