0001437749-16-023549.txt : 20160112
0001437749-16-023549.hdr.sgml : 20160112
20160112195318
ACCESSION NUMBER: 0001437749-16-023549
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160108
FILED AS OF DATE: 20160112
DATE AS OF CHANGE: 20160112
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: RestorGenex Corp
CENTRAL INDEX KEY: 0001053691
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 300645032
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 2150 E. LAKE COOK ROAD, SUITE 750
CITY: BUFFALO GROVE
STATE: IL
ZIP: 60089
BUSINESS PHONE: (847) 777-8092
MAIL ADDRESS:
STREET 1: 2150 E. LAKE COOK ROAD, SUITE 750
CITY: BUFFALO GROVE
STATE: IL
ZIP: 60089
FORMER COMPANY:
FORMER CONFORMED NAME: Stratus Media Group, Inc
DATE OF NAME CHANGE: 20080722
FORMER COMPANY:
FORMER CONFORMED NAME: FERIS INTERNATIONAL, INC.
DATE OF NAME CHANGE: 20080228
FORMER COMPANY:
FORMER CONFORMED NAME: TITAN MOTORCYCLE CO OF AMERICA INC
DATE OF NAME CHANGE: 19980615
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: LEVIN ALAN G
CENTRAL INDEX KEY: 0001174452
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-24477
FILM NUMBER: 161339742
MAIL ADDRESS:
STREET 1: ACETO CORP.
STREET 2: 4 TRI HARBOR CT.
CITY: PORT WASHINGTON
STATE: NY
ZIP: 11050
4
1
rdgdoc.xml
FORM 4
X0306
4
2016-01-08
0001053691
RestorGenex Corp
RESX
0001174452
LEVIN ALAN G
2020 AVON COURT, SUITE 4
CHARLOTTESVILLE
VA
22902
1
Common Stock
2016-01-08
4
A
0
248032
A
248032
D
Stock Option (Right to Buy)
0.42
2016-01-08
4
A
0
276140
0
A
2025-06-15
Common Stock
276140
276140
D
Stock Option (Right to Buy)
0.55
2016-01-08
4
A
0
365265
0
A
2025-10-30
Common Stock
365265
365265
D
184,093 of the shares are shares of restricted common stock which vest in equal parts each month until fully vested on the third anniversary of the original grant date, June 15, 2015.
Received in exchange for 67,905 units of Diffusion Pharmaceuticals LLC ("Diffusion") in connection with the consummation of the merger (the "Merger") of Diffusion and a wholly-owned subsidiary of the Issuer ("Merger Sub") on January 8, 2016 based upon the exchange rate set forth in the Agreement and Plan of Merger, dated December 15, 2015, by and among the Issuer, Diffusion and Merger Sub.
In connection with the consummation of the Merger, an option originally granted on June 15, 2015 to purchase membership units in Diffusion was converted into an option to purchase common stock of the Issuer.
The shares underlying the options vest in equal parts each month until fully vested on the third anniversary of the grant date.
In connection with the consummation of the Merger, an option originally granted on October 30, 2015 to purchase membership units in Diffusion was converted into an option to purchase common stock of the Issuer.
/s/ Ben Shealy, attorney-in-fact for Alan Levin
2016-01-12