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| CIK | 811212 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Spinnaker ETF Series - North Shore Equity Rotation ETF
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| January 6, 2025 |
THERMOGENESIS HOLDINGS, INC. UNANIMOUS WRITTEN CONSENT OF THE BOARD OF DIRECTORS Exhibit 10.1 THERMOGENESIS HOLDINGS, INC. UNANIMOUS WRITTEN CONSENT OF THE BOARD OF DIRECTORS The undersigned, constituting all of the members of the Board of Directors (the “Board”) of ThermoGenesis Holdings, Inc. (the “Company”), acting pursuant to the authority conferred upon them by the Delaware General Corporation Law (“DGCL”), do hereby ratify, confirm and adopt the following recitals and re |
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| January 6, 2025 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 31, 2024 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employer |
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| August 15, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC FILE NUMBER: 333-82900 CUSIP NUMBER: 88362L100 (Check One) ☐Form 10-K ☐ Form 20-F ☐ Form 11-K ☒ Form 10-Q ☐Form 10-D ☐ Form N-CEN ☐ Form N-CSR For Period Ended: June 30, 2024 ☐Transition Report on Form 10-K ☐Transition Report on Form 20-F ☐Transition Report on Form 11-K ☐Transition R |
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| August 6, 2024 |
Changes in Registrant's Certifying Accountant UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 1, 2024 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employer of |
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| August 6, 2024 |
Letter Regarding Change in Accountants for Form 8-K Exhibit 16.2 Letter Regarding Change in Accountants for Form 8-K August 5, 2024 Securities and Exchange Commission 100 F Street N.E. Washington, D.C. 20549 We have been furnished with a copy of the response to Item 4.01 of Form 8-K for the event that occurred on August 1, 2024, to be filed by our client, ThermoGenesis Holdings Inc. We agree with the statements made in response to that Item insofar |
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| August 6, 2024 |
Exhibit 16.1 August 6, 2024 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Commissioners: We have read the statements made by ThermoGenesis Holdings, Inc. under Item 4.01 of its Form 8-K dated August 1, 2024. We agree with the statements concerning our Firm in such Form 8-K; we are not in a position to agree or disagree with other statements of ThermoGenesis Holdings, I |
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| July 16, 2024 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 12, 2024 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employer of I |
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| July 16, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 15, 2024 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employer of I |
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| July 16, 2024 |
Exhibit 9.1 EXERCISED COLLATERAL OPTION FOR THE REVOLVING LINE OF CREDIT BY AND BETWEEN THERMOGENESIS HOLDINGS INC AND BOYALIFE GROUP INC This Letter is to inform ThermoGenesis Holdings Inc., previously known as Cesca Therapeutics Inc (the “Company”), about the exercised collateral option within the existing terms of the revolving line-of-credit entered by and between the Company and Boyalife Grou |
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| July 11, 2024 |
Exhibit 9.1 NOTICE OF DEFAULT AND ELECTION TO EXERCISE COLATERAL OPTION FOR THE REVOLVING LINE OF CREDIT BY AND BETWEEN THERMOGENESIS HOLDINGS INC AND BOYALIFE GROUP INC (USA) This Letter is to inform ThermoGenesis Holdings Inc., previously known as Cesca Therapeutics Inc (the “Company”), about the demand to exercise the contractual option within the existing terms of the revolving line-of-credit |
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| July 11, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 9, 2024 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employer of In |
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| July 2, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 30, 2024 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employer of I |
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| June 26, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 22, 2024 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employer of I |
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| June 26, 2024 |
Exhibit 17.1 Date: 21 June 2024 To: Chris Xu, PhD Chairman and CEO ThermoGenesis, Inc. Sacramento, CA From: Russell Medford MD, PhD Atlanta, Georgia Joseph Thomis, PhD Brussels, Belgium Jim Xu Chicago, IL Dear Dr. Xu: We hope this letter finds you well. After much reflection and careful consideration, we are writing to formally resign from our positions as independent board members of the Board of |
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| June 26, 2024 |
Exhibit 17.2 June 24, 2024 Dr. Chris Xu, Chair, Board of Directors Themogenesis Holdings, Inc. 2711 Citrus Road Rancho Cordova, CA 95742 [email protected] Re: My Resignation as an Independent Board Member Dear Dr. Xu, There have been quite a few developments in the past few days regarding the resignation of the independent board members. Even though the independent board members as a whole wer |
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| June 11, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 6, 2024 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employer of In |
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| June 4, 2024 |
MANUFACTURE AND SUPPLY AGREEMENT Exhibit 10.1 Information contained in portions of this Exhibit have been redacted because the Company has determined that such information (i) is not material and (ii) would likely cause competitive harm to the Company if it were to be publicly disclosed. Information redacted from this Exhibit has been marked by the following [**] MANUFACTURE AND SUPPLY AGREEMENT THIS MANUFACTURE AND SUPPLY AGREEM |
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| June 4, 2024 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 29, 2024 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employer of In |
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| May 17, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 FORM 10-Q ☒ Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the quarterly period ended March 31, 2024 or ☐ Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the transition from to . Commission File Number: 333-82900 ThermoGe |
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| May 16, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC FILE NUMBER: 333-82900 CUSIP NUMBER: 88362L100 (Check One) ☐Form 10-K ☐ Form 20-F ☐ Form 11-K ☒ Form 10-Q ☐Form 10-D ☐ Form N-CEN ☐ Form N-CSR For Period Ended: March 31, 2024 ☐Transition Report on Form 10-K ☐Transition Report on Form 20-F ☐Transition Report on Form 11-K ☐Transition |
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| April 24, 2024 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 19, 2024 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employer |
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| April 16, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended: December 31, 2023 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-16375 THERMOG |
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| April 16, 2024 |
ThermoGenesis Holdings, Inc. Compensation Recovery Policy, filed herewith Exhibit 97.1 THERMOGENESIS HOLDINGS, INC. Compensation Recovery Policy 1. Purpose. The purpose of this Compensation Recovery Policy (this “Policy”) is to describe the circumstances under which ThermoGenesis Holdings, Inc. (the “Company”) is required to recover certain compensation paid to certain employees. Any references in compensation plans, agreements, equity awards or other policies to the Co |
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| April 2, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC FILE NUMBER: 333-82900 CUSIP NUMBER: 88362L209 (Check One) ☒Form 10-K ☐ Form 20-F ☐ Form 11-K ☐ Form 10-Q ☐Form 10-D ☐ Form N-CEN ☐ Form N-CSR For Period Ended: December 31, 2023 ☐Transition Report on Form 10-K ☐Transition Report on Form 20-F ☐Transition Report on Form 11-K ☐Transiti |
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| March 20, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 15, 2024 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employer of |
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| March 12, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 8, 2024 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employer |
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| January 10, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 8, 2024 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employe |
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| January 10, 2024 |
Exhibit 10.1 AMENDMENT NO. 3 TO SECOND AMENDED AND RESTATED CONVERTIBLE PROMISSORY NOTE THIS AMENDMENT NO. 3 TO SECOND AMENDED AND RESTATED CONVERTIBLE PROMISSORY NOTE, dated as of January 5, 2024 (this “Amendment”), amends that certain Second Amended and Restated Convertible Promissory Note initially issued on April 16, 2018, and previously amended by Amendment No. 1, dated March 4, 2022 and Amen |
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| January 10, 2024 |
Exhibit 10.2 AMENDMENT NO. 4 TO FIRST AMENDED AND RESTATED REVOLVING CREDIT AGREEMENT This Amendment No. 4 to First Amended and Restated Revolving Credit Agreement (this “Amendment No. 4”) is entered into as of January 5, 2024, by and between ThermoGenesis Holdings, Inc., a Delaware corporation formerly known as Cesca Therapeutics Inc. (the “Borrower”), and Boyalife Group Inc., an Illinois corpora |
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| January 10, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 5, 2024 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employe |
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| December 15, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 14, 2023 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employer |
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| December 6, 2023 |
Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-275735 PROSPECTUS SUPPLEMENT (To Prospectus dated December 5, 2023) $1,288,000 Common Stock We have entered into an At The Market Offering Agreement (the “Offering Agreement”), dated November 22, 2023, with H.C. Wainwright & Co., LLC (the “Sales Agent” or “Wainwright”), as sales agent relating to the shares of our common stock |
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| December 1, 2023 |
THERMOGENESIS HOLDINGS, INC. 2711 Citrus Road Rancho Cordova, California 95742 December 1, 2023 THERMOGENESIS HOLDINGS, INC. 2711 Citrus Road Rancho Cordova, California 95742 December 1, 2023 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attention: Juan Grana Re: ThermoGenesis Holdings, Inc. Registration Statement on Form S‑3 (Registration No. 333-275735) Mr. Grana: Pursuant to Rule 461 under the Securitie |
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| November 29, 2023 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 22, 2023 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Emplo |
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| November 28, 2023 |
US88362L2097 / THERMOGENESIS HO / Boyalife Group, Inc. - SCHEDULE 13D/A Activist Investment SC 13D/A 1 boya20231127sc13da.htm SCHEDULE 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 7) THERMOGENESIS HOLDINGS, INC. (Name of Issuer) Common Stock, par value $0.001 (Title of Class of Securities) 88362L209 (CUSIP Number) Xiaochun Xu PhD, MBA 2711 Citrus Rd. Rancho Cordova, CA 95742 Tel: (916 |
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| November 22, 2023 |
As filed with the Securities and Exchange Commission on November 22, 2023 Table of Contents As filed with the Securities and Exchange Commission on November 22, 2023 Registration No. |
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| November 22, 2023 |
Exhibit 107 Calculation of Filing Fee Tables FORM S-3 (Form Type) ThermoGenesis Holdings, Inc. |
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| November 22, 2023 |
Exhibit 4.5 THERMOGENESIS HOLDINGS, INC. TO Trustee FORM OF INDENTURE Dated as of Debt Securities THERMOGENESIS HOLDINGS, INC. Reconciliation and tie between Trust Indenture Act of 1939 and Indenture, dated as of ss.310(a)(1) 609 (a)(2) 609 (a)(3) Not Applicable (a)(4) Not Applicable (a)(5) 609 (b) 608, 610 (c) Not Applicable ss.311(a) 613 (b) 613 ss.312(a) 701, 702(a) (b) 702(b) (c) 702(c) ss.313 |
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| November 22, 2023 |
Exhibit 1.2 AT THE MARKET OFFERING AGREEMENT November 22, 2023 H.C. Wainwright & Co., LLC 430 Park Avenue New York, NY 10022 Ladies and Gentlemen: ThermoGenesis Holdings, Inc., a corporation organized under the laws of the State of Delaware (the “Company”), confirms its agreement (this “Agreement”) with H.C. Wainwright & Co., LLC (the “Manager”) as follows: 1. Definitions. The terms that follow, w |
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| November 22, 2023 |
Form of Subordinated Indenture. Exhibit 4.6 THERMOGENESIS HOLDINGS, INC. TO Trustee FORM OF SUBORDINATED INDENTURE Dated as of Debt Securities THERMOGENESIS HOLDINGS, INC. Reconciliation and tie between Trust Indenture Act of 1939 and Indenture, dated as of ss.310(a)(1) 609 (a)(2) 609 (a)(3) Not Applicable (a)(4) Not Applicable (a)(5) 609 (b) 608, 610 (c) Not Applicable ss.311(a) 613 (b) 613 ss.312(a) 701, 702(a) (b) 702(b) (c) |
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| November 21, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 17, 2023 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Emplo |
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| November 13, 2023 |
Exhibit 99.1 ThermoGenesis Holdings Announces Third Quarter 2023 Financial Results and Provides Corporate Update Conference Call to be Held Today at 1:30 p.m. PT/4:30 p.m. ET RANCHO CORDOVA, Calif., November 13, 2023 - ThermoGenesis Holdings, Inc. (Nasdaq: THMO), a market leader in automated cell processing tools and services in the cell and gene therapy field, today reported financial and operati |
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| November 13, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 FORM 10-Q ☒ Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the quarterly period ended September 30, 2023. or ☐ Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the transition from to . Commission File Number: 333-82900 The |
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| November 13, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 13, 2023 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employer |
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| November 3, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| October 26, 2023 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Defi |
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| October 4, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 28, 2023 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employer |
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| August 29, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 23, 2023 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employer of |
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| August 14, 2023 |
US88362L2097 / THERMOGENESIS HO / Boyalife Group, Inc. - SCHEDULE 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 6) THERMOGENESIS HOLDINGS, INC. (Name of Issuer) Common Stock, par value $0.001 (Title of Class of Securities) 88362L209 (CUSIP Number) Xiaochun Xu PhD, MBA 2711 Citrus Rd. Rancho Cordova, CA 95742 Tel: (916) 858-5100 (Name, Address and Telephone Number of |
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| August 10, 2023 |
Exhibit 99.1 ThermoGenesis Holdings Announces Second Quarter 2023 Financial Results and Provides Corporate Update Conference Call to be Held Today at 1:30 p.m. PT/4:30 p.m. ET RANCHO CORDOVA, Calif., August 10, 2023 - ThermoGenesis Holdings, Inc. (Nasdaq: THMO), a market leader in automated cell processing tools and services in the cell and gene therapy field, today reported financial and operatin |
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| August 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 10, 2023 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employer of |
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| August 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 FORM 10-Q ☒ Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the quarterly period ended June 30, 2023 or ☐ Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the transition from to . Commission File Number: 333-82900 ThermoGen |
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| August 3, 2023 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 31, 2023 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employer |
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| August 3, 2023 |
Exhibit 10.1 AMENDMENT NO. 4 TO CONVERTIBLE PROMISSORY NOTE This Amendment No. 4 Convertible Promissory Note (this “Amendment No. 4”) by and between ThermoGenesis Holdings, Inc., a Delaware corporation formerly known as Cesca Therapeutics Inc. (the “Company”), and Orbrex (USA) Co. Limited (“Orbrex”), is entered into effective as of July 31, 2023. Capitalized terms not otherwise defined herein shal |
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| July 19, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 14, 2023 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employer |
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| May 15, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 FORM 10-Q ☒ Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the quarterly period ended March 31, 2023 or ☐ Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the transition from to . Commission File Number: 333-82900 ThermoGe |
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| May 15, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 15, 2023 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employer of In |
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| May 15, 2023 |
Exhibit 99.1 ThermoGenesis Holdings Announces First Quarter 2023 Financial Results and Provides Corporate Update Conference Call to be Held Today at 1:30 p.m. PT/4:30 p.m. ET RANCHO CORDOVA, Calif., May 15, 2023 - ThermoGenesis Holdings, Inc. (Nasdaq: THMO), a market leader in automated cell processing tools and services in the cell and gene therapy field, today reported financial and operating re |
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| April 27, 2023 |
THERMOGENESIS HOLDINGS, INC. 2711 Citrus Road Rancho Cordova, California 95742 April 27, 2023 THERMOGENESIS HOLDINGS, INC. 2711 Citrus Road Rancho Cordova, California 95742 April 27, 2023 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attention: Abby Adams Re: ThermoGenesis Holdings, Inc. Registration Statement on Form S‑3 (Registration No. 333-271327) Ms. Adams: Pursuant to Rule 461 under the Securities |
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| April 18, 2023 |
Exhibit 107 Calculation of Filing Fee Tables FORM S-3 (Form Type) ThermoGenesis Holdings, Inc. |
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| April 18, 2023 |
Exhibit 10.5 Lock‑Up Agreement April 17, 2023 ThermoGenesis Holdings, Inc. 2711 Citrus Road Rancho Cordova, California 95742 Attention: Jeffrey Cauble, Chief Financial Officer Re: ThermoGenesis Holdings, Inc. – Registration Statement on Form S-3 for Shares of Common Stock Dear Sirs and Madams: For good and valuable consideration, the undersigned is delivering this letter agreement (this “Agreement |
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| April 18, 2023 |
As filed with the Securities and Exchange Commission on April 18, 2023 Table of Contents As filed with the Securities and Exchange Commission on April 18, 2023 Registration No. |
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| April 17, 2023 |
2,142,858 Shares of Common Stock ______________ PROSPECTUS Filed Pursuant to Rule 424(b)(3) Registration No. 333-271125 2,142,858 Shares of Common Stock This prospectus relates to the offer and sale from time to time by the selling stockholder named in this prospectus of up to 2,142,858 shares of our common stock, consisting of (i) 125,000 shares of outstanding common stock (ii), 946,429 shares of our common stock issuable upon the exercise of |
