0001437749-18-000117.txt : 20180103 0001437749-18-000117.hdr.sgml : 20180103 20180103162445 ACCESSION NUMBER: 0001437749-18-000117 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171229 FILED AS OF DATE: 20180103 DATE AS OF CHANGE: 20180103 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LIU VIVIAN H CENTRAL INDEX KEY: 0001203467 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 333-82900 FILM NUMBER: 18505654 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CESCA THERAPEUTICS INC. CENTRAL INDEX KEY: 0000811212 STANDARD INDUSTRIAL CLASSIFICATION: LABORATORY APPARATUS & FURNITURE [3821] IRS NUMBER: 943018487 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 BUSINESS ADDRESS: STREET 1: 2711 CITRUS ROAD CITY: RANCHO CORDOVA STATE: CA ZIP: 95742 BUSINESS PHONE: 9168585100 MAIL ADDRESS: STREET 1: 2711 CITRUS ROAD CITY: RANCHO CORDOVA STATE: CA ZIP: 95742 FORMER COMPANY: FORMER CONFORMED NAME: THERMOGENESIS CORP DATE OF NAME CHANGE: 19951117 FORMER COMPANY: FORMER CONFORMED NAME: INSTA COOL INC OF NORTH AMERICA DATE OF NAME CHANGE: 19920703 4 1 rdgdoc.xml FORM 4 X0306 4 2017-12-29 0000811212 CESCA THERAPEUTICS INC. KOOL 0001203467 LIU VIVIAN H 2711 CITRUS ROAD RANCHO CORDOVA CA 95742 1 1 COO Stock Options 3 2017-12-29 4 A 0 250000 0 A 2027-12-29 Common Stock 250000 250000 D Option vests in five equal installments on December 29, 2018, 2019, 2020, 2021 and 2022. Under the terms of the award agreement, no portion of the option maybe exercised unless and until the stockholders of the Company approve the November 2017 amendment to our 2016 Equity Incentive Plan, and only if such amendment is approved by the stockholders within one year of the adoption of the amendment. /s/ Vivian Liu 2018-01-03