-----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, HPWoXddsDVhrIHBlPK52ojSuYXEdqGWFDqrS/ulqP6LmXNbsF0lCLjmeR9F+LZeM C407YyWBoWoc2lLbJ1c65Q== 0001001277-01-500047.txt : 20010511 0001001277-01-500047.hdr.sgml : 20010511 ACCESSION NUMBER: 0001001277-01-500047 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20010430 FILED AS OF DATE: 20010510 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 SEC ACT: SEC FILE NUMBER: 333-72035 FILM NUMBER: 1627933 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: HOWELL DAVID S CENTRAL INDEX KEY: 0001111838 STANDARD INDUSTRIAL CLASSIFICATION: [] DIRECTOR FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: C/O THERMOGENESIS CORP STREET 2: 3146 GOLD CAMP DRIVE CITY: RANCHO CORDOVA STATE: CA ZIP: 95670 MAIL ADDRESS: STREET 1: C/O THERMOGENESIS CORP STREET 2: 3146 GOLD CAMP DRIVE CITY: RANCHO CORDOVA STATE: CA ZIP: 95670 4 1 fr4.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 Ticker or Trading Symbol 6. Relationship of Reporting Person(s) to Issuer THERMOGENESIS CORP (Check all applicable) ("KOOL") x Director -- 10% Owner -- Officer -- Other Howell, David (give title below) (specify below) - ----------------------------------------- -------------------- -------------------- -------------------------------------- (Last) (First) (Middle) 3. I.R.S. 4. Statement for Identification (Month/Year) Number of Reporting Person, if an 04/2001 C/O THERMOGENESIS CORP Entity ------------------- 3146 GOLD CAMP DRIVE (Voluntary) - --------------------------------------- (Street) -- 7. Individual or Joint/Group Filing 5. If Amendment, (Check Applicable Line) Date of Original X Form filed by one Reporting Person (Month/Year) -- Form filed by More than One RANCHO CORDOVA, CA 95670 N/A Reporting Person - -------------------------------------- ----------------------------------------- (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 4/27/01 A 50,000 A $1.80 70,000 D N/A Stock - ------------------------------------------------------------------------------------------------------------------------------------ Common 4/27/01 A 118,205(1) A $1.80 208,205(1) I(1) By New England Stock Venture Partners ==================================================================================================================================== 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- / Number 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 / /ally / / / / / / / / / and 4) / /Owned at/ / / / / /------------------------------------------------------/ /end of / / / / / /Code/ V /(A) /(D) / Date / Expir-/ Title/Amount / / Month / / / / / / / / / / Exer- / ation / / of / /(Instr. / / / / / / / / / / cisable/ Date / /shares / / 4) / / / ==================================================================================================================================== Warrant to $2.88 4/27/01 A 10,000 4/27/01 4/27/06 Common 19,000 - 19,000 D N/A Purchase Shares of Common Stock - ------------------------------------------------------------------------------------------------------------------------------------ Warrant to $2.88 4/27/01 A 23,641 4/27/01 4/27/06 Common 59,641 - 59,641 I General Purchase Partner of Shares of Owner-New Common England Stock Venture Partners - ------------------------------------------------------------------------------------------------------------------------------------
Explanation of Responses: (1) David Howell disclaims 89.5% of the ownership of the shares and warrants held by New England Venture Partners. **Intentional misstatements or omissions of facts constitute Federal Criminal Violations. /s/DAVID HOWELL May 10, 2001 -------------------------------- ------------ David Howell 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-----