0001437749-20-011845.txt : 20200527 0001437749-20-011845.hdr.sgml : 20200527 20200527165743 ACCESSION NUMBER: 0001437749-20-011845 CONFORMED SUBMISSION TYPE: D PUBLIC DOCUMENT COUNT: 1 ITEM INFORMATION: 06b FILED AS OF DATE: 20200527 DATE AS OF CHANGE: 20200527 EFFECTIVENESS DATE: 20200527 FILER: 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 FILING VALUES: FORM TYPE: D SEC ACT: 1933 Act SEC FILE NUMBER: 021-367789 FILM NUMBER: 20916006 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 D 1 primary_doc.xml X0708 D LIVE 0001053691 Diffusion Pharmaceuticals Inc. 1317 CARLTON AVENUE SUITE 200 CHARLOTTESVILLE VA VIRGINIA 22902 (434) 220-0718 DELAWARE None RestorGenex Corp Stratus Media Group, Inc FERIS INTERNATIONAL, INC. Corporation true David G. Kalergis 1317 Carlton Avenue Suite 200 Charlottesville VA VIRGINIA 22902 Executive Officer Director John L. Gainer 1317 Carlton Avenue Suite 200 Charlottesville VA VIRGINIA 22902 Director Robert W. Adams 1317 Carlton Avenue Suite 200 Charlottesville VA VIRGINIA 22902 Director William K. Hornung 1317 Carlton Avenue Charlottesville VA VIRGINIA 22902 Executive Officer Thomas S. Byrne 1317 Carlton Avenue Suite 200 Charlottesville VA VIRGINIA 22902 Executive Officer Mark T. Giles 1317 Carlton Avenue Suite 200 Charlottesville VA VIRGINIA 22902 Director Alan G. Levin 1317 Carlton Avenue Suite 200 Charlottesville VA VIRGINIA 22902 Director Robert J. Cobuzzi 1317 Carlton Avenue Suite 200 Charlottesville VA VIRGINIA 22902 Director Pharmaceuticals Decline to Disclose 06b false 2020-05-20 false true true false 0 H.C. Wainwright & Co., LLC 375 None None 430 Park Avenue 4th Floor New York NY NEW YORK 10022 NY NEW YORK 750001 750001 0 H.C. Wainwright & Co., LLC received warrants to purchase 571,429 shares of common stock as sales compensation. The offering amount includes amounts receivable upon exercise of the warrants, which have not yet been exercised. false 4 0 0 H.C. Wainwright & Co. received warrants to purchase up to 571,429 shares of common stock, sales commissions and reimbursement of certain expenses in connection with the Issuer's registered direct offering of common stock. 0 A portion of the proceeds may be used for general corporate purposes, including to pay salaries of some related persons listed in Item 3. false Diffusion Pharmaceuticals Inc. /s/ David G. Kalergis David G. Kalergis Chairman and CEO 2020-05-27