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| April 13, 2023 |
As filed with the Securities and Exchange Commission on April 13, 2023 As filed with the Securities and Exchange Commission on April 13, 2023 Registration No. |
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| April 11, 2023 |
US88362L2097 / THERMOGENESIS HO / Boyalife Group, Inc. Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 5) THERMOGENESIS HOLDINGS, INC. (Name of Issuer) Common Stock, par value $0.001 (Title of Class of Securities) 88362L209 (CUSIP Number) Xiaochun Xu PhD, MBA 2711 Citrus Rd. Rancho Cordova, CA 95742 Tel: (916) 858-5100 (Name, Address and Telephone Number of |
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| April 11, 2023 |
THERMOGENESIS HOLDINGS, INC. 2711 Citrus Road Rancho Cordova, California 95742 April 11, 2023 THERMOGENESIS HOLDINGS, INC. 2711 Citrus Road Rancho Cordova, California 95742 April 11, 2023 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attention: Jordan Nimitz Re: ThermoGenesis Holdings, Inc. Registration Statement on Form S‑3 (Registration No. 333-271125) Ms. Nimitz: Pursuant to Rule 461 under the Securit |
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| April 4, 2023 |
Exhibit 107 Calculation of Filing Fee Tables FORM S-3 (Form Type) ThermoGenesis Holdings, Inc. |
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| April 4, 2023 |
Powers of Attorney (included on signature page). As filed with the Securities and Exchange Commission on April 4, 2023 Registration No. |
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| March 30, 2023 |
EXHIBIT 3.1 AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF THERMOGENESIS HOLDINGS, INC. ThermoGenesis Holdings, Inc., a corporation organized and existing under the laws of the State of Delaware, (the “Corporation”) hereby certifies as follows: 1. The original Certificate of Incorporation of the Corporation was filed with the Secretary of State of the State of Delaware on July 3, 1986, under |
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| March 30, 2023 |
Exhibit 4.4 Description of Securities Registered Under Section 12 of the Securities Exchange Act of 1934, as Amended Our Certificate of Incorporation authorizes the issuance of up to 350,000,000 shares of common stock, par value $0.001 per share, and 2,000,000 shares of preferred stock, par value $0.001 per share. The rights and preferences of the preferred stock may be established from time to ti |
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| March 30, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 30, 2023 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employer of |
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| March 30, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended: December 31, 2022 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-16375 ThermoG |
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| March 30, 2023 |
Exhibit 99.1 ThermoGenesis Holdings Announces Year End 2022 Financial Results and Provides Corporate Update Conference Call to be Held Today at 1:30 p.m. PT/4:30 p.m. ET RANCHO CORDOVA, Calif., March 30, 2023 - ThermoGenesis Holdings, Inc. (Nasdaq: THMO), a market leader in automated cell processing tools and services in the cell and gene therapy field, today reported financial and operating resul |
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| March 21, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 15, 2023 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employer of |
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| March 21, 2023 |
Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of March 15, 2023, between ThermoGenesis Holdings, Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively, the “Purchasers”). WHEREAS, subject to the terms and cond |
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| March 21, 2023 |
Exhibit 4.2 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGISTR |
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| March 21, 2023 |
THERMOGENESIS ANNOUNCES $3 MILLION PRIVATE PLACEMENT PRICED AT-THE-MARKET UNDER NASDAQ RULES Exhibit 99.1 THERMOGENESIS ANNOUNCES $3 MILLION PRIVATE PLACEMENT PRICED AT-THE-MARKET UNDER NASDAQ RULES RANCHO CORDOVA, CA — March 16, 2023 — ThermoGenesis Holdings, Inc. (Nasdaq: THMO), a market leader in automated cell processing tools and services in the cell and gene therapy field, today announced that it has entered into definitive agreements for the purchase and sale of 1,071,429 shares of |
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| March 21, 2023 |
Form of Registration Rights Agreement. Exhibit 10.2 EXHIBIT B REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement (this “Agreement”) is made and entered into as of March 15, 2023, between ThermoGenesis Holdings, Inc., a Delaware corporation (the “Company”), and each of the several purchasers signatory hereto (each such purchaser, a “Purchaser” and, collectively, the “Purchasers”). This Agreement is made pursuant to the Sec |
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| March 21, 2023 |
Exhibit 4.1 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGISTR |
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| March 21, 2023 |
Exhibit 4.3 March 15, 2023 Holder of Warrants to Purchase Common Stock issued on October 28, 2022 Re: Amendment to Existing Warrants Dear Holder: Reference is hereby made to the private placement offering to be entered into on or about the date hereof (the “Offering”) by ThermoGenesis Holdings, Inc. (the “Company”) of shares of common stock, par value $0.001 per share (“Common Stock”), and other s |
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| March 21, 2023 |
THERMOGENESIS CLOSES $3 MILLION PRIVATE PLACEMENT PRICED AT-THE-MARKET UNDER NASDAQ RULES Exhibit 99.2 THERMOGENESIS CLOSES $3 MILLION PRIVATE PLACEMENT PRICED AT-THE-MARKET UNDER NASDAQ RULES RANCHO CORDOVA, CA — March 20, 2023 — ThermoGenesis Holdings, Inc. (Nasdaq: THMO), a market leader in automated cell processing tools and services in the cell and gene therapy field, today announced the closing of its previously announced purchase and sale of 1,071,429 shares of its common stock |
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| March 21, 2023 |
Prospectus Supplement Filed Pursuant to Rule 424(b)(3) Registration No. 333-264242 261,858 Units (each Unit contains One Share of Common Stock and One Common Warrant to Purchase One Share of Common Stock) 64,286 Pre-funded Units (each Pre-funded Unit contains One Pre-funded Warrant to Purchase One Share of Common Stock and One Common Warrant to Purchase One Share of Common Stock) 326,143 Shares of |
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| March 10, 2023 |
Third Amendment to Amended and Restated Bylaws EX-3.1 2 ex486587.htm EXHIBIT 3.1 Exhibit 3.1 THIRD AMENDMENT TO THE AMENDED AND RESTATED BYLAWS OF THERMOGENESIS HOLDINGS, INC. THIS THIRD AMENDMENT TO THE AMENDED AND RESTATED BYLAWS OF THERMOGENESIS HOLDINGS, INC. (this “Amendment”) is made effective as of March 6, 2023 (the “Effective Date”), and amends the Amended and Restated Bylaws, as previously amended effective December 16, 2021 and June |
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| March 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K -12-31 CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 6, 2023 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Em |
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| March 10, 2023 |
Exhibit 3.2 Effective as of March 6, 2023 AMENDED AND RESTATED BYLAWS OF THERMOGENESIS HOLDINGS, INC. ARTICLE I – OFFICES SECTION 1 - REGISTERED OFFICE The registered office of ThermoGenesis Holdings, Inc. (hereinafter called the “Corporation”) in the State of Delaware shall be in the City of Dover, County of Kent, and the name of the registered agent in charge thereof shall be the Company Corpora |
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| March 10, 2023 |
EX-10.2 5 ex486590.htm EXHIBIT 10.2 Exhibit 10.2 AMENDMENT NO. 3 TO FIRST AMENDED AND RESTATED REVOLVING CREDIT AGREEMENT This Amendment No. 3 to First Amended and Restated Revolving Credit Agreement (this “Amendment No. 3”) is entered into as of March 6, 2023, by and between ThermoGenesis Holdings, Inc., a Delaware corporation formerly known as Cesca Therapeutics Inc. (the “Borrower”), and Boyali |
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| March 10, 2023 |
EX-10.1 4 ex486589.htm EXHIBIT 10.1 Exhibit 10.1 AMENDMENT NO. 2 TO SECOND AMENDED AND RESTATED CONVERTIBLE PROMISSORY NOTE THIS AMENDMENT NO. 2 TO SECOND AMENDED AND RESTATED CONVERTIBLE PROMISSORY NOTE, dated as of March 6, 2023 (this “Amendment”), amends that certain Second Amended and Restated Convertible Promissory Note initially issued on April 16, 2018, and previously amended by Amendment N |
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| March 9, 2023 |
US88362L2097 / THERMOGENESIS HO / Xu Xiaochun Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 4) THERMOGENESIS HOLDINGS, INC. (Name of Issuer) Common Stock, par value $0.001 (Title of Class of Securities) 88362L209 (CUSIP Number) Xiaochun Xu PhD, MBA 2711 Citrus Rd. Rancho Cordova, CA 95742 Tel: (916) 858-5100 (Name, Address and Telephone Number of |
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| February 27, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 23, 2023 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employer |
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| February 16, 2023 |
THMO / Thermogenesis Holdings Inc / FOLEY & LARDNER/ FA Activist Investment SC 13D/A 1 thermogenesisxu13d.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 4) THERMOGENESIS HOLDINGS, INC. (Name of Issuer) Common Stock, par value $0.001 (Title of Class of Securities) 88362L209 (CUSIP Number) Xiaochun Xu PhD, MBA 2711 Citrus Rd. Rancho Cordova, CA 95742 Tel: (916) 858-5100 (Nam |
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| February 6, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 31, 2023 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employ |
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| February 6, 2023 |
