0001437749-20-012643.txt : 20200608 0001437749-20-012643.hdr.sgml : 20200608 20200608170611 ACCESSION NUMBER: 0001437749-20-012643 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200604 FILED AS OF DATE: 20200608 DATE AS OF CHANGE: 20200608 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Cauble Jeffery CENTRAL INDEX KEY: 0001699761 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 333-82900 FILM NUMBER: 20949811 MAIL ADDRESS: STREET 1: 2711 CITRUS CT. CITY: RANCHO CORDOVA STATE: CA ZIP: 95742 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 1 rdgdoc.xml FORM 4 X0306 4 2020-06-04 0000811212 ThermoGenesis Holdings, Inc. THMO 0001699761 Cauble Jeffery 2711 CITRUS ROAD RANCHO CORDOVA CA 95742 1 Chief Financial Officer Stock Option 5.94 2020-06-04 4 A 0 40000 0 A 2030-06-04 Common Stock 40000 40000 D Option vests in four equal installments on June 4, 2021, 2022, 2023 and 2024. Under the terms of the award agreement, no portion of the option maybe exercised unless and until the stockholders of the Company approve the an 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/ Jeff Cauble 2020-06-08