-----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, AGu7M+On/942ER8gC1pwPzLWput2J6yybdXbKENpNwubbRHzFPanilH0EJ3pYdfK Z4neSp6QdMplUmcNM8KV4g== 0001001277-02-000262.txt : 20020516 0001001277-02-000262.hdr.sgml : 20020516 20020516145425 ACCESSION NUMBER: 0001001277-02-000262 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020430 FILED AS OF DATE: 20020516 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: 333-82900 FILM NUMBER: 02654790 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: BROWN SPENCER CENTRAL INDEX KEY: 0001130734 OTHER 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 spencerbrowne.txt SPENCER BROWNE FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP |X| 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 - ------------------------------------------------------------------------------------------------------------------------------------ 1. Name and Address of Reporting Person*/ 2. Issuer Name and Ticker / 6. Relationship of Reporting Person(s) to Issuer / or Trading Symbol / (Check all applicable) / / / / ___ Director ___ 10% Owner / / ___ Officer X Other / / (give title below) (specify below) BROWNE, SPENCER / THERMOGENESIS CORP. ("KOOL") / / / Former Director - ----------------------------------------/----------------------------------------/-------------------------------------------------- (Last) (First) (Middle) / 3. IRS or / 4. Statement for / 7. Individual or Joint/Group Filing / Social Security / (Month/Year) / (Check Applicable Line) c/o THERMOGENESIS CORP. / Number of / / 3146 Gold Camp Drive / Reporting Person / 04/2002 / X Form filed by one Reporting Person - ----------------------------------------/ /------------------/ (Street) / / 5. If Amendment, / ___ Form filed by more than One / -- / Date of / Reporting Person / / Original / Rancho Cordova, CA 95670 / / (Month/Year) / - --------------------------------------- / / / (City) (State) (Zip) / / / - -----------------------------------------------------------------------------------------------------------------------------------
TABLE I - NONDERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title /2.Trans- /3.Transaction / 4. Securities Acquired (A) / 5. Amount of /6. Ownership / 7. Nature of of / action / Code / or Disposed of (D) / Securities / Form: / Indirect Security / Date / (Instr. 8) / (Instr. 3,4 and 5) / Beneficially / Direct (D) / Beneficial (Inst.3) /(Mo/Day/Yr) /-------------------------------------------------/ Owned at End / or / Ownership / / Code / V / Amount /(A) or (D)/ Price / of Month / Indirect(I) / (Instr.4) / / / / / / / (Inst. 3 and 4) / (Instr.4) / ==================================================================================================================================== Common Stock 04/23/02 M 40,000 A $1.875 D N/A - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 04/23/02 F 30,242 D $2.48 381,635 D N/A - ------------------------------------------------------------------------------------------------------------------------------------ ==================================================================================================================================== 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) - ------------------------------------------------------------------------------------------------------------------------------------ 1. / 2. /3. /4. /5. /6. /7. /8. /9. /10. / 11. Title of / Con- / Trans- / Trans- / Number of / Date / Title and / Price / Number / Owner- / Nature Derivative / version / action / action / Derivative/ Exercisable / Amount of / of / of / ship / of Security / or / Date / Code / Securities/ and / Underlying / Deriv- / Deriv- / form of/ Indirect (Instr. 3) / exercise/ (Mo. /(Inst.8)/ Acquired / Expiration / Securities / ative / ative / Deriv- / Beneficial / Price of/ Day / / (A) or / Date / (Instr. 3,4) / Secu- / Secu- / ative / Ownership / of / Year) / / Disposed /(Month/Day/Year) / / rity / rities / Secu- / / Deriv- / / / of (D) / / /(Inst.4)/ Benefi-/ rity: / / ative / / /(Inst.3,4,5)/ / / / cially / Direct / / Secu- / /--------/------------/-------------------/---------------/ / Owned / (D) / / rity / /Code/ V / (A)/(D) / Date / Expir-/ Title /Amount / / at End /Indirect/ / / / / / / / Exer- / ation / / or / / of / (I) / / / / / / / / cisable / Date / /No. of / / Month /(Inst.4)/ / / / / / / / / / /shares / /(Inst.4)/ / ==================================================================================================================================== Options to $1.875 04/23/02 M 40,000 Immediately 12/15/03 Common 40,000 -- 50,000 D N/A Purchase Stock Common Stock - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ==================================================================================================================================== Explanation of Responses: /S/ SPENCER BROWNE 5/15/2002 -------------------------------- ---------- Spencer Browne Date
**Intentional misstatements or omissions of facts constitute Federal Criminal Violations. 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-----