0001437749-22-009233.txt : 20220419 0001437749-22-009233.hdr.sgml : 20220419 20220419171757 ACCESSION NUMBER: 0001437749-22-009233 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220418 FILED AS OF DATE: 20220419 DATE AS OF CHANGE: 20220419 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ELDER WILLIAM ROBERT CENTRAL INDEX KEY: 0001828068 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37942 FILM NUMBER: 22835649 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: 300 EAST MAIN STREET STREET 2: SUITE 201 CITY: CHARLOTTESVILLE STATE: VA ZIP: 22902 BUSINESS PHONE: (434) 220-0718 MAIL ADDRESS: STREET 1: 300 EAST MAIN STREET STREET 2: SUITE 201 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 2022-04-18 0001053691 Diffusion Pharmaceuticals Inc. DFFN 0001828068 ELDER WILLIAM ROBERT 300 E. MAIN ST. SUITE 201 CHARLOTTESVILLE VA 22902 1 GC & Secretary Common Stock 2022-04-18 4 C 0 100 25 A 400 D Series C Convertible Preferred Stock 25 2022-04-18 4 C 0 100 25 D Common Stock 100 0 D As previously announced, on March 18, 2022, the Reporting Person purchased 100 shares of Series C Convertible Preferred Stock, par value $0.001 per share (the "Series C Shares"), from the Issuer at a purchase price of $25.00 per Series C Share in a private placement. On April 18, 2022, in accordance with Section 8(a) of the Certificate of Designation of Preferences, Rights, and Limitations of the Series C Convertible Preferred Stock (the "Certificate of Designation"), the Issuer delivered to the Reporting Person written notice of the Mandatory Conversion (as defined in the Certificate of Designations) of all outstanding Series C Shares into an equivalent number of shares of the Company's common stock, par value $0.001, pursuant to and in accordance with the terms of the Certificate of Designation. All share and per share amounts have been adjusted to reflect the Issuer's 1-for-50 reverse stock split, effective April 18, 2022. /s/ William R. Elder 2022-04-19