0001437749-23-025311.txt : 20230906 0001437749-23-025311.hdr.sgml : 20230906 20230906163104 ACCESSION NUMBER: 0001437749-23-025311 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230831 FILED AS OF DATE: 20230906 DATE AS OF CHANGE: 20230906 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Hollingsworth Jane H CENTRAL INDEX KEY: 0001297141 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37942 FILM NUMBER: 231239601 MAIL ADDRESS: STREET 1: DIFFUSION PHARMACEUTICALS INC. STREET 2: 1317 CARLTON AVENUE, SUITE 200 CITY: CHARLOTTESVILLE STATE: VA ZIP: 22902 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CervoMed Inc. CENTRAL INDEX KEY: 0001053691 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 300645032 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 20 PARK PLAZA STREET 2: SUITE 424 CITY: BOSTON STATE: MA ZIP: 02216 BUSINESS PHONE: (617) 744-4400 MAIL ADDRESS: STREET 1: 20 PARK PLAZA STREET 2: SUITE 424 CITY: BOSTON STATE: MA ZIP: 02216 FORMER COMPANY: FORMER CONFORMED NAME: Diffusion Pharmaceuticals Inc. DATE OF NAME CHANGE: 20160115 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 4 1 rdgdoc.xml FORM 4 X0508 4 2023-08-31 0001053691 CervoMed Inc. CRVO 0001297141 Hollingsworth Jane H 20 PARK PLAZA, SUITE 424 BOSTON MA 02116 1 0 Common Stock 2023-08-31 4 M 0 122 A 943 D Common Stock 2023-08-31 4 D 0 45 D 898 D Restricted Stock Unit 2023-08-31 4 M 0 122 0 D Common Stock 122 0 D On August 31, 2023 (the "Vesting Date"), in connection with the vesting of previously awarded restricted stock units ("RSUs"), each RSU representing a contingent right to receive one share of the Issuer's common stock (a "Share"), the Reporting Person became entitled to receive, in accordance with Section 8.7 of the Issuer's 2015 Equity Incentive Plan (as amended, the "Plan") and the terms of the underlying award agreement, (i) 77 Shares and (ii) $266.40 in cash, representing the Fair Market Value (as defined in the 2015 Equity Plan) of the remaining portion of the award vested on the Vesting Date, based on the closing sale price of one Share reported by the NASDAQ Stock Market on such date of $5.92. The award is now fully vested. /s/ William R. Elder, attorney-in-fact for the Reporting Person 2023-09-06