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