0001437749-20-009028.txt : 20200430
0001437749-20-009028.hdr.sgml : 20200430
20200430171316
ACCESSION NUMBER: 0001437749-20-009028
CONFORMED SUBMISSION TYPE: 4/A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20191220
FILED AS OF DATE: 20200430
DATE AS OF CHANGE: 20200430
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Xu Xiaochun
CENTRAL INDEX KEY: 0001669192
FILING VALUES:
FORM TYPE: 4/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 333-82900
FILM NUMBER: 20836741
MAIL ADDRESS:
STREET 1: 2453 S. ARCHER AVE., STE. B
CITY: CHICAGO
STATE: IL
ZIP: 60616
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Li Yishu
CENTRAL INDEX KEY: 0001669923
FILING VALUES:
FORM TYPE: 4/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 333-82900
FILM NUMBER: 20836742
MAIL ADDRESS:
STREET 1: 2453 S. ARCHER AVE., STE. B
CITY: CHICAGO
STATE: IL
ZIP: 60616
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Boyalife Group, Inc.
CENTRAL INDEX KEY: 0001738401
STATE OF INCORPORATION: CA
FILING VALUES:
FORM TYPE: 4/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 333-82900
FILM NUMBER: 20836743
BUSINESS ADDRESS:
STREET 1: 2453 S. ARCHER AVE.
STREET 2: SUITE B
CITY: CHICAGO
STATE: IL
ZIP: 60616
BUSINESS PHONE: 847-361-6348
MAIL ADDRESS:
STREET 1: 2453 S. ARCHER AVE.
STREET 2: SUITE B
CITY: CHICAGO
STATE: IL
ZIP: 60616
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Boyalife Asset Holding II, Inc.
CENTRAL INDEX KEY: 0001738415
STATE OF INCORPORATION: CA
FILING VALUES:
FORM TYPE: 4/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 333-82900
FILM NUMBER: 20836744
BUSINESS ADDRESS:
STREET 1: 2453 S. ARCHER AVE.
STREET 2: SUITE B
CITY: CHICAGO
STATE: IL
ZIP: 60616
BUSINESS PHONE: 8473616348
MAIL ADDRESS:
STREET 1: 2453 S. ARCHER AVE.
STREET 2: SUITE B
CITY: CHICAGO
STATE: IL
ZIP: 60616
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Boyalife (Hong Kong) Ltd
CENTRAL INDEX KEY: 0001667753
STATE OF INCORPORATION: F4
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 333-82900
FILM NUMBER: 20836745
BUSINESS ADDRESS:
STREET 1: 2453 S. ARCHER AVE.
STREET 2: STE. B
CITY: CHICAGO
STATE: IL
ZIP: 60616
BUSINESS PHONE: 312-388-6988
MAIL ADDRESS:
STREET 1: 2453 S. ARCHER AVE.
STREET 2: STE. B
CITY: CHICAGO
STATE: IL
ZIP: 60616
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: ThermoGenesis Holdings, Inc.
CENTRAL INDEX KEY: 0000811212
STANDARD INDUSTRIAL CLASSIFICATION: LABORATORY APPARATUS & FURNITURE [3821]
IRS NUMBER: 943018487
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
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: CESCA THERAPEUTICS INC.
DATE OF NAME CHANGE: 20140221
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/A
1
rdgdoc.xml
FORM 4/A
X0306
4/A
2019-12-20
2020-01-03
0000811212
ThermoGenesis Holdings, Inc.
THMO
0001669192
Xu Xiaochun
2711 CITRUS ROAD
RANCHO CORDOVA
CA
95742
1
1
1
CEO
0001669923
Li Yishu
2711 CITRUS ROAD
RANCHO CORDOVA
CA
95742
1
0001738401
Boyalife Group, Inc.
2453 S. ARCHER AVE.
SUITE B
CHICAGO
IL
60616
1
0001738415
Boyalife Asset Holding II, Inc.
2453 S. ARCHER AVE.
SUITE B
CHICAGO
IL
60616
1
0001667753
Boyalife (Hong Kong) Ltd
2453 S. ARCHER AVE
STE. B
CHICAGO
IL
60616
1
Common Stock
2019-12-26
4
S
0
683824
2277134
D
0
I
By Boyalife (Hong Kong) Ltd.
Common Stock
2019-12-26
4
P
0
683824
2277134
A
683824
I
By Boyalife Asset Holding II, Inc.
Warrants to Purchase Common Stock
80
2019-12-26
4
S
0
352942
10
D
2016-12-26
2021-02-13
Common Stock
352942
0
I
By Boyalife (Hong Kong) Ltd.
Warrants to Purchase Common Stock
80
2019-12-26
4
P
0
352942
10
A
2016-12-26
2021-02-13
Common Stock
352942
352942
I
By Boyalife Asset Holding II, Inc.
Participation Interest in Convertible Note
1.80
2019-12-20
4
J
0
1080000
2000000
D
2019-12-20
2022-03-06
Common Stock
600000
9445000
I
By Boyalife Asset Holding II, Inc.
On December 26, 2019, Boyalife (Hong Kong) Ltd. ("Boyalife HK") sold to Boyalife Asset Holding II, Inc. ("Boyalife AH") an aggregate of 683,824 shares of the Issuer's common stock for an aggregate purchase price of $2,227,134 (or $3.33 per share) and warrants to purchase 352,942 shares of issuer common stock for an aggregate purchase price of $10.00. Boyalife AH is 100% owned by Boyalife Group, Inc., which is 100% owned by Mr. Xiaochun Xu, and Boyalife HK is owned 100% by Ms. Yishu Li, the spouse of Mr. Xiaochun Xu. Accordingly, the transaction resulted in a change in the form of beneficial ownership of the shares and did not result in a change in Mr. Xu's and Ms. Li's pecuniary interest in the shares.
On December 20, 2019, Boyalife AH sold to a third party in a private transaction a participation interest in the Second Amended and Restated Convertible Promissory Note, dated April 16, 2018, issued by the Issuer and held by Boyalife AH (the "Convertible Note"). Boyalife AH sold to the third party a participation interest in the Convertible Note equal to $1,080,000 in face value of the Convertible Note plus interest accruing thereon after December 20, 2019. The Convertible Note and interest thereon is convertible into shares of Issuer common stock at a conversion price of $1.80 (subject to adjustment), with the participation interest representing a right to receive 600,000 conversion shares as of December 20, 2019, plus an additional share for each $1.80 of interest accrued thereafter, subject to a conversion blocker of 4.99%.
Represents the amount of principal and interest remaining under the Convertible Note as of the date of this Form 4 that is not subject to the participation interest described in preceding Note 2.
This amendment to Form 4 is being filed to revise certain transaction codes in the originally filed Form 4 and to revise footnote 2 therein to provide additional detail. All share numbers, warrant numbers, exercise prices, and conversion prices on this Form 4 reflect the Issuer's one-for-ten reserve stock split of its common stock that occurred on June 4, 2019.
/s/ Xiaochun Xu
2020-04-30