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