Form D · Biotechnology
PALISADE BIO, INC.
Carlsbad, CA · CIK 0001357459
Offering snapshot reported May 10, 2024 · SEC filing
- Reported sold
- $4M Offering amount: $4M
- Investors reported
- 1 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- May 6, 2024 As reported in this filing
What changed?
Latest filing versus its linked predecessor, where available.
No comparable changes in the displayed metrics.
Filing history
Scroll to see all columns →
| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| May 10, 2024 | Initial | $3,999,942 | No comparison | 1 | SEC filing |
| Feb 13, 2024 | Initial | $2,502,717 | No comparison | 15 | SEC filing |
| Apr 10, 2023 | Initial | $4,003,205 | No comparison | 9 | SEC filing |
| Jan 19, 2023 | Initial | $2,500,000 | No comparison | 6 | SEC filing |
| May 20, 2022 | Initial | $2,356,127 | No comparison | 5 | SEC filing |
| Jan 28, 2020 | Initial | $7,555,553 | No comparison | 3 | SEC filing |
| May 31, 2017 | Initial | $42,000 | No comparison | 2 | SEC filing |
| Dec 19, 2016 | Initial | $20,000,000 | No comparison | 1 | SEC filing |
| May 23, 2016 | Initial | $1,080,000 | No comparison | 3 | SEC filing |
| Dec 4, 2014 | Amendment | $10,000,000 | $0vs Oct 31, 2014 | 1 | SEC filing |
| Oct 31, 2014 | Initial | $10,000,000 | No comparison | 1 | SEC filing |
| Apr 10, 2013 | Initial | $1,778,000 | No comparison | 3 | SEC filing |
| Jan 5, 2010 | Initial | $1,500,000 | No comparison | 1 | SEC filing |
Offering details
- Securities
- Equity, Option to acquire, Security to be acquired
- Exemptions
- 06b
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $310K
- Finders' fees
- $0
- Form D file number
- 021-512997
(i) 85,100 shares and 530,142 prefunded warrants and (ii)922,863 seven year warrants sold in offering at $6.5015 per unit
Sales commissions does not include warrant to purchase 36,914 shares to placement agent and $60,000 in expenses reimbursed.
Sales compensation recipients
Scroll to see all columns →
| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Ladenburg Thalmann & Co. Inc. | 000000505 |
Source: Form D, filed May 10, 2024. Minimum accepted may differ from a standard advertised minimum.
Fund connections
No confirmed ADV fund connection is available for this issuer.
People & organizations
Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.
| Name | Reported role |
|---|---|
| Kenneth Carter | Director, Executive |
| John Conron | Executive |
| Cristina Csimma | Director |
| Richard Daly | Director, Executive |
| Stephanie Diaz | Director |
| J.D. Finley | Director, Executive |
| Jd Finley | Executive |
| Margery Fischbein | Director |
| Richard Garr | Director |
| I. Richard Garr | Director, Executive |
| Mary Ann Gray | Director |
| Thomas Hallam | Director, Executive |
| Karl Johe | Director, Executive |
| Mitchell Jones | Executive |
| Jonathan Lloyd Jones | Executive |
| David Mazzo | Director |
| Robert Mc Rae | Executive |
| James Neal | Director |
| Scott Ogilvie | Director |
| William Oldaker | Director |
| Herbert Slade | Executive |
| Sandford Smith | Director |
| Catherine Sohn | Director |
| Robert Trenschel | Director |
| Binxian Wei | Director |
| Stanley Westreich | Director |
| Donald Williams | Director |
Issuer details
Industry: Biotechnology (See others in industry)
Address:
7750 El Camino Real Suite 2 A
Carlsbad, CA, 92009
Carlsbad, CA, 92009