Filing Details

Accession Number:
0001437749-16-043856
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-12-28 16:15:13
Reporting Period:
2016-12-27
Filing Date:
2016-12-28
Accepted Time:
2016-12-28 16:15:13
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1053691 Diffusion Pharmaceuticals Inc. DFFN Pharmaceutical Preparations (2834) 300645032
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1663219 T Mark Giles 2020 Avon Court, Suite 4
Charlottesville VA 22902
Yes No No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Disposition 2016-12-27 290,580 $0.00 0 No 4 J Indirect By PANDA Holdings, LLC
Common Stock Acquisiton 2016-12-28 290,580 $0.00 802,689 No 4 P Indirect By MTG Investment Holdings, LLC
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 J Indirect By PANDA Holdings, LLC
No 4 P Indirect By MTG Investment Holdings, LLC
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 4,407 Indirect By the VNB Trust IRA fbo Mark T. Giles
Footnotes
  1. In connection with certain personal investment, financial and tax planning strategies, (i) on December 27, 2016, PANDA Holdings, LLC ("PANDA"), of which the Reporting Person is the managing member, assigned 290,580 shares of the Issuer's common stock to an affiliate of PANDA for aggregate consideration of $1.00 and (ii) on December 28, 2016, such affiliate sold to MTG Investment Holdings, LLC ("MTGIH"), of which the Reporting Person is the sole member, 290,580 shares of the Issuer's common stock for aggregate consideration of $1.00.
  2. The Reporting Person is the managing member of PANDA and may be deemed to be the beneficial owner of such securities. Mr. Giles disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.
  3. The Reporting Person is the sole member of MTGIH and may be deemed to be the beneficial owner of such securities. Mr. Giles disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.