0001437749-16-023551.txt : 20160112 0001437749-16-023551.hdr.sgml : 20160112 20160112195338 ACCESSION NUMBER: 0001437749-16-023551 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: Adams Robert W CENTRAL INDEX KEY: 0001663144 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-24477 FILM NUMBER: 161339745 MAIL ADDRESS: STREET 1: 2020 AVON COURT STREET 2: SUITE 4 CITY: CHARLOTTESVILLE STATE: VA ZIP: 22902 4 1 rdgdoc.xml FORM 4 X0306 4 2016-01-08 0001053691 RestorGenex Corp RESX 0001663144 Adams Robert W 2020 AVON COURT, SUITE 4 CHARLOTTESVILLE VA 22902 1 Common Stock 2016-01-08 4 A 0 350504 A 350504 D Common Stock 2016-01-08 4 A 0 188973 A 188973 I By the Nixon & Vanderhye 401K for the benefit of Robert W. Adams Stock Option (Right to Buy) 0.22 2016-01-08 4 A 0 186285 0 A 2012-05-17 2022-05-17 Common Stock 186285 186285 D Stock Option (Right to Buy) 0.22 2016-01-08 4 A 0 91316 0 A 2022-10-09 Common Stock 91316 91316 D Stock Option (Right to Buy) 0.62 2016-01-08 4 A 0 182632 0 A 2023-10-05 Common Stock 182632 182632 D Stock Option (Right to Buy) 0.42 2016-01-08 4 A 0 182632 0 A 2024-12-01 Common Stock 182632 182632 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 Received in exchange for 95,959 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 (the "Merger Agreement"), dated 94,636 shares held jointly with Mr. Adams' spouse. Received in exchange for 51,736 units of Diffusion in connection with the consummation of the Merger on January 8, 2016 based upon the exchange rate set forth in the Merger Agreement. In connection with the consummation of the Merger, an option originally granted on May 17, 2012 to purchase membership units in Diffusion was converted into an option to purchase common stock of the Issuer. In connection with the consummation of the Merger, an option originally granted on October 9, 2012 to purchase membership units in Diffusion and 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 5, 2013 to purchase membership units in Diffusion was converted into an option to purchase common stock of the Issuer. In connection with the consummation of the Merger, an option originally granted on December 1, 2014 to purchase membership units in Diffusion was converted into an option to purchase common stock of the Issuer. 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 Robert Adams 2016-01-12