Exhibit 10.1 AMENDMENT NO. 3 TO CONVERTIBLE PROMISSORY NOTE This Amendment No. 3 Convertible Promissory Note (this “Amendment No. 3”) by and between ThermoGenesis Holdings, Inc., a Delaware corporation formerly known as Cesca Therapeutics Inc. (the “Company”), and Orbrex (USA) Co. Limited (“Orbrex”), is entered into effective as of January 31, 2023. Capitalized terms not otherwise defined herein s |
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| January 11, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 9, 2023 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employe |
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| January 11, 2023 |
ThermoGenesis Regains Compliance with Nasdaq Minimum Bid Price Requirement Exhibit 99.1 ThermoGenesis Regains Compliance with Nasdaq Minimum Bid Price Requirement RANCHO CORDOVA, Calif., January 11, 2023 — ThermoGenesis Holdings, Inc. (NASDAQ: THMO) (the “Company”), a market leader in automated cell processing and point-of-care, autologous cell-based therapies, today announced it has received notice from The Nasdaq Stock Market LLC ("Nasdaq") that the Company has regaine |
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| January 10, 2023 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Defi |
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| December 22, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy State |
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| December 21, 2022 |
ThermoGenesis Announces 1-for-45 Reverse Stock Split Exhibit 99.1 ThermoGenesis Announces 1-for-45 Reverse Stock Split RANCHO CORDOVA, Calif., December 21, 2022 ? ThermoGenesis Holdings, Inc. (NASDAQ: THMO) (the ?Company?), a market leader in automated cell processing and point-of-care, autologous cell-based therapies, today announced a 1-for-45 reverse stock split of its outstanding common stock, effective at 12:01 a.m. Eastern time on December 22, |
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| December 21, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 -12-31 Date of Report (Date of earliest event reported): December 21, 2022 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IR |
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| December 21, 2022 |
Exhibit 3.1 CERTIFICATE OF AMENDMENT TO THE AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF THERMOGENESIS HOLDINGS, INC. Adopted in accordance with the provisions of Section 242 of the General Corporation Law of the State of Delaware ThermoGenesis Holdings, Inc., (the ?Corporation?), a corporation organized and existing under the laws of the State of Delaware, by its duly authorized officer, |
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| December 20, 2022 |
Amended 2016 Equity Incentive Plan Exhibit 10.2 THERMOGENESIS HOLDINGS, INC. 2016 EQUITY INCENTIVE PLAN (As amended and restated; approved by stockholders on December 15, 2022) Section 1. Purpose and Effective Date (a) Purpose. The purpose of the Plan is to promote the interests of the Company and its stockholders by aiding the Company in attracting and retaining employees, officers, consultants, advisors and non-employee Directors |
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| December 20, 2022 |
Amendment to the Amended and Restated Certificate of Incorporation of ThermoGenesis Holdings, Inc. Exhibit 10.1 FIFTH AMENDMENT TO THERMOGENESIS HOLDINGS, INC. AMENDED 2016 EQUITY INCENTIVE PLAN Approved by Stockholders on December 15, 2022 THIS FIFTH AMENDMENT TO THE THERMOGENESIS HOLDINGS, INC. AMENDED 2016 EQUITY INCENTIVE PLAN (this “Amendment”) of ThermoGenesis Holdings, Inc., a Delaware corporation (the “Company”), is effective as of [ ], 2022. Capitalized terms used but not otherwise def |
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| December 20, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 15, 2022 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employer |
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| November 10, 2022 |
Exhibit 99.1 ThermoGenesis Holdings Announces Financial Results for the Third Quarter Ended September 30, 2022 and Provides Corporate Update Conference Call to be Held Today at 1:30 p.m. PT/4:30 p.m. ET RANCHO CORDOVA, Calif., November 10, 2022 - ThermoGenesis Holdings, Inc. (Nasdaq: THMO), a market leader in automated cell processing tools and services in the cell and gene therapy field, today re |
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| November 10, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 FORM 10-Q ? Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the quarterly period ended September 30, 2022. or ? Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the transition from to . Commission File Number: 333-82900 The |
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| November 10, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 10, 2022 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employer |
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| November 9, 2022 |
THMO / Thermogenesis Holdings Inc / Boyalife Group, Inc. - SCHEDULE 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 3) THERMOGENESIS HOLDINGS, INC. (Name of Issuer) Common Stock, par value $0.001 (Title of Class of Securities) 88362L100 (CUSIP Number) Xiaochun Xu PhD, MBA 2711 Citrus Rd. Rancho Cordova, CA 95742 Tel: (916) 858-5100 (Name, Address and Telephone Number of |
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| November 1, 2022 |
DEFA14A 1 thmo20221029defa14a.htm FORM DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitte |
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| November 1, 2022 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Defi |
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| October 28, 2022 |
THERMOGENESIS CLOSES $2.05 MILLION PUBLIC OFFERING Exhibit 99.1 THERMOGENESIS CLOSES $2.05 MILLION PUBLIC OFFERING RANCHO CORDOVA, CA — October 28, 2022 — ThermoGenesis Holdings, Inc. (NASDAQ: THMO) (the “Company”), a market leader in automated cell processing and point-of-care, autologous cell-based therapies, today announced the closing of its previously announced public offering of 11,783,572 shares of its common stock, $0.001 par value (the “C |
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| October 28, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 25, 2022 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employer o |
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| October 27, 2022 |
Filed Pursuant to Rule 424(b)(4) Registration Statement File No. 333-264242 PROSPECTUS 11,783,572 Units (each Unit contains One Share of Common Stock and One Common Warrant to Purchase One Share of Common Stock) 2,892,858 Pre-funded Units (each Pre-funded Unit contains One Pre-funded Warrant to Purchase One Share of Common Stock and One Common Warrant to Purchase One Share of Common Stock) 14,676, |
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| October 24, 2022 |
THERMOGENESIS HOLDINGS, INC. 2711 Citrus Road Rancho Cordova, California 95742 October 24, 2022 THERMOGENESIS HOLDINGS, INC. 2711 Citrus Road Rancho Cordova, California 95742 October 24, 2022 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance Office of Life Sciences 100 F Street, N.E. Washington, D.C. 20549 Attn: Tyler Howes and Laura Crotty Re: ThermoGenesis Holdings, Inc. Registration Statement on Form S-1 Filed April 12, 2022 File No. 333-264242 Ladies and G |
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| October 17, 2022 |
Exhibit 10.40 COMMON STOCK PURCHASE WARRANT THERMOGENESIS HOLDINGS, INC. Warrant Shares: Issue Date: , 2022 THIS COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the Shareholder Approval Date (as defi |
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| October 17, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Table of Contents As filed with the Securities and Exchange Commission on October 14, 2022. |
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| October 17, 2022 |
Exhibit 1.2 Execution Version October 14, 2022 STRICTLY CONFIDENTIAL ThermoGenesis Holdings, Inc. 2711 Citrus Road Rancho Cordova, California 95742 Attn: Xiaochun (Chris) Xu, Ph.D., Chief Executive Officer Dear Dr. Xu: Reference is made to that certain engagement letter (the “Engagement Letter”), dated as of March 8, 2022, by and between ThermoGenesis Holdings, Inc. (the “Company”) and H.C. Wainwr |
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| October 17, 2022 |
Exhibit 10.39 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of , 2022, between ThermoGenesis Holdings, Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively the “Purchasers”). WHEREAS, subject to the terms and conditions s |
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| October 14, 2022 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defi |
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| September 8, 2022 |
Exhibit 99.1 Sent via Electronic Delivery to: [email protected] September 7, 2022 Mr. Jeffery Cauble Chief Financial Officer ThermoGenesis Holdings, Inc. 2711 Citrus Road Rancho Cordova, California Re: ThermoGenesis Holdings, Inc. (the ?Company?) Nasdaq Symbol: THMO Dear Mr. Cauble: As you are aware, on March 7, 2022, we notified you that, based on the previous 30 consecutive business days |
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| September 8, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 7, 2022 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Emplo |
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| August 11, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 11, 2022 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employer of |
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| August 11, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 FORM 10-Q ? Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the quarterly period ended June 30, 2022. or ? Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the transition from to . Commission File Number: 333-82900 ThermoGe |
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| August 11, 2022 |
Exhibit 99.1 ThermoGenesis Holdings Announces Financial Results for the Second Quarter Ended June 30, 2022 and Provides Corporate Update Driven by Sales of the AXP, Total Revenues for the Quarter Rose 38% Compared to Prior Year Conference Call to be Held Today at 12:00 p.m. PT/3:00 p.m. ET RANCHO CORDOVA, Calif., August 11, 2022 - ThermoGenesis Holdings, Inc. (Nasdaq: THMO), a market leader in aut |
