0001437749-22-028356.txt : 20221202
0001437749-22-028356.hdr.sgml : 20221202
20221202190922
ACCESSION NUMBER: 0001437749-22-028356
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20221130
FILED AS OF DATE: 20221202
DATE AS OF CHANGE: 20221202
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: 221443401
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: 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
2022-11-30
0001053691
Diffusion Pharmaceuticals Inc.
DFFN
0001297141
Hollingsworth Jane H
300 EAST MAIN ST.
SUITE 201
CHARLOTTESVILLE
VA
22902
1
Common Stock
2022-11-30
4
M
0
183
A
1069
D
Common Stock
2022-11-30
4
D
0
68
D
1001
D
Restricted Stock Unit
2022-11-30
4
M
0
183
0
D
Common Stock
183
549
D
On November 30, 2022 (the "Vesting Date"), in connection with the vesting of previously awarded restricted stock units ("RSUs"), each RSU representing a contingent right to receive one share of the Issuer's common stock (a "Share"), the Reporting Person became entitled to receive, in accordance with Section 8.7 of the Issuer's 2015 Equity Incentive Plan (as amended, the "Plan") and the terms of the underlying award agreement, (i) 115 Shares and (ii) $442.00 in cash, representing the Fair Market Value (as defined in the 2015 Equity Plan) of the remaining portion of the award vested on the Vesting Date, based on the closing sale price of one Share reported by the NASDAQ Stock Market on such date of $6.50. The remainder of award will continue to vest in tri-monthly installments, subject to the Reporting Person's continued service with the Issuer.
/s/ William R. Elder, attorney-in-fact for the Reporting Person
2022-12-02