0001437749-16-038222.txt : 20160830 0001437749-16-038222.hdr.sgml : 20160830 20160830163408 ACCESSION NUMBER: 0001437749-16-038222 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160811 FILED AS OF DATE: 20160830 DATE AS OF CHANGE: 20160830 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BLECH ISAAC CENTRAL INDEX KEY: 0000905536 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-24477 FILM NUMBER: 161861020 3 1 rdgdoc.xml FORM 3 X0206 3 2016-08-11 0 0001053691 Diffusion Pharmaceuticals Inc. DFFN 0000905536 BLECH ISAAC 2020 AVON COURT, SUITE 4 CHARLOTTESVILLE VA 22902 1 Common Stock 28334 D Common Stock 11905 I By Spouse Common Stock 154763 I By Trusts Stock Option (Right to Buy) 30.0000 2024-01-06 Common Stock 1745 D Stock Option (Right to Buy) 39.2000 2024-07-23 Common Stock 8745 D Warrant (Right to Buy) 380.0000 2017-08-20 Common Stock 5000 D Warrant (Right to Buy) 48.0000 2018-10-21 Common Stock 7500 D The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Includes 11,905 shares owned by the River Charitable Remainder Unitrust f/b/o Isaac Blech, 71,429 shares owned by the West Charitable Remainder Trust and 71,429 shares owned by the Liberty Charitable Remainder Trust f/b/o Isaac Blech. The option was originally granted on January 7, 2014 and vested in full in accordance with the terms of the underlying option award agreement upon the completion of the Issuer's merger with Diffusion Pharmaceuticals LLC on January 8, 2016. The option was originally granted on July 24, 2014 and vested in full in accordance with the terms of the underlying option award agreement upon the completion of the Issuer's merger with Diffusion Pharmaceuticals LLC on January 8, 2016. Warrant is currently exercisable. /s/ Isaac Blech 2016-08-30