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| August 5, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 2) THERMOGENESIS HOLDINGS, INC. (Name of Issuer) Common Stock, par value $0.001 (Title of Class of Securities) 88362L100 (CUSIP Number) Xiaochun Xu PhD, MBA 2711 Citrus Rd. Rancho Cordova, CA 95742 Tel: (916) 858-5100 (Name, Address and Telephone Number of |
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| August 5, 2022 |
Exhibit 9 STOCK PURCHASE AGREEMENT THIS STOCK PURCHASE AGREEMENT (this ?Agreement?) is made as of July 28, 2022 by and between Boyalife Group Inc. |
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| July 28, 2022 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 25, 2022 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employer |
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| July 28, 2022 |
Exhibit 10.1 AMENDMENT NO. 2 TO CONVERTIBLE PROMISSORY NOTE This Amendment No. 2 to Convertible Promissory Note (this ?Amendment No. 2?) by and between ThermoGenesis Holdings, Inc., a Delaware corporation formerly known as Cesca Therapeutics Inc. (the ?Company?), and Orbrex (USA) Co. Limited (?Orbrex?), is entered into effective as of July 25, 2022. Capitalized terms not otherwise defined herein s |
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| July 12, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 1) THERMOGENESIS HOLDINGS, INC. (Name of Issuer) Common Stock, par value $0.001 (Title of Class of Securities) 88362L100 (CUSIP Number) Xiaochun Xu PhD, MBA c/o Boyalife Group Ltd. 800 Jiefang Road East Wuxi City, China 214002 Tel: (+86) 15190288800 (Name, |
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| July 6, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 30, 2022 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employer |
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| July 6, 2022 |
Exhibit 3.1 SECOND AMENDMENT TO THE AMENDED AND RESTATED BYLAWS OF THERMOGENESIS HOLDINGS, INC. THIS SECOND AMENDMENT TO THE AMENDED AND RESTATED BYLAWS OF THERMOGENESIS HOLDINGS, INC. (this ?Amendment?) is made effective as of June 30, 2022 (the ?Effective Date?), and amends the Amended and Restated Bylaws (the ?Bylaws?) of Thermogenesis Holdings, Inc., a Delaware corporation (the ?Company?). WHE |
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| July 5, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 28, 2022 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employer of I |
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| June 23, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 21, 2022 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employer of I |
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| June 16, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 12, 2022 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employer of I |
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| May 27, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Table of Contents As filed with the Securities and Exchange Commission on May 26, 2022. |
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| May 27, 2022 |
Description of Securities Registered Under Section 12 of the Securities Exchange Act of 1934. Exhibit 4.5 Description of Securities Registered Under Section 12 of the Securities Exchange Act of 1934, as amended Our Certificate of Incorporation authorizes the issuance of three classes of stock as follows: up to Three Hundred Fifty Million (350,000,000) shares of common stock, $0.001 par value (?Common Stock?), up to One Hundred Million (100,000,000) shares of Class B common stock, $0.001 pa |
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| May 20, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 FORM 10-Q ? Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the quarterly period ended March 31, 2022. or ? Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the transition from to . Commission File Number: 333-82900 ThermoG |
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| May 19, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 19, 2022 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employer of In |
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| May 19, 2022 |
Exhibit 99.1 ThermoGenesis Holdings Announces Financial Results for the First Quarter Ended March 31, 2022 and Provides Corporate Update Conference Call to be Held Today at 1:30 p.m. PT/4:30 p.m. ET RANCHO CORDOVA, Calif., May 19, 2022 - ThermoGenesis Holdings, Inc. (Nasdaq: THMO), a market leader in automated cell processing tools and services in the cell and gene therapy field, today reported fi |
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| May 17, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC FILE NUMBER: 333-82900 CUSIP NUMBER: 88362L100 (Check One) ? Form 10-K ? Form 20-F ? Form 11-K ? Form 10-Q ? Form 10-D ? Form N-CEN ? Form N-CSR For Period Ended: March 31, 2022 ? Transition Report on Form 10-K ? Transition Report on Form 20-F ? Transition Report on Form 11-K ? Trans |
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| April 29, 2022 |
Exhibit 10.40 COMMON STOCK PURCHASE WARRANT THERMOGENESIS HOLDINGS, INC. Warrant Shares: Issue Date: , 2022 Initial Exercise Date: , 2022 THIS COMMON STOCK PURCHASE WARRANT (the ?Warrant?) certifies that, for value received, or its assigns (the ?Holder?) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the date |
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| April 29, 2022 |
EXHIBIT 10.41 PREFUNDED COMMON STOCK PURCHASE WARRANT THERMOGENESIS HOLDINGS, INC. Warrant Shares: Issue Date:), 2022 Initial Exercise Date: , 2022 THIS PREFUNDED COMMON STOCK PURCHASE WARRANT (the ?Warrant?) certifies that, for value received, or its assigns (the ?Holder?) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time |
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| April 29, 2022 |
Form of Securities Purchase Agreement. Exhibit 10.39 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this ?Agreement?) is dated as of , 2022, between ThermoGenesis Holdings, Inc., a Delaware corporation (the ?Company?), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a ?Purchaser? and collectively the ?Purchasers?). WHEREAS, subject to the terms and conditions s |
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| April 29, 2022 |
As filed with the Securities and Exchange Commission on April 28, 2022. Table of Contents As filed with the Securities and Exchange Commission on April 28, 2022. |
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| April 29, 2022 |
Exhibit 1.1 Execution Version March 8, 2022 STRICTLY CONFIDENTIAL ThermoGenesis Holdings, Inc. 2711 Citrus Road Rancho Cordova, California 95742 Attn: Xiaochun (Chris) Xu, Ph.D., Chief Executive Officer Dear Dr. Xu: This letter agreement (this ?Agreement?) constitutes the agreement between ThermoGenesis Holdings, Inc. (the ?Company?) and H.C. Wainwright & Co., LLC (?Wainwright?), that Wainwright s |
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| April 28, 2022 |
ATTORNEYS AT LAW 100 NORTH TAMPA STREET, SUITE 2700 TAMPA, FL  33602-5810 P.O. BOX 3391 TAMPA, FL  33601-3391 813.229.2300 TEL 813.221.4210 FAX WWW.FOLEY.COM WRITER?S DIRECT LINE 813.225.4122 [email protected] EMAIL CLIENT/MATTER NUMBER 115846-0115 April 28, 2022 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 At |
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| April 12, 2022 |
Exhibit 107 Calculation of Filing Fee Table Form S-1 (Form Type) ThermoGenesis Holdings, Inc. |
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| April 12, 2022 |
Power of Attorney (included on signature page). Table of Contents As filed with the Securities and Exchange Commission on April 11, 2022. |
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| April 8, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K/A (Amendment No.1) Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K/A (Amendment No.1) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended: December 31, 2021 -12-31FY2021 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commissio |
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| March 28, 2022 |
Exhibit 99.1 ThermoGenesis Holdings Announces Year End 2021 Financial Results and Provides Corporate Update Company Signs License Agreement With Boyalife Genomics and will Form TG Biosynthesis Division to Operate as CDMO for Cell and Cell-Based Gene Therapies Leases 35,475 SF To Be Built-Out as cGMP Compliant Facility in Sacramento Conference Call to be Held Today at 1:30 p.m. PT/4:30 p.m. ET RANC |
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| March 28, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 28, 2022 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employer of |
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| March 28, 2022 |
Exhibit 10.1 LICENSE AND TECHNOLOGY ACCESS AGREEMENT This LICENSE AND TECHNOLOGY ACCESS AGREEMENT (this ?Agreement?), dated as of March 24, 2022 (the ?Effective Date?), is entered into by and between Boyalife Genomics Tianjin Ltd., a corporation organized and existing under the laws of People?s Republic of China and having a place of business at 3 Haitong Street, Building A, Tianjin 300457, China |
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| March 28, 2022 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 18, 2022 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employer |
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| March 28, 2022 |
Exhibit 10.2 LEASE AGREEMENT BY AND BETWEEN Z3 INVESTMENT LLC AND THERMOGENESIS HOLDINGS INC. ThermoGenesis Holdings Inc. Lease 1 INDEX TO LEASE ARTICLE I. BASIC LEASE PROVISIONS ARTICLE II. PREMISES SECTION 2.1. LEASED PREMISES SECTION 2.2. ACCEPTANCE OF PREMISES SECTION 2.3. BUILDING NAME AND ADDRESS ARTICLE III. TERM SECTION 3.1. GENERAL SECTION 3.2. DELAY IN POSSESSION ARTICLE IV. RENT AND OPE |
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| March 28, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended: December 31, 2021 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-16375 THERMOG |
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| March 28, 2022 |
