-----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, U0XT82ceOVoiE6MJ83VBo20W3HVIl8yebFbbrjKNtpFT4STvrcIa+1LxRYIMFQUm 6H2gcFj53CbHfdh5C9oa4Q== 0001001277-02-000093.txt : 20020414 0001001277-02-000093.hdr.sgml : 20020414 ACCESSION NUMBER: 0001001277-02-000093 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020131 FILED AS OF DATE: 20020211 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: 1934 Act SEC FILE NUMBER: 333-72035 FILM NUMBER: 02534119 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: HUCKEL HUBERT MD CENTRAL INDEX KEY: 0001121608 DIRECTOR FILING VALUES: FORM TYPE: 4 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 CORDOVA STATE: CA ZIP: 95670 4 1 hhuckel.txt 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 / 6. Relationship of Reporting / Ticker or Trading Symbol / Person(s) to Issuer / / (Check all applicable) / / X Director --- 10% Owner Huckel, Hubert / ThermoGenesis Corp. and KOOL / --- Officer --- Other / / (give title below) (specify below) (Last) (First) (Middle) / / - ----------------------------------------/-----------------------------------------/------------------------------------------------- / 3. I.R.S. 4. Statement for / / Identification (Month/Year) / / Number of Reporting / / Person, if an 01/2002 / - ----------------------------------------/ Entity -----------------/ / (Voluntary) / c/o ThermoGenesis Corp. / / 3146 Gold Camp Drive / -- / 7. Individual or Joint/Group Filing / 5. If Amendment, / (Check Applicable Line) - --------------------------------------- / Date of Original / X Form filed by one Reporting Person (Street) / (Month/Year) / --- Form filed by More than One / N/A / Reporting Person / --------------------------------------/ 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) =================================================================================================================================== - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- =================================================================================================================================== 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 / / =================================================================================================================================== Options $2.34 1/31/02 A V 4,000 1/31/02 1/31/07 Common 4,000 ----- 89,000 D N/A to Stock Purchase Common Stock - ---------------------------------------------------------------------------------------------------------------------------------- Warrants 20,000 D N/A - ----------------------------------------------------------------------------------------------------------------------------------- =================================================================================================================================== Explanation of Responses: **Intentional misstatements or omissions of facts constitute Federal Criminal Violations. /S/ HUBERT HUCKEL -------------------------------- ----------- Hubert Huckel 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-----