-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, IsoCfnn3chH4f1/SqfMPq9fx18c7NlnE1X1TkQbq2oW2tujBKbq8qMvglpSI3pDc x9DERBPTXL7rQNx4m9TB1Q== 0001001277-00-000134.txt : 20000501 0001001277-00-000134.hdr.sgml : 20000501 ACCESSION NUMBER: 0001001277-00-000134 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20000331 FILED AS OF DATE: 20000428 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: THERMOGENESIS CORP CENTRAL INDEX KEY: 0000811212 STANDARD INDUSTRIAL CLASSIFICATION: LABORATORY APPARATUS & FURNITURE [3821] IRS NUMBER: 943018487 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 4/A SEC ACT: SEC FILE NUMBER: 333-72035 FILM NUMBER: 612434 BUSINESS ADDRESS: STREET 1: 3146 GOLD CAMP DRIVE CITY: RANCHO CORDOVA STATE: CA ZIP: 95670 BUSINESS PHONE: 9168585100 MAIL ADDRESS: STREET 1: 3146 GOLD CAMP DRIVE CITY: RANCHO CORDOVA STATE: CA ZIP: 95670 FORMER COMPANY: FORMER CONFORMED NAME: INSTA COOL INC OF NORTH AMERICA DATE OF NAME CHANGE: 19920703 COMPANY DATA: COMPANY CONFORMED NAME: COELHO PHILIP H CENTRAL INDEX KEY: 0001109775 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER FILING VALUES: FORM TYPE: 4/A BUSINESS ADDRESS: STREET 1: C/O THERMOGENESIS CORP STREET 2: 3146 GOLD CAMP DR. CITY: RANCHO CORDOVA STATE: CA ZIP: 95670 MAIL ADDRESS: STREET 1: C/O THERMOGENESIS CORP STREET 2: 3146 GOLD CAMP DR. CITY: RANCHO CORDOVQ STATE: CA ZIP: 95670 4/A 1 AMENDMENT TO FORM 4 FORM 4 U.S. SECURITIES AND EXCHANGE COMMISSION FORM 4 Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP |_| Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 (Print or Type Responses) - ----------------------------------------------------------------------------------------------------------------------------------- 1. Name and Address of Reporting Person*/ 2. Issuer Name and / 5. Relationship of Reporting / Ticker or Trading Symbol / Person(s) to Issuer / / (Check all applicable) / / -x- Director --- 10% Owner (Last) (First) (Middle) / THERMOGENESIS CORP. ---KOOL / -X- Officer --- Other COELHO, PHIL H. / / (give title below) (specify below) / / Chairman of the Board; CEO - ----------------------------------------/-----------------------------------------/------------------------------------------------- / / / 3. Statement 4. If Amendment, Date / 6. Individual or Joint/Group Filing / for Month/Year of Original(Month/Year) / (Check Applicable Line) / / X Form filed by one Reporting Person / 03/2000 03/2000 / Form filed by More than One / / Reporting Person - ----------------------------------------/ / / / / / / / 3146 GOLD CAMP DRIVE / / - --------------------------------------- / / (Street) / / - --------------------------------------- / / / / RANCHO CORDOVA, CA 95670 / / - --------------------------------------- / / (City) (State) (Zip) / / / / - -----------------------------------------------------------------------------------------------------------------------------------
TABLE I - NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED - ----------------------------------------------------------------------------------------------------------------------------------- 1. Title / 2. Transaction / 3. Transaction / 4. Securities Acquired (A) / 5. Amount of / / / of / Date / Code / or Disposed (D)(Instr.3,4,and 5) / Securities / 6. Ownership / 7.Nature of / Security / (Mo/Day/Yr) / (Instr. 8) / / Beneficially Owned / Form: Direct/ Indirect / (Inst.3) / / ---------------------------------------------------/ at End of Month / (D) or / Beneficial / / / Code / V / Amount / (A) or (D) / Price / (Instr. 3 / Indirect(I) / Ownership / / / / / / / / and 4 / (Instr.4) / (Instr.4) / ===================================================================================================================================/ Common / 03/09/2000 / A / / 54,738 / D / / / D / / Stock(1)/ / / / / / / / / / - -----------------------------------------------------------------------------------------------------------------------------------/ Common / 03/09/2000 / S / / 27,369 / D / 4.1343 / / D / / Stock(2)/ / / / / / /SH / / / / - -----------------------------------------------------------------------------------------------------------------------------------/ Common / 03/09/2000 / S / / 27,369 / D / 4.0584 / / D / / Stock(2)/ / / / / / /SH / 165,000 / / / ==================================================================================================================================== Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. *If the form is filed by more than one reporting person, see Instruction 4(b)(v).
2 FORM 4 (continued) TABLE II - DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (e.g., puts, calls, warrants, options, convertible securities) - ----------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------------------------- Title / Conversion/ Trans- / Trans- / Nature of / Date / Title /Price of / Number / Ownership / Nature of / of / of / action / action / Derivative/ Exercisable / and / Deriv- / of / Form of / Indirect / Derivative/ Exercise / Date / Code / Securities/ and / Amount / ative / Deriv- / Derivative / Beneficial/ Security / Price of / (Mo./ / (Instr./ Aquired(A)/ Expiration / of / Secur- / ative / Security: / Ownership / (Instr. 3)/ Derivative/ Day/ / 8) / Disposed / Date / Under- / ity / Securi-/ Direct (D) / (Instr.4) / / Security / Year) / / of (D) / (Month / lying / / ties / or Indirect/ / / / / / (Instr. 3,/ Day/ year) / Securities / /Benefic-/ (Instr. 4) / / / / / / 4 and 5) / / (Instr. 3 / /ally / / / / / / / / / and 4) / /Owned at/ / / / / /------------------------------------------------------/ /end of / / / / / /Code/ V / (A)/ (D) / Date / Expir-/ Title /Amount/ / Month / / / / / / / / / / Exer- / ation / / of / / Instr. / / / / / / / / / / cisable/ Date / /shares/ / 4 / / / ==================================================================================================================================== Series / $1.25 /03/09/00/ M / / / 8,000/11/19/98/11/19/03/ COMMON/ / $1.25 / / / / A / / / / / / / / / / / / / / / - ------------------------------------------------------------------------------------------------------------------------------------ Warrant / $1.50 /03/09/00/ M / / /14,738/11/19/98/11/19/03/ COMMON/ / $1.50 / 5,262 / D / / / / / / / / / / / / / / / / / - ------------------------------------------------------------------------------------------------------------------------------------
Explanation of Responses: (1) Acquired upon conversion of Series A Preferred Stock & Warrant registered upon resale of prospectus. (2) Pursuant to prospectus. **Intentional misstatements or omissions of facts constitute Federal Criminal Violations. /s/ PHIL H. COELHO 04/26/2000 -------------------------------- ---------- Phil H. Coelho Date **Signature of Reporting Person Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedure. -----END PRIVACY-ENHANCED MESSAGE-----