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