0001437749-21-005058.txt : 20210304
0001437749-21-005058.hdr.sgml : 20210304
20210304193254
ACCESSION NUMBER: 0001437749-21-005058
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210301
FILED AS OF DATE: 20210304
DATE AS OF CHANGE: 20210304
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: 21716026
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
2021-03-01
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)
1.11
2021-03-01
4
A
0
27180
0
A
2031-03-01
Common Stock
27180
27180
D
Stock Option (Right to Buy)
1.11
2021-03-01
4
A
0
81537
0
A
2031-03-01
Common Stock
81537
81537
D
The shares of common stock underlying the award will vest in 36 equal (or as near equal as possible) monthly installments on the last calendar day of each month over a 36-month period commencing March 31, 2021.
The amount reported reflects the maximum number of shares of common stock underlying the award that may vest based upon the achievement of specified performance metrics. The vesting of such shares is contingent upon the timely and successful achievement during the year ending December 31, 2021 of certain performance milestones related to the Issuer's planned clinical trials, with the vesting of one-third (1/3) of the total shares tied to each such milestone. If any such milestone is achieved, one-third (1/3) of the shares tied to such milestone (i.e. one-ninth (1/9) of the total shares underlying the award) will vest immediately and the remainder of the shares tied to such milestone (i.e. two-ninths (2/9) of the total shares underlying the award) will vest in 24 equal (or as near equal as possible) monthly installments on the last calendar day of each month over a 24-month period commencing January 31, 2022. In order for all shares underlying the award to vest, all three milestones mus
/s/ William R. Elder, attorney-in-fact for the Reporting Person
2021-03-04