Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
---|---|---|---|---|---|---|---|---|---|---|---|
holding | DFFN | Common Stock | 13.7K | Aug 16, 2023 | Direct | F1 |
Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
holding | DFFN | Stock Option (Right to Buy) | Aug 16, 2023 | Common Stock | 8.29K | $19.81 | Direct | F1, F2 | ||||||
holding | DFFN | Stock Option (Right to Buy) | Aug 16, 2023 | Common Stock | 5.52K | $27.72 | Direct | F1, F3 | ||||||
holding | DFFN | Stock Option (Right to Buy) | Aug 16, 2023 | Common Stock | 4.6K | $26.06 | Direct | F1, F4 | ||||||
holding | DFFN | Stock Option (Right to Buy) | Aug 16, 2023 | Common Stock | 6.91K | $34.84 | Direct | F1, F5 |
Id | Content |
---|---|
F1 | Shares of common stock of the corporation then known as EIP Pharma, Inc. ("EIP") were converted (after giving effect to the conversion of each share of EIP's preferred stock and EIP's convertible promissory notes into EIP's common stock) into shares of the Issuer pursuant to that certain Agreement and Plan of Merger, dated as of March 30, 2023, by and among the EIP, Dawn Merger Sub, Inc. and the Issuer (formerly known as Diffusion Pharmaceuticals, Inc.) (the "Merger Agreement"). Pursuant to the terms of the Merger Agreement, each share of EIP common stock was exchanged for 0.1151 shares of the Issuer's common stock, after giving effect to a reverse split of the Issuer's common stock of 1-for-1.5. |
F2 | Represents 8,287 stock options granted under the Issuer's 2018 Equity Incentive Plan (the "Plan"). Twenty-five percent (25%) of the stock options vest on the one-year anniversary of May 29, 2018 with the remaining options vesting in equal monthly installments over thirty-six (36) months thereafter. |
F3 | Represents 5,524 stock options granted under the Plan. Twenty-five percent (25%) of the stock options vest on the one-year anniversary of March 4, 2019 with the remaining options vesting in equal monthly installments over thirty-six (36) months thereafter. |
F4 | Represents 4,604 stock options granted under the Plan. Twenty-five percent (25%) of the stock options vest on the one-year anniversary of December 16, 2019 with the remaining options vesting in equal monthly installments over thirty-six (36) months thereafter. |
F5 | Represents 6,906 stock options granted under the Plan. Twenty-five percent (25%) of the stock options vest on the one-year anniversary of March 12, 2021 with the remaining options vesting in equal monthly installments over thirty-six (36) months thereafter. |