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