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.