Exhibit 21.1 ThermoGenesis Holdings, Inc. List of Subsidiaries 1. ThermoGenesis Corp. Wholly-owned by ThermoGenesis Holdings, Inc. Incorporated in the state of Delaware 2. TotipotentRX Wholly-owned by ThermoGenesis Holdings, Inc. Incorporated in India 3. CARTXpress Bio Inc. Subsidiary of ThermoGenesis Corp. 80% equity interest held by ThermoGenesis Holdings, Inc. Incorporated in the state of Delaw |
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| March 23, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 18, 2022 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employer |
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| March 10, 2022 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 7, 2022 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employer |
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| March 8, 2022 |
Exhibit 10.1 AMENDMENT NO. 1 TO SECOND AMENDED AND RESTATED CONVERTIBLE PROMISSORY NOTE THIS AMENDMENT NO.1 TO SECOND AMENDED AND RESTATED CONVERTIBLE PROMISSORY NOTE, dated as of March 4, 2022 (this ?Amendment?), amends the Second Amended and Restated Convertible Promissory Note initially issued on April 16, 2018 (as heretofore amended, the ?Note?) by ThermoGenesis Holdings, Inc., a Delaware corp |
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| March 8, 2022 |
Exhibit 10.2 AMENDMENT NO. 2 TO FIRST AMENDED AND RESTATED REVOLVING CREDIT AGREEMENT This Amendment No. 2 to First Amended and Restated Revolving Credit Agreement (this ?Amendment No. 2?) is entered into as of March 4, 2022, by and between ThermoGenesis Holdings, Inc., a Delaware corporation formerly known as Cesca Therapeutics Inc. (the ?Borrower?), and Boyalife Asset Holding II, Inc., an Illino |
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| March 8, 2022 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 4, 2022 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employer |
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| February 3, 2022 |
Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-235509 PROSPECTUS SUPPLEMENT (To Prospectus dated January 3, 2020) $4,275,000 Common Stock We have entered into an Amendment to No. 2, dated February 3, 2022, or Amendment No. 2, to an At the Market Offering Agreement, dated December 13, 2019, as amended by that certain Amendment No. 1, dated May 19, 2020, with H.C. Wainwright |
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| February 3, 2022 |
Exhibit 1.3 AMENDMENT NO. 2 TO AT THE MARKET OFFERING AGREEMENT This AMENDMENT NO. 2 (the “Amendment”) to the AT THE MARKET OFFERING AGREEMENT originally dated as of December 13, 2019 (the “Original Agreement”), by and between Thermogenesis Holdings, Inc. f/k/a Cesca Therapeutics Inc. (“Thermogenesis”) and H.C. Wainwright & Co., LLC (the “Manager”) and together with the Original Agreement (the “Ag |
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| February 3, 2022 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 3, 2022 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employ |
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| January 14, 2022 |
Amended 2016 Equity Incentive Plan EX-10.2 3 ex324115.htm EXHIBIT 10.2 Exhibit 10.2 THERMOGENESIS HOLDINGS, INC. 2016 EQUITY INCENTIVE PLAN (As amended and restated; subject to stockholder approval) Section 1. Purpose and Effective Date (a) Purpose. The purpose of the Plan is to promote the interests of the Company and its stockholders by aiding the Company in attracting and retaining employees, officers, consultants, advisors and |
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| January 14, 2022 |
Fourth Amendment to the Company’s Amended. 2016 Equity Incentive Plan, effective June 4, 2020. Exhibit 10.1 FOURTH AMENDMENT TO THERMOGENESIS HOLDINGS, INC. AMENDED 2016 EQUITY INCENTIVE PLAN THIS FOURTH AMENDMENT TO THE THERMOGENESIS HOLDINGS, INC. AMENDED 2016 EQUITY INCENTIVE PLAN (this ?Amendment?) is adopted and approved by the Board of Directors of ThermoGenesis Holdings, Inc., a Delaware corporation (the ?Company?), as of June 4, 2020. Capitalized terms used but not otherwise defined |
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| January 14, 2022 |
Financial Statements and Exhibits, Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 13, 2022 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employer o |
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| January 10, 2022 |
Corporate Presentation, dated January 10, 2022, H.C. Wainwright BioConnect Conference (2022) Exhibit 99.1 |
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| January 10, 2022 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 10, 2022 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employer o |
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| December 17, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 16, 2021 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employer |
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| December 17, 2021 |
ThermoGenesis Holdings Announces Adjournment of Annual Meeting of Stockholders Exhibit 99.1 ThermoGenesis Holdings Announces Adjournment of Annual Meeting of Stockholders RANCHO CORDOVA, Calif., December 17, 2021 - ThermoGenesis Holdings, Inc. (Nasdaq: THMO), announced that the Company?s Annual Meeting of Stockholders (the ?Annual Meeting?) scheduled for Thursday, December 16, 2021 at 9:00 a.m. PST, was convened and adjourned without any business being conducted due to lack |
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| December 17, 2021 |
EX-3.1 2 ex317455.htm EXHIBIT 3.1 Exhibit 3.1 FIRST AMENDMENT TO THE AMENDED AND RESTATED BYLAWS OF THERMOGENESIS HOLDINGS, INC. THIS FIRST AMENDMENT TO THE AMENDED AND RESTATED BYLAWS OF THERMOGENESIS HOLDINGS, INC. (this “Amendment”) is made effective as of December 16, 2021 (the “Effective Date”), and amends the Amended and Restated Bylaws (the “Bylaws”) of Thermogenesis Holdings, Inc., a Delaw |
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| December 17, 2021 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 16, 2021 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission File Number) ( |
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| November 12, 2021 |
Exhibit 99.1 ThermoGenesis Holdings Announces Financial Results for the Third Quarter Ended September 30, 2021, and Provides Corporate Update Conference Call to be Held Today at 1:30 p.m. PT/4:30 p.m. ET RANCHO CORDOVA, Calif., November 12, 2021 - ThermoGenesis Holdings, Inc. (Nasdaq: THMO), a market leader in automated cell processing tools and services in the cell and gene therapy field, today r |
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| November 12, 2021 |
Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 12, 2021 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employer |
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| November 12, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 FORM 10-Q ? Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the quarterly period ended September 30, 2021. or ? Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the transition from to . Commission File Number: 333-82900 The |
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| November 5, 2021 |
Additional Definitive Proxy Soliciting Materials UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy State |
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| November 5, 2021 |
TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? ? |
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| September 15, 2021 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 13, 2021 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employer |
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| September 15, 2021 |
Exhibit 99.1 |
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| August 12, 2021 |
Exhibit 99.1 ThermoGenesis Holdings Announces Financial Results for the Second Quarter Ended June 30, 2021, and Provides Corporate Update Conference Call to be Held Today at 1:30 p.m. PT/4:30 p.m. ET RANCHO CORDOVA, Calif., August 12, 2021 - ThermoGenesis Holdings, Inc. (Nasdaq: THMO), a market leader in automated cell processing tools and services in the cell and gene therapy field, today reporte |
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| August 12, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 12, 2021 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employer of |
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| August 12, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 FORM 10-Q ? Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the quarterly period ended June 30, 2021. or ? Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the transition from to . Commission File Number: 333-82900 ThermoGe |
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| May 13, 2021 |
Exhibit 99.1 ThermoGenesis Holdings Announces Financial Results for the First Quarter Ended March 31, 2021 and Provides Corporate Update Conference Call to be Held Today at 1:30 p.m. PT/4:30 p.m. ET RANCHO CORDOVA, Calif., May 13, 2021 - ThermoGenesis Holdings, Inc. (Nasdaq: THMO), a market leader in automated cell processing tools and services in the cell and gene therapy field, today reported fi |
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| May 13, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 FORM 10-Q ? Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the quarterly period ended March 31, 2021. or ? Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the transition from to . Commission File Number: 333-82900 ThermoG |
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| May 13, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 13, 2021 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employer of In |
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| April 29, 2021 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K/A (Amendment No.1) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended: December 31, 2020 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 000-16375 THERMOGENESIS HOLDI |
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| March 26, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 25, 2021 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employer of |
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| March 17, 2021 |
