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(State or Other Jurisdiