0001437749-16-043856.txt : 20161228 0001437749-16-043856.hdr.sgml : 20161228 20161228161513 ACCESSION NUMBER: 0001437749-16-043856 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161227 FILED AS OF DATE: 20161228 DATE AS OF CHANGE: 20161228 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Diffusion Pharmaceuticals Inc. 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: 2020 AVON COURT STREET 2: SUITE 4 CITY: CHARLOTTESVILLE STATE: VA ZIP: 22902 BUSINESS PHONE: (434) 220-0718 MAIL ADDRESS: STREET 1: 2020 AVON COURT STREET 2: SUITE 4 CITY: CHARLOTTESVILLE STATE: VA ZIP: 22902 FORMER COMPANY: FORMER CONFORMED NAME: RestorGenex Corp DATE OF NAME CHANGE: 20140307 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Giles Mark T CENTRAL INDEX KEY: 0001663219 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37942 FILM NUMBER: 162072767 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 2016-12-27 0001053691 Diffusion Pharmaceuticals Inc. DFFN 0001663219 Giles Mark T 2020 AVON COURT, SUITE 4 CHARLOTTESVILLE VA 22902 1 Common Stock 2016-12-27 4 J 0 290580 D 0 I By PANDA Holdings, LLC Common Stock 2016-12-28 4 P 0 290580 A 802689 I By MTG Investment Holdings, LLC Common Stock 4407 I By the VNB Trust IRA fbo Mark T. Giles In connection with certain personal investment, financial and tax planning strategies, (i) on December 27, 2016, PANDA Holdings, LLC ("PANDA"), of which the Reporting Person is the managing member, assigned 290,580 shares of the Issuer's common stock to an affiliate of PANDA for aggregate consideration of $1.00 and (ii) on December 28, 2016, such affiliate sold to MTG Investment Holdings, LLC ("MTGIH"), of which the Reporting Person is the sole member, 290,580 shares of the Issuer's common stock for aggregate consideration of $1.00. The Reporting Person is the managing member of PANDA and may be deemed to be the beneficial owner of such securities. Mr. Giles disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein. The Reporting Person is the sole member of MTGIH and may be deemed to be the beneficial owner of such securities. Mr. Giles disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein. /s/ Ben Shealy, attorney-in-fact for Mark T. Giles 2016-12-28