0001437749-20-020635.txt : 20201001 0001437749-20-020635.hdr.sgml : 20201001 20201001202921 ACCESSION NUMBER: 0001437749-20-020635 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200901 FILED AS OF DATE: 20201001 DATE AS OF CHANGE: 20201001 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Hollingsworth Jane H CENTRAL INDEX KEY: 0001297141 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37942 FILM NUMBER: 201217811 MAIL ADDRESS: STREET 1: DIFFUSION PHARMACEUTICALS INC. STREET 2: 1317 CARLTON AVENUE, SUITE 200 CITY: CHARLOTTESVILLE STATE: VA ZIP: 22902 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 4 1 rdgdoc.xml FORM 4 X0306 4 2020-09-01 0001053691 Diffusion Pharmaceuticals Inc. DFFN 0001297141 Hollingsworth Jane H 1317 CARLTON AVE SUITE 200 CHARLOTTESVILLE VA 22902 1 Stock Option (Right to Buy) 0.91 2020-09-01 4 A 0 67400 0 A 2030-09-01 Common Stock 67400 67400 D Restricted Stock Unit 2020-09-01 4 A 0 54900 0 A Common Stock 54900 54900 D 1. The shares underlying the options will vest in 18 equal (or as nearly equal as possible) monthly installments on the last calendar day of each month over an 18-month period beginning September 30, 2020. 2. Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. 3. The shares underlying the restricted stock units will vest in 6 equal (or as nearly equal as possible) quarterly installments on the last calendar day of each quarter over an 18-month period beginning on March 1, 2022. /s/ William R. Elder, as attorney-in-fact for the Reporting Person 2020-10-01