Diffusion Pharmaceuticals Inc. 4
4 · Diffusion Pharmaceuticals Inc. · Filed Dec 16, 2016
Insider Transaction Report
Form 4
Giles Mark T
Director
Transactions
- Other
Common Stock
2016-12-14−339,055→ 290,580 total(indirect: By LLC) - Purchase
Common Stock
2016-12-15+512,109→ 512,109 total(indirect: By LLC)
Holdings
- 4,407(indirect: By Trust)
Common Stock
Footnotes (3)
- [F1]In connection with certain personal investment, financial and tax planning strategies, (i) on December 14, 2016, PANDA Holdings, LLC ("PANDA"), of which the Reporting Person is the managing member, assigned 339,055 shares of the Issuer's common stock to an affiliate of PANDA for aggregate consideration of $1.00 and (ii) on December 15, 2016, such affiliate sold to MTG Investment Holdings, LLC ("MTGIH"), of which the Reporting Person is the sole member, 512,109 shares of the Issuer's common stock for aggregate consideration of $1.00.
- [F2]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.
- [F3]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.