Subsidiaries of ThermoGenesis Holdings, Inc. Exhibit 21.1 ThermoGenesis Holdings, Inc. List of Subsidiaries 1. ThermoGenesis Corp. Wholly-owned by ThermoGenesis Holdings, Inc. Incorporated in the state of Delaware 2. TotipotentRX Wholly-owned by ThermoGenesis Holdings, Inc. Incorporated in India 3. CARTXpress Bio Inc. Subsidiary of ThermoGenesis Corp. 80% equity interest held by ThermoGenesis Holdings, Inc. Incorporated in the state of Delaw |
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| March 17, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 17, 2021 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employer of |
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| March 17, 2021 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended: December 31, 2020 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 000-16375 THERMOGENESIS HOLDINGS, INC. (Exact na |
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| March 17, 2021 |
Exhibit 99.1 ThermoGenesis Holdings Announces 2020 Year End Financial Results and Provides Corporate Update Strengthened Balance Sheet, Ending 2020 With $7.2 Million in Cash, a 127% Increase Over the Prior Year Conference Call to be Held Today at 1:30 p.m. PT/4:30 p.m. ET RANCHO CORDOVA, Calif., March 17, 2021 - ThermoGenesis Holdings, Inc. (Nasdaq: THMO), a market leader in automated cell process |
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| December 18, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 18, 2020 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employer |
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| November 12, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 12, 2020 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employer |
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| November 12, 2020 |
Exhibit 99.1 ThermoGenesis Holdings Announces Financial Results for the Third Quarter Ended September 30, 2020 and Provides Corporate Update Conference Call to be Held Today at 1:30 p.m. PT/4:30 p.m. ET RANCHO CORDOVA, Calif., Nov 12, 2020 - ThermoGenesis Holdings, Inc. (Nasdaq: THMO), a market leader in automated cell processing tools and services in the cell and gene therapy field, today announc |
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| November 12, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 FORM 10-Q ☒ Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the quarterly period ended September 30, 2020. or ☐ Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the transition from to . Commission File Number: 333-82900 The |
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| August 14, 2020 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 FORM 10-Q ☒ Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the quarterly period ended June 30, 2020. or ☐ Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the transition from to . Commission File Number: 333-82900 ThermoGe |
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| August 14, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 14, 2020 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employer of |
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| August 14, 2020 |
Exhibit 99.1 ThermoGenesis Holdings Announces Financial Results for the Second Quarter Ended June 30, 2020 and Provides Corporate Update Conference Call to be Held Today at 1:30 p.m. PT/4:30 p.m. ET RANCHO CORDOVA, Calif., Aug. 14, 2020 - ThermoGenesis Holdings, Inc. (Nasdaq: THMO), a market leader in automated cell processing tools and services in the cell and gene therapy field, today announced |
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| August 14, 2020 |
Exhibit 10.6 **Information contained in portions of this Exhibit has been redacted because the Company has determined that such information (i) is not material and (ii) would likely cause competitive harm to the Company if it were to be publicly disclosed. Information redacted from this Exhibit has been marked by the following [**]. August 11, 2020 TO WHOM IT MAY CONCERN SUBJECT; LETTER OF AUTHORI |
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| August 14, 2020 | ||
| July 17, 2020 |
Exhibit 10.1 **Information contained in portions of this Exhibit has been redacted because the Company has determined that such information (i) is not material and (ii) would likely cause competitive harm to the Company if it were to be publicly disclosed. Information redacted from this Exhibit has been marked by the following [**]. MANUFACTURING AND SUPPLY AMENDING AGREEMENT #2 This AMENDING AGRE |
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| July 17, 2020 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 13, 2020 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employer of I |
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| July 14, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 10, 2020 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employer of I |
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| June 9, 2020 |
Exhibit 10.1 FOURTH AMENDMENT TO THERMOGENESIS HOLDINGS, INC. AMENDED 2016 EQUITY INCENTIVE PLAN THIS FOURTH AMENDMENT TO THE THERMOGENESIS HOLDINGS, INC. AMENDED 2016 EQUITY INCENTIVE PLAN (this “Amendment”) is adopted and approved by the Board of Directors of ThermoGenesis Holdings, Inc., a Delaware corporation (the “Company”), as of June 4, 2020. Capitalized terms used but not otherwise defined |
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| June 9, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 4, 2020 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employer of In |
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| June 9, 2020 |
Exhibit 10.2 Option Number: [] THERMOGENESIS HOLDINGS, INC. Notice of Grant of Stock Options and Option Agreement [NAME] [ADDRESS] Dear Participant: Pursuant to the terms and conditions of the ThermoGenesis Holdings, Inc. 2016 Equity Incentive Plan (as amended from time to time, the “Plan”), you have been granted an [Incentive/Non-Qualified] Stock Option to purchase [] shares of common stock (the |
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| June 9, 2020 |
Exhibit 3.1 Amended and Restated Certificate of Incorporation of Thermogenesis HOLDINGS, INC. ThermoGenesis Holdings, Inc., a corporation organized and existing under the laws of the State of Delaware, (the “Corporation”) hereby certifies as follows: 1. The original Certificate of Incorporation of the Corporation was filed with the Secretary of State of the State of Delaware on July 3, 1986, under |
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| May 28, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| May 21, 2020 |
88362L100 / THERMOGENESIS HLDGS INC / YLJ Yihai Ltd - SCHEDULE 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D Under the Securities Act of 1934 ThermoGenesis Holdings, Inc. |
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| May 20, 2020 |
Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 19, 2020 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employer of In |
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| May 20, 2020 |
Exhibit 1.1 AMENDMENT NO. 1 TO AT THE MARKET OFFERING AGREEMENT This AMENDMENT NO. 1 (the “Amendment”) to the AT THE MARKET OFFERING AGREEMENT originally dated as of December 13, 2019 (the “Original Agreement”), by and between Thermogenesis Holdings, Inc. f/k/a Cesca Therapeutics Inc. (“Thermogenesis”) and H.C. Wainwright & Co., LLC (the “Manager”) and together with the Original Agreement (the “Ag |
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| May 20, 2020 |
Filed Pursuant to Rule 424(b)(5) Registration No. 333-235509 Prospectus Supplement (To Prospectus dated January 3, 2020) $15,000,000 Common Stock We have entered into an at-the-market offering agreement, or the Offering Agreement, dated December 13, 2019, as amended by that certain Amendment No. 1 to the Offering Agreement, dated May 19, 2020, with H.C. Wainwright & Co., LLC, or the Sales Agent or |
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| May 15, 2020 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 FORM 10-Q ☒ Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the quarterly period ended March 31, 2020. or ☐ Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the transition from to . Commission File Number: 000-16375 ThermoG |
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| May 14, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 14, 2020 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employer of In |
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| May 14, 2020 | ||
| May 14, 2020 |
EX-99.1 2 ex186790.htm EXHIBIT 99.1 Exhibit 99.1 ThermoGenesis Holdings Announces Financial Results for First Quarter Ended March 31, 2020 and Provides Corporate Update Net Revenues Increased 8%; Gross Profit Up 19%, Quarter over Quarter, U.S. Sales of COVID-19 Rapid Antibody Test Kits Started in May Conference Call to be Held Today at 1:30 p.m. PT/4:30 p.m. ET RANCHO CORDOVA, Calif., May 14, 2020 |
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| April 30, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 28, 2020 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employer of |
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| April 28, 2020 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 22, 2020 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employer of |
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| April 28, 2020 |
Exhibit 10.1 **Information contained in portions of this Exhibit have been redacted because the Company has determined that such information (i) is not material and (ii) would likely cause competitive harm to the Company if it were to be publicly disclosed. Information redacted from this Exhibit has been marked by the following [**]. Agreement # TG-042720-1 SUPPLY AGREEMENT This Supply Agreement ( |
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| April 24, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K/A (Amendment No. 1) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended: December 31, 2019 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 000-16375 THERMOGENESIS HOLDINGS, INC. (Exact |
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| April 24, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 21, 2020 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employer of |
