<SEC-DOCUMENT>0001437749-20-011845.txt : 20200527
<SEC-HEADER>0001437749-20-011845.hdr.sgml : 20200527
<ACCEPTANCE-DATETIME>20200527165743
ACCESSION NUMBER:		0001437749-20-011845
CONFORMED SUBMISSION TYPE:	D
PUBLIC DOCUMENT COUNT:		1
ITEM INFORMATION:		<ITEMS>06b
FILED AS OF DATE:		20200527
DATE AS OF CHANGE:		20200527
EFFECTIVENESS DATE:		20200527

FILER:

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			Diffusion Pharmaceuticals Inc.
		CENTRAL INDEX KEY:			0001053691
		STANDARD INDUSTRIAL CLASSIFICATION:	PHARMACEUTICAL PREPARATIONS [2834]
		IRS NUMBER:				300645032
		STATE OF INCORPORATION:			DE
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		D
		SEC ACT:		1933 Act
		SEC FILE NUMBER:	021-367789
		FILM NUMBER:		20916006

	BUSINESS ADDRESS:	
		STREET 1:		2020 AVON COURT
		STREET 2:		SUITE 4
		CITY:			CHARLOTTESVILLE
		STATE:			VA
		ZIP:			22902
		BUSINESS PHONE:		(434) 220-0718

	MAIL ADDRESS:	
		STREET 1:		2020 AVON COURT
		STREET 2:		SUITE 4
		CITY:			CHARLOTTESVILLE
		STATE:			VA
		ZIP:			22902

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	RestorGenex Corp
		DATE OF NAME CHANGE:	20140307

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	Stratus Media Group, Inc
		DATE OF NAME CHANGE:	20080722

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	FERIS INTERNATIONAL, INC.
		DATE OF NAME CHANGE:	20080228
</SEC-HEADER>
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    <primaryIssuer>
        <cik>0001053691</cik>
        <entityName>Diffusion Pharmaceuticals Inc.</entityName>
        <issuerAddress>
            <street1>1317 CARLTON AVENUE</street1>
            <street2>SUITE 200</street2>
            <city>CHARLOTTESVILLE</city>
            <stateOrCountry>VA</stateOrCountry>
            <stateOrCountryDescription>VIRGINIA</stateOrCountryDescription>
            <zipCode>22902</zipCode>
        </issuerAddress>
        <issuerPhoneNumber>(434) 220-0718</issuerPhoneNumber>
        <jurisdictionOfInc>DELAWARE</jurisdictionOfInc>
        <issuerPreviousNameList>
            <value>None</value>
        </issuerPreviousNameList>
        <edgarPreviousNameList>
            <previousName>RestorGenex Corp</previousName>
            <previousName>Stratus Media Group, Inc</previousName>
            <previousName>FERIS INTERNATIONAL, INC.</previousName>
        </edgarPreviousNameList>
        <entityType>Corporation</entityType>
        <yearOfInc>
            <overFiveYears>true</overFiveYears>
        </yearOfInc>
    </primaryIssuer>

