4//SEC Filing
RestorGenex Corp 4
Accession 0001437749-16-023550
$CRVOCIK 0001053691operating
Filed
Jan 11, 7:00 PM ET
Accepted
Jan 12, 7:53 PM ET
Size
18.8 KB
Accession
0001437749-16-023550
Insider Transaction Report
Form 4
RestorGenex CorpRESX
Giles Mark T
Director
Transactions
- Award
Common Stock
2016-01-08+44,069→ 44,069 total(indirect: By Trust) - Award
Stock Option (Right to Buy)
2016-01-08+98,621→ 98,621 totalExercise: $0.22From: 2012-05-17Exp: 2022-05-17→ Common Stock (98,621 underlying) - Award
Stock Option (Right to Buy)
2016-01-08+365,265→ 365,265 totalExercise: $0.55Exp: 2025-10-30→ Common Stock (365,265 underlying) - Award
Common Stock
2016-01-08+6,296,346→ 6,296,346 total(indirect: By LLC) - Award
Stock Option (Right to Buy)
2016-01-08+91,316→ 91,316 totalExercise: $0.22Exp: 2022-10-09→ Common Stock (91,316 underlying) - Award
Stock Option (Right to Buy)
2016-01-08+182,632→ 182,632 totalExercise: $0.62Exp: 2023-10-05→ Common Stock (182,632 underlying) - Award
Stock Option (Right to Buy)
2016-01-08+182,632→ 182,632 totalExercise: $0.42Exp: 2024-12-01→ Common Stock (182,632 underlying)
Footnotes (9)
- [F1]Received in exchange for 12,065 units of Diffusion Pharmaceuticals LLC ("Diffusion") in connection with the consummation of the merger (the "Merger") of Diffusion and a wholly-owned subsidiary of the Issuer ("Merger Sub") on January 8, 2016 based upon the exchange rate set forth in the Agreement and Plan of Merger (the "Merger Agreement"), dated December 15, 2015, by and among the Issuer, Diffusion and Merger Sub.
- [F2]Received in exchange for 1,723,771 units of Diffusion in connection with the consummation of the Merger on January 8, 2016 based upon the exchange rate set forth in the Merger Agreement.
- [F3]Mr. Giles is the managing member of Panda Holdings, LLC 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.
- [F4]In connection with the consummation of the Merger, an option originally granted on May 17, 2012 to purchase membership units in Diffusion was converted into an option to purchase common stock of the Issuer..
- [F5]In connection with the consummation of the Merger, an option originally granted on October 9, 2012 to purchase membership units in Diffusion was converted into an option to purchase common stock of the Issuer.
- [F6]The shares underlying the options vest in equal parts each month until fully vested on the third anniversary of the grant date.
- [F7]In connection with the consummation of the Merger, an option originally granted on October 5, 2013 to purchase membership units in Diffusion was converted into an option to purchase common stock of the Issuer.
- [F8]In connection with the consummation of the Merger, an option originally granted on December 1, 2014 to purchase membership units in Diffusion was converted into an option to purchase common stock of the Issuer.
- [F9]In connection with the consummation of the Merger, an option originally granted on October 30, 2015 to purchase membership units in Diffusion was converted into an option to purchase common stock of the Issuer.
Documents
Issuer
RestorGenex Corp
CIK 0001053691
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0001053691
Filing Metadata
- Form type
- 4
- Filed
- Jan 11, 7:00 PM ET
- Accepted
- Jan 12, 7:53 PM ET
- Size
- 18.8 KB