0001437749-18-007129.txt : 20180418 0001437749-18-007129.hdr.sgml : 20180418 20180418195031 ACCESSION NUMBER: 0001437749-18-007129 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180416 FILED AS OF DATE: 20180418 DATE AS OF CHANGE: 20180418 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Xu Xiaochun CENTRAL INDEX KEY: 0001669192 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 333-82900 FILM NUMBER: 18762273 MAIL ADDRESS: STREET 1: 2453 S. ARCHER AVE., STE. B CITY: CHICAGO STATE: IL ZIP: 60616 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 2018-04-16 0000811212 CESCA THERAPEUTICS INC. KOOL 0001669192 Xu Xiaochun 2711 CITRUS ROAD RANCHO CORDOVA CA 95742 1 1 1 President and CEO Second Amended and Restated Convertible Promissory Note 1.61 2018-04-16 4 A 0 10000000 1.61 A 2018-04-16 2022-03-06 Common Stock, par value $.001 per share 6211180 10000000 I By Boyalife Asset Holding II, Inc. The Second Amended and Restated Convertible Promissory Note due March 6, 2022 (the "Note") was issued pursuant to a First Amended and Restated Revolving Credit Agreement, dated April 16, 2018, as reported in the Issuer's Form 8-K filed on April 18, 2018. The Note is in the maximum aggregate principal amount of $10.0 million, and the outstanding balance and accrued but unpaid interest is convertible at any time by the holder thereof at an initial conversion price of $1.61 per share, subject to adjustment as set forth in the Note. The reported securities are held directly by Boyalife Asset Holding II, Inc. The reporting person is the sole owner and officer of Boyalife Group, Inc., which is the sole owner of Boyalife Asset Holding II, Inc. As such, the reporting person may be deemed to beneficially own the securities reported herein and owned directly by Boyalife Asset Holding II, Inc. The reporting person disclaims beneficial ownership of such securities, and this report shall not be deemed an admission that such reporting person is the beneficial owner of the securities for the purpose of Section 16 or for any other purpose, except to the extent of such reporting person's pecuniary interest therein. /s/ Xiaochun Xu 2018-04-18