    <relatedPersonsList>
        <relatedPersonInfo>
            <relatedPersonName>
                <firstName>David</firstName>
                <middleName>G.</middleName>
                <lastName>Kalergis</lastName>
            </relatedPersonName>
            <relatedPersonAddress>
                <street1>1317 Carlton Avenue</street1>
                <street2>Suite 200</street2>
                <city>Charlottesville</city>
                <stateOrCountry>VA</stateOrCountry>
                <stateOrCountryDescription>VIRGINIA</stateOrCountryDescription>
                <zipCode>22902</zipCode>
            </relatedPersonAddress>
            <relatedPersonRelationshipList>
                <relationship>Executive Officer</relationship>
                <relationship>Director</relationship>
            </relatedPersonRelationshipList>
            <relationshipClarification></relationshipClarification>
        </relatedPersonInfo>
        <relatedPersonInfo>
            <relatedPersonName>
                <firstName>John</firstName>
                <middleName>L.</middleName>
                <lastName>Gainer</lastName>
            </relatedPersonName>
            <relatedPersonAddress>
                <street1>1317 Carlton Avenue</street1>
                <street2>Suite 200</street2>
                <city>Charlottesville</city>
                <stateOrCountry>VA</stateOrCountry>
                <stateOrCountryDescription>VIRGINIA</stateOrCountryDescription>
                <zipCode>22902</zipCode>
            </relatedPersonAddress>
            <relatedPersonRelationshipList>
                <relationship>Director</relationship>
            </relatedPersonRelationshipList>
            <relationshipClarification></relationshipClarification>
        </relatedPersonInfo>
        <relatedPersonInfo>
            <relatedPersonName>
                <firstName>Robert</firstName>
                <middleName>W.</middleName>
                <lastName>Adams</lastName>
            </relatedPersonName>
            <relatedPersonAddress>
                <street1>1317 Carlton Avenue</street1>
                <street2>Suite 200</street2>
                <city>Charlottesville</city>
                <stateOrCountry>VA</stateOrCountry>
                <stateOrCountryDescription>VIRGINIA</stateOrCountryDescription>
                <zipCode>22902</zipCode>
            </relatedPersonAddress>
            <relatedPersonRelationshipList>
                <relationship>Director</relationship>
            </relatedPersonRelationshipList>
            <relationshipClarification></relationshipClarification>
        </relatedPersonInfo>
        <relatedPersonInfo>
            <relatedPersonName>
                <firstName>William</firstName>
                <middleName>K.</middleName>
                <lastName>Hornung</lastName>
            </relatedPersonName>
            <relatedPersonAddress>
                <street1>1317 Carlton Avenue</street1>
                <city>Charlottesville</city>
                <stateOrCountry>VA</stateOrCountry>
                <stateOrCountryDescription>VIRGINIA</stateOrCountryDescription>
                <zipCode>22902</zipCode>
            </relatedPersonAddress>
            <relatedPersonRelationshipList>
                <relationship>Executive Officer</relationship>
            </relatedPersonRelationshipList>
            <relationshipClarification></relationshipClarification>
        </relatedPersonInfo>
        <relatedPersonInfo>
            <relatedPersonName>
                <firstName>Thomas</firstName>
                <middleName>S.</middleName>
                <lastName>Byrne</lastName>
            </relatedPersonName>
            <relatedPersonAddress>
                <street1>1317 Carlton Avenue</street1>
                <street2>Suite 200</street2>
                <city>Charlottesville</city>
                <stateOrCountry>VA</stateOrCountry>
                <stateOrCountryDescription>VIRGINIA</stateOrCountryDescription>
                <zipCode>22902</zipCode>
            </relatedPersonAddress>
            <relatedPersonRelationshipList>
                <relationship>Executive Officer</relationship>
            </relatedPersonRelationshipList>
            <relationshipClarification></relationshipClarification>
        </relatedPersonInfo>
        <relatedPersonInfo>
            <relatedPersonName>
                <firstName>Mark</firstName>
                <middleName>T.</middleName>
                <lastName>Giles</lastName>
            </relatedPersonName>
            <relatedPersonAddress>
                <street1>1317 Carlton Avenue</street1>
                <street2>Suite 200</street2>
                <city>Charlottesville</city>
                <stateOrCountry>VA</stateOrCountry>
                <stateOrCountryDescription>VIRGINIA</stateOrCountryDescription>
                <zipCode>22902</zipCode>
            </relatedPersonAddress>
            <relatedPersonRelationshipList>
                <relationship>Director</relationship>
            </relatedPersonRelationshipList>
            <relationshipClarification></relationshipClarification>
        </relatedPersonInfo>
        <relatedPersonInfo>
            <relatedPersonName>
                <firstName>Alan</firstName>
                <middleName>G.</middleName>
                <lastName>Levin</lastName>
            </relatedPersonName>
            <relatedPersonAddress>
                <street1>1317 Carlton Avenue</street1>
                <street2>Suite 200</street2>
                <city>Charlottesville</city>
                <stateOrCountry>VA</stateOrCountry>
                <stateOrCountryDescription>VIRGINIA</stateOrCountryDescription>
                <zipCode>22902</zipCode>
            </relatedPersonAddress>
            <relatedPersonRelationshipList>
                <relationship>Director</relationship>
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        <relatedPersonInfo>
            <relatedPersonName>
                <firstName>Robert</firstName>
                <middleName>J.</middleName>
                <lastName>Cobuzzi</lastName>
            </relatedPersonName>
            <relatedPersonAddress>
                <street1>1317 Carlton Avenue</street1>
                <street2>Suite 200</street2>
                <city>Charlottesville</city>
                <stateOrCountry>VA</stateOrCountry>
                <stateOrCountryDescription>VIRGINIA</stateOrCountryDescription>
                <zipCode>22902</zipCode>
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            <relatedPersonRelationshipList>
                <relationship>Director</relationship>
            </relatedPersonRelationshipList>
            <relationshipClarification></relationshipClarification>
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    </relatedPersonsList>

