RestorGenex Corp 4

4 · RestorGenex Corp · Filed Jan 13, 2016

Insider Transaction Report

Form 4

Period: 2016-01-08

RestorGenex CorpRESX

Kalergis David G

DirectorChairman and CEO

Transactions

Award
Stock Option (Right to Buy)
2016-01-08+295,865→ 295,865 total
Exercise: $0.22From: 2012-05-17Exp: 2022-05-17→ Common Stock (295,865 underlying)
Award
Stock Option (Right to Buy)
2016-01-08+273,949→ 273,949 total
Exercise: $0.22Exp: 2022-10-09→ Common Stock (273,949 underlying)
Award
Stock Option (Right to Buy)
2016-01-08+127,843→ 127,843 total
Exercise: $0.35Exp: 2023-10-05→ Common Stock (127,843 underlying)
Award
Stock Option (Right to Buy)
2016-01-08+182,632→ 182,632 total
Exercise: $0.62Exp: 2023-10-05→ Common Stock (182,632 underlying)
Award
Common Stock
2016-01-08+1,069,216→ 1,069,216 total
Award
Common Stock
2016-01-08+215,506→ 215,506 total(indirect: By Daughter)
Award
Stock Option (Right to Buy)
2016-01-08+91,316→ 91,316 total
Exercise: $0.22Exp: 2022-10-09→ Common Stock (91,316 underlying)
Award
Stock Option (Right to Buy)
2016-01-08+182,632→ 182,632 total
Exercise: $0.42Exp: 2024-12-01→ Common Stock (182,632 underlying)
Award
Stock Option (Right to Buy)
2016-01-08+127,843→ 127,843 total
Exercise: $0.42Exp: 2024-12-01→ Common Stock (127,843 underlying)
Award
Stock Option (Right to Buy)
2016-01-08+365,265→ 365,265 total
Exercise: $0.55Exp: 2025-10-30→ Common Stock (365,265 underlying)
Award
Stock Option (Right to Buy)
2016-01-08+331,595→ 331,595 total
Exercise: $0.55Exp: 2025-10-30→ Common Stock (331,595 underlying)

Footnotes (10)

[F1]Received in exchange for 292,723 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.
[F10]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.
[F2]382,517 shares held jointly with Mr. Kalergis' spouse.
[F3]Received in exchange for 59,000 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.
[F4]Securities held by Mr. Kalergis' daughter. Mr. Kalergis disclaims beneficial ownership of such securities.
[F5]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.
[F6]Pursuant to 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.
[F7]The shares underlying the options vest in equal parts each month until fully vested on the third anniversary of the grant date.
[F8]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.
[F9]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.

Documents

1 file

4
rdgdoc.xmlPrimary
FORM 4