UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 8-K/A
(Amendment No. 1)
CURRENT REPORT
Pursuant to Section 13 or 15(d)
of the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): April 27, 2021
PALISADE BIO, INC.
(Exact name of Registrant as Specified in Its Charter)
|
Delaware (State or Other Jurisdiction |
001-33672 (Commission File Number)
|
52-2007292 (IRS Employer Identification No.) | ||
|
5800 Armada Drive, Suite 210 Carlsbad, California (Address of Principal Executive Offices) |
92008 (Zip Code)
| |||
Registrant’s telephone number, including area code: (858) 704-4900
Seneca Biopharma, Inc.
20271 Goldenrod Lane
Germantown, Maryland 20876
(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. ☐
Explanatory Note
On April 27, 2021, Palisade Bio, Inc. (the “Company”) filed with the Securities and Exchange Commission a Current Report on Form 8-K (the “Initial 8-K”) to report the completion of its previously announced merger transaction. This Amendment No. 1 to Current Report on Form 8-K amends the Initial 8-K solely to correct an administrative error to correct the new CUSIP number listed in the Explanatory Note therein. Defined terms not otherwise defined herein shall have the meaning ascribed to such terms in the Initial 8-K.
| Item 8.01 | Other Events. |
The shares of Company Common Stock, previously trading on the Nasdaq Capital Market
through the close of business on April 27, 2021 under the ticker symbol “SNCA,” commenced trading on the Nasdaq Capital
Market, on a post-Reverse Stock Split adjusted basis, under the ticker symbol “PALI,” on April 28, 2021. The Company
Common Stock is now represented by a new CUSIP number, 696389105.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
| Palisade Bio, Inc. | |||
| By: | /s/ Thomas M. Hallam | ||
| Name: | Thomas M. Hallam | ||
| Title: | Chief Executive Officer | ||
Date: April 28, 2021