-----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, UPzYcmJxNcgq8CT2jgc5ChWtvxH2wFemiwyXBf0oD9loHmcjuGYcrH3h7PeW43rv Z0IvqlMrpZ/Z8R/eON1RXg== 0001001277-02-000342.txt : 20020710 0001001277-02-000342.hdr.sgml : 20020710 20020710145718 ACCESSION NUMBER: 0001001277-02-000342 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020630 FILED AS OF DATE: 20020710 COMPANY DATA: COMPANY CONFORMED NAME: MCENANY PATRICK J CENTRAL INDEX KEY: 0000929985 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: 95814 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: 02699878 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 4 1 mcenany0602.txt FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION 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 - ------------------------------------------------------------------------------------------------------------------------------------ 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) / / / / X Director ___ 10% Owner / / ___ Officer ___ Other McEnany, Patrick / ThermoGenesis Corp. and KOOL / (give title below) (specify below) / / / / - ----------------------------------------/----------------------------------------/-------------------------------------------------- (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 / 06/2002 / 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) / ==================================================================================================================================== - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ==================================================================================================================================== 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 $1.125 6/28/02 D(1) 20,000 1/1/00 7/29/02 Common 20,000 - D N/A Purchase Stock Common Stock - ------------------------------------------------------------------------------------------------------------------------------------ Options to $1.125 6/28/02 A 20,000 1/1/00 7/29/07 Common 20,000 - 89,000 D N/A Purchase Stock Common Stock - ------------------------------------------------------------------------------------------------------------------------------------ Warrants 30,000 D N/A ==================================================================================================================================== Explanation of Responses: (1) Exercise period of option was extended, which is treated as a cancellation of option in connection with grant of replacement option. /s/ Patrick McEnany 7/10/02 -------------------------------- ---------- Patrick McEnany 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-----