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| April 22, 2020 |
THMO / ThermoGenesis Holdings, Inc. DEFA14A - - FORM DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| April 22, 2020 |
THMO / ThermoGenesis Holdings, Inc. DEF 14A - - FORM DEF 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Defi |
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| April 14, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 9, 2020 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employer of I |
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| April 10, 2020 |
THMO / ThermoGenesis Holdings, Inc. PRE 14A - - FORM PRE 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defi |
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| April 6, 2020 |
88362L100 / THERMOGENESIS HLDGS INC / ARMISTICE CAPITAL, LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. |
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| April 3, 2020 |
88362L100 / THERMOGENESIS HLDGS INC / INTRACOASTAL CAPITAL, LLC - SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* ThermoGenesis Holdings, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 88362L100 (CUSIP Number) March 25, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate th |
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| March 27, 2020 |
Exhibit 10.2 Execution Version March 24, 2020 STRICTLY CONFIDENTIAL ThermoGenesis Holdings, Inc. 2711 Citrus Road Rancho Cordova, California 95742 Attn: Jeff Cauble, Chief Financial Officer Dear Mr. Cauble: This letter agreement (this “Agreement”) constitutes the agreement between ThermoGenesis Holdings, Inc. (the “Company”) and H.C. Wainwright & Co., LLC (“Wainwright”), that Wainwright shall serv |
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| March 27, 2020 |
Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of March 25, 2020, between ThermoGenesis Holdings, Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively the “Purchasers”). WHEREAS, subject to the terms and condi |
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| March 27, 2020 |
1,000,002 Shares of Common Stock Table of Contents Prospectus Supplement (To Prospectus dated December 13, 2019) Filed Pursuant to Rule 424(b)(5) Registration No. |
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| March 27, 2020 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 25, 2020 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employer of |
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| March 27, 2020 |
ThermoGenesis Holdings Announces $3.5 Million Registered Direct Offering Priced At-the-Market Exhibit 99.1 ThermoGenesis Holdings Announces $3.5 Million Registered Direct Offering Priced At-the-Market RANCHO CORDOVA, Calif., March 25, 2020 - ThermoGenesis Holdings, Inc. (Nasdaq: THMO), a market leader in automated cell processing tools and services in the cell and gene therapy field, today announced that it has entered into definitive agreements with several healthcare-focused institutiona |
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| March 27, 2020 |
Exhibit 99.2 THERMOGENESIS HOLDINGS ANNOUNCES CLOSING OF $3.5 MILLION REGISTERED DIRECT OFFERING PRICED AT-THE-MARKET RANCHO CORDOVA, Calif., March 27, 2020 - ThermoGenesis Holdings, Inc. (Nasdaq: THMO), a market leader in automated cell processing tools and services in the cell and gene therapy field, today announced that it closed its previously announced registered direct offering for the purch |
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| March 24, 2020 |
Exhibit 4.8 Description of Securities Registered Under Section 12 of the Securities Exchange Act of 1934, as amended Our Certificate of Incorporation authorizes the issuance of up to 350,000,000 shares of common stock, par value $0.001 per share, and 2,000,000 shares of preferred stock, par value $0.001 per share. The rights and preferences of the preferred stock may be established from time to ti |
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| March 24, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 24, 2020 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employer of |
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| March 24, 2020 |
Exhibit 99.1 THERMOGENESIS HOLDINGS ANNOUNCES 2019 YEAR END FINANCIAL RESULTS AND PROVIDES CORPORATE UPDATE Net Revenues Increased 35%; Gross Profit Up 156%, Year-over-Year Conference Call to be Held Today at 1:30 p.m. PDT/4:30 p.m. EDT RANCHO CORDOVA, Calif., March 24, 2020 - ThermoGenesis Holdings, Inc. (Nasdaq: THMO), a market leader in automated cell processing tools and services in the cell a |
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| March 24, 2020 |
THMO / ThermoGenesis Holdings, Inc. 10-K - Annual Report - FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended: December 31, 2019 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 000-16375 THERMOGENESIS HOLDINGS, INC. (Exact na |
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| March 24, 2020 |
Subsidiaries of ThermoGenesis Holdings, Inc. Exhibit 21.1 ThermoGenesis Holdings, Inc. List of Subsidiaries 1. ThermoGenesis Corp. Wholly-owned by ThermoGenesis Holdings, Inc. Incorporated in the state of Delaware 2. TotipotentRX Wholly-owned by ThermoGenesis Holdings, Inc. Incorporated in India 3. CARTXpress Bio Inc. Subsidiary of ThermoGenesis Corp. 80% equity interest held by ThermoGenesis Holdings, Inc. Incorporated in the state of Delaw |
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| March 20, 2020 |
EX-10.1 2 ex178268.htm EXHIBIT 10.1 Exhibit 10.1 **Information contained in portions of this Exhibit has been redacted because the Company has determined that such information (i) is not material and (ii) would likely cause competitive harm to the Company if it were to be publicly disclosed. Information redacted from this Exhibit has been marked by the following [**]. Agreement TGC060217-1a MANUFA |
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| March 20, 2020 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 16, 2020 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employer of |
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| February 19, 2020 |
Exhibit 99.1 THERMOGENESIS HOLDINGS ANNOUNCES PARTIAL CONVERSION OF REVOLVING CREDIT AGREEMENT HELD BY BOYALIFE ASSET HOLDING II $3.0 Million of Outstanding Balance Converted into Common Stock RANCHO CORDOVA, Calif., February 19, 2020 - ThermoGenesis Holdings, Inc. (Nasdaq: THMO), a market leader in automated cell processing tools and services in the cell and gene therapy field, today announced th |
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| February 19, 2020 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 13, 2020 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employer |
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| February 18, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 13, 2020 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employer |
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| January 6, 2020 |
Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-235509 PROSPECTUS $4,400,000 Common Stock We have entered into an at-the-market offering agreement, or the Offering Agreement, dated December 13, 2019, with H.C. Wainwright & Co., LLC, or the Sales Agent or Wainwright, as sales agent relating to the shares of our common stock, par value $0.001 per share, offered by this prospe |
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| January 3, 2020 |
Exhibit 10.1 Option Number: [ ] THERMOGENESIS HOLDINGS, INC. Notice of Grant of Director Stock Options and Option Agreement Dear Participant: Pursuant to the terms and conditions of the ThermoGenesis Holdings, Inc. 2016 Equity Incentive Plan (as amended from time to time, the “Plan”), you have been granted a Non-Qualified Stock Option to purchase [ ] shares of common stock (the “Option”) as outlin |
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| January 3, 2020 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 31, 2019 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employer |
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| January 3, 2020 |
THERMOGENESIS HOLDINGS ANNOUNCES BOARD OF DIRECTORS AND MANAGEMENT CHANGES EX-99.1 3 ex168540.htm EXHIBIT 99.1 Exhibit 99.1 THERMOGENESIS HOLDINGS ANNOUNCES BOARD OF DIRECTORS AND MANAGEMENT CHANGES RANCHO CORDOVA, Calif., Jan. 2, 2020 - ThermoGenesis Holdings, Inc. (Nasdaq: THMO), a market leader in automated cell processing tools and services in the cell and gene therapy field, today announced that, effective December 31, 2019, Debra Donaghy, CPA, CMA, CTP, has been ap |
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| December 31, 2019 |
THMO / ThermoGenesis Holdings, Inc. CORRESP - - ThermoGenesis Holdings, Inc. 2711 Citrus Road Rancho Cordova, California 95742 December 31, 2019 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance Office of Life Sciences 100 F Street, N.E. Washington, D.C. 20549 Attn: Irene Paik and Ada Sarmento Re: ThermoGenesis Holdings, Inc. Registration Statement on Form S-3 Filed December 13, 2019 File No. 333-235509 Ladies an |
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| December 26, 2019 |
THMO / ThermoGenesis Holdings, Inc. CORRESP - - ATTORNEYS AT LAW 100 North Tampa Street, Suite 2700 Tampa, FL 33602-5810 P.O. Box 3391 Tampa, FL 33601-3391 813.229.2300 TEL 813.221.4210 FAX www.foley.com WRITER’S DIRECT LINE 813.225.4122 [email protected] EMAIL CLIENT/MATTER NUMBER 115846-0109 December 26, 2019 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance Office of Life Sciences 100 F Street, N.E. Washington |
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| December 24, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 19, 2019 THERMOGENESIS HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 333-82900 94-3018487 (State or Other Jurisdiction (Commission (IRS Employer |
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| December 13, 2019 |
Exhibit 1.2 AT THE MARKET OFFERING AGREEMENT December 13, 2019 H.C. Wainwright & Co., LLC 430 Park Avenue New York, NY 10022 Ladies and Gentlemen: ThermoGenesis Holdings, Inc. f/k/a Cesca Therapeutics Inc., a corporation organized under the laws of Delaware (the “Company”), confirms its agreement (this “Agreement”) with H.C. Wainwright & Co., LLC (the “Manager”) as follows: 1. Definitions. The ter |