    <offeringData>
        <industryGroup>
            <industryGroupType>Pharmaceuticals</industryGroupType>
        </industryGroup>
        <issuerSize>
            <revenueRange>Decline to Disclose</revenueRange>
        </issuerSize>
        <federalExemptionsExclusions>
            <item>06b</item>
        </federalExemptionsExclusions>
        <typeOfFiling>
            <newOrAmendment>
                <isAmendment>false</isAmendment>
            </newOrAmendment>
            <dateOfFirstSale>
                <value>2020-05-20</value>
            </dateOfFirstSale>
        </typeOfFiling>
        <durationOfOffering>
            <moreThanOneYear>false</moreThanOneYear>
        </durationOfOffering>
        <typesOfSecuritiesOffered>
            <isOptionToAcquireType>true</isOptionToAcquireType>
            <isSecurityToBeAcquiredType>true</isSecurityToBeAcquiredType>
        </typesOfSecuritiesOffered>
        <businessCombinationTransaction>
            <isBusinessCombinationTransaction>false</isBusinessCombinationTransaction>
        </businessCombinationTransaction>
        <minimumInvestmentAccepted>0</minimumInvestmentAccepted>
        <salesCompensationList>
            <recipient>
                <recipientName>H.C. Wainwright &amp; Co., LLC</recipientName>
                <recipientCRDNumber>375</recipientCRDNumber>
                <associatedBDName>None</associatedBDName>
                <associatedBDCRDNumber>None</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>430 Park Avenue</street1>
                    <street2>4th Floor</street2>
                    <city>New York</city>
                    <stateOrCountry>NY</stateOrCountry>
                    <stateOrCountryDescription>NEW YORK</stateOrCountryDescription>
                    <zipCode>10022</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <state>NY</state>
                    <description>NEW YORK</description>
                </statesOfSolicitationList>
            </recipient>
        </salesCompensationList>
        <offeringSalesAmounts>
            <totalOfferingAmount>750001</totalOfferingAmount>
            <totalAmountSold>750001</totalAmountSold>
            <totalRemaining>0</totalRemaining>
            <clarificationOfResponse>H.C. Wainwright &amp; Co., LLC received warrants to purchase 571,429 shares of common stock as sales compensation. The offering amount includes amounts receivable upon exercise of the warrants, which have not yet been exercised.</clarificationOfResponse>
        </offeringSalesAmounts>
        <investors>
            <hasNonAccreditedInvestors>false</hasNonAccreditedInvestors>
            <totalNumberAlreadyInvested>4</totalNumberAlreadyInvested>
        </investors>
        <salesCommissionsFindersFees>
            <salesCommissions>
                <dollarAmount>0</dollarAmount>
            </salesCommissions>
            <findersFees>
                <dollarAmount>0</dollarAmount>
            </findersFees>
            <clarificationOfResponse>H.C. Wainwright &amp; Co. received warrants to purchase up to 571,429 shares of common stock, sales commissions and reimbursement of certain expenses in connection with the Issuer's registered direct offering of common stock.</clarificationOfResponse>
        </salesCommissionsFindersFees>
        <useOfProceeds>
            <grossProceedsUsed>
                <dollarAmount>0</dollarAmount>
            </grossProceedsUsed>
            <clarificationOfResponse>A portion of the proceeds may be used for general corporate purposes, including to pay salaries of some related persons listed in Item 3.</clarificationOfResponse>
        </useOfProceeds>
        <signatureBlock>
            <authorizedRepresentative>false</authorizedRepresentative>
            <signature>
                <issuerName>Diffusion Pharmaceuticals Inc.</issuerName>
                <signatureName>/s/ David G. Kalergis</signatureName>
                <nameOfSigner>David G. Kalergis</nameOfSigner>
                <signatureTitle>Chairman and CEO</signatureTitle>
                <signatureDate>2020-05-27</signatureDate>
            </signature>
        </signatureBlock>
    </offeringData>
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