0001437749-20-021435.txt : 20201021
0001437749-20-021435.hdr.sgml : 20201021
20201021200455
ACCESSION NUMBER: 0001437749-20-021435
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20201019
FILED AS OF DATE: 20201021
DATE AS OF CHANGE: 20201021
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: GALLOWAY CHRISTOPHER D
CENTRAL INDEX KEY: 0001829319
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37942
FILM NUMBER: 201251413
MAIL ADDRESS:
STREET 1: 1317 CARLTON AVENUE
STREET 2: 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
2020-10-19
0001053691
Diffusion Pharmaceuticals Inc.
DFFN
0001829319
GALLOWAY CHRISTOPHER D
1317 CARLTON AVE SUITE 200
CHARLOTTESVILLE
VA
22902
1
Chief Medical Officer
Stock Option (Right to Buy)
0.85
2020-10-19
4
A
0
200000
0
A
2030-10-19
Common Stock
200000
200000
D
In connection with the Reporting Person's new employment with the Issuer, the Compensation Committee of the Issuer's Board of Directors approved the grant of non-qualified stock options to the Reporting Person. The grant was made as an inducement material to the Reporting Person's acceptance of employment with the Issuer, in accordance with NASDAQ Listing Rule 5635(c)(4).
The shares underlying the options will vest in 36 equal (or as nearly equal as possible) monthly installments on the last calendar day of each month over a 36-month period beginning November 30, 2020.
/s/ William R. Elder, attorney-in-fact for the Reporting Person
2020-10-21