4 1 0001.txt 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) / / --- Director --- 10% Owner (Last) (First) (Middle) / THERMOGENESIS CORP. ---KOOL / -x- Officer --- Other Godsey, James H. / / (give title below) (specify below) / / PRESIDENT ----------------------------------------/-----------------------------------------/------------------------------------------------- / / / 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 / 02/2001 ---- / 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 / 02/13/2001 / M / / 10,000 / A / $1.125/ / D / / Stock / / / / / / / / / / / / / / / / / / / / / / / / / / / / / / / / / / / / / / / / ===================================================================================================================================/ Common / 02/13/2001 / S / / 10,000 / D / $2.250/ / D / / Stock / / / / / / / / / / / / / / / / / / / / / / / / / / / / / / / / / / / / / / / / ===================================================================================================================================/ Common / 02/13/2001 / S / / 500 / D / $2.375/ 0 / D / / Stock / / / / / / / / / / / / / / / / / / / / / / / / / / / / / / / / / / / / / / / / ===================================================================================================================================/ 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 /(Instr. / ties / or Indirect/ / / / / / (Instr. 3,/ Day/ year) / Securities / 5) /Benefic-/ (Instr. 4) / / / / / / 4 and 5) / / (Instr. 3 / /allly / / / / / / / / / and 4) / /Owned at/ / / / / /------------------------------------------------------/ /End of / / / / / /Code/ V / (A) / (D) / Date / Expir-/ Title /Amount/ /Month / / / / / / / / / / Exer- / ation / / of / /(Instr. / / / / / / / / / / cisable/ Date / /shares / 4) / / / ==================================================================================================================================== Options to $1.875 12/14/01 A 144,000 *(1) 14/14/11 Common 144,000 $1.875 D Purchase Stock Common Stock ------------------------------------------------------------------------------------------------------------------------------------ Options to $2.250 02/13/01 M 10,000 immed. 08/2003 Common 10,000 268,000 D Purchase Stock Common Stock ------------------------------------------------------------------------------------------------------------------------------------
Explanation of Responses: *(1) 48,000 vests immed. 48,000 vests 02/13/02 48,000 vests 02/13/03 ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. /s/ JAMES GODSEY 03/09/2001 -------------------------------- ---------- James Godsey 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.