Form 8-K - Current report
November 07 2023 - 9:00AM
Edgar (US Regulatory)
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0001357459
0001357459
2023-11-07
2023-11-07
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UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
WASHINGTON,
D.C. 20549
FORM
8-K
CURRENT
REPORT
Pursuant
to Section 13 or 15(d)
of the Securities Exchange Act of 1934
Date
of Report (Date of earliest event reported): November
7, 2023 (November 7, 2023)
PALISADE
BIO, INC.
(Exact
name of Registrant as Specified in Its Charter)
Delaware |
|
001-33672 |
|
52-2007292 |
(State or Other Jurisdiction
of Incorporation) |
|
(Commission
File Number) |
|
(IRS Employer
Identification No.) |
7750 El Camino
Real
Suite 2A |
|
|
Carlsbad, California |
|
92009 |
(Address of Principal
Executive Offices) |
|
(Zip Code) |
Registrant’s
telephone number, including area code: (858) 704-4900
N/A
(Former
name or former address, if changed since last report)
Check
the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under
any of the following provisions:
☐ |
Written
communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
|
|
☐ |
Soliciting
material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
|
|
☐ |
Pre-commencement
communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
|
|
☐ |
Pre-commencement
communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
Securities
registered pursuant to Section 12(b) of the Act:
Title of
each class |
|
Trading Symbol(s) |
|
Name of each
exchange on which registered |
Common
Stock, par value $0.01 per share |
|
PALI |
|
Nasdaq
Capital Market |
Indicate
by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405
of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging
growth company ☐
If
an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying
with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
Item
7.01 Regulation FD Disclosure.
On
November 7, 2023, Palisade Bio, Inc. (the “Company”) updated its corporate presentation (the
“Presentation”). A copy of the Presentation is attached hereto as Exhibit 99.01 to this Current Report on Form 8-K. A
copy of the Presentation is also available on the Company’s website www.palisadebio.com
under the heading “Presentations” contained in the “Investor & News” section.
The
information set forth in this Item 7.01 and in the Presentation attached
hereto as Exhibit 99.01, is deemed to be “furnished” and shall not be deemed to be “filed” for purposes of Section
18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities of that
Section. The information set forth in this Item 7.01, including Exhibit 99.01, shall not be deemed incorporated by reference into any
filing under the Exchange Act or the Securities Act of 1933, as amended, except to the extent that the Company specifically incorporates
it by reference.
Item
9.01 Financial Statement and Exhibits.
Exhibit
No. |
|
Description |
99.01 |
|
Corporate Presentation |
104 |
|
Cover
Page Interactive Data File (embedded within the Inline XBRL document) |
Forward-Looking
Statements
This
Current Report on Form 8-K contains forward-looking statements for purposes of the “safe harbor” provisions of the
Private Securities Litigation Reform Act of 1995. These forward-looking statements include statements regarding the Company’s
intentions, beliefs, projections, outlook, analyses or current expectations concerning, among other things: the extent of our cash
runway; our ability to successfully develop our licensed technologies; estimates about the size and growth potential of the markets
for our product candidates, and our ability to serve those markets, including any potential revenue generated; future regulatory,
judicial, and legislative changes or developments in the United States (U.S.) and foreign countries and the impact of these changes;
our ability to maintain the Nasdaq listing of our securities; our ability to build a commercial infrastructure in the U.S. and other
markets; our ability to compete effectively in a competitive industry; our ability to identify and qualify additional manufacturers
to provide API and manufacture drug product; our ability to enter into commercial supply agreements; the success of competing
technologies that are or may become available; our ability to attract and retain key scientific or management personnel; the
accuracy of our estimates regarding expenses, future revenues, capital requirements and needs for additional financing; our ability
to obtain funding for our operations; our ability to attract collaborators and strategic partnerships; and the impact of the
COVID-19 pandemic or any global event on our business, and operations, and supply. Any statements contained in this communication
that are not statements of historical fact may be deemed to be forward-looking statements. These forward-looking statements are
based upon the Company’s current expectations. Forward-looking statements involve risks and uncertainties. The Company’s
actual results and the timing of events could differ materially from those anticipated in such forward-looking statements as a
result of these risks and uncertainties, which include, without limitation, the Company’s ability to advance its preclinical
and clinical programs, the uncertain and time-consuming regulatory approval process; and the Company’s ability to secure
additional financing to fund future operations. Additional risks and uncertainties can be found in the Company’s Annual Report
on Form 10-K for the fiscal year ended December 31, 2022, filed with the Securities and Exchange Commission (“SEC”) on
March 22, 2023 as well as the Company’s Quarterly Report on Form 10-Q, for the six months period ended June 30, 2023, filed
with the SEC on August 10, 2023. These forward-looking statements speak only as of the date hereof and the Company expressly
disclaims any obligation or undertaking to release publicly any updates or revisions to any forward-looking statements contained
herein to reflect any change in the Company’s expectations with regard thereto or any change in events, conditions or
circumstances on which any such statements are based.
SIGNATURES
Pursuant
to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this Report on Form 8-K to be signed on its
behalf by the undersigned hereunto duly authorized.
Date:
November 7, 2023 |
Palisade
Bio, Inc. |
|
|
|
|
By: |
/s/
J.D. Finley |
|
|
J.D.
Finley |
|
|
Chief
Executive Officer |
Exhibit 99.01
v3.23.3
Cover
|
Nov. 07, 2023 |
Cover [Abstract] |
|
Document Type |
8-K
|
Amendment Flag |
false
|
Document Period End Date |
Nov. 07, 2023
|
Entity File Number |
001-33672
|
Entity Registrant Name |
PALISADE
BIO, INC.
|
Entity Central Index Key |
0001357459
|
Entity Tax Identification Number |
52-2007292
|
Entity Incorporation, State or Country Code |
DE
|
Entity Address, Address Line One |
7750 El Camino
Real
|
Entity Address, Address Line Two |
Suite 2A
|
Entity Address, City or Town |
Carlsbad
|
Entity Address, State or Province |
CA
|
Entity Address, Postal Zip Code |
92009
|
City Area Code |
(858)
|
Local Phone Number |
704-4900
|
Written Communications |
false
|
Soliciting Material |
false
|
Pre-commencement Tender Offer |
false
|
Pre-commencement Issuer Tender Offer |
false
|
Title of 12(b) Security |
Common
Stock, par value $0.01 per share
|
Trading Symbol |
PALI
|
Security Exchange Name |
NASDAQ
|
Entity Emerging Growth Company |
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