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CervoMed Inc. — Director's Dealing 2016
Jan 15, 2016
34364_dirs_2016-01-15_d62f30ea-1e03-4a82-9b15-8d2b5fe7b3e5.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: Diffusion Pharmaceuticals Inc. (RESX)
CIK: 0001053691
Period of Report: 2016-01-08
Reporting Person: Jones David Randolph (Chief Medical Officer)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 382557 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (Right to Buy) | $0.2200 | 2022-09-15 | Common Stock (365265) | Direct | |
| Stock Option (Right to Buy) | $0.2200 | 2022-09-15 | Common Stock (986217) | Direct |
Footnotes
F1: In connection with the consummation of the merger (the "Merger") of Diffusion Pharmaceuticals LLC ("Diffusion") and a wholly-owned subsidiary of the Issuer ("Merger Sub") on January 8, 2016, an option originally granted on September 15, 2012 to purchase membership units in Diffusion was converted into an option to purchase common stock of the Issuer.
F2: In connection with the consummation of the Merger, an option originally granted on September 15, 2012 to purchase membership units in Diffusion and was converted into an option to purchase common stock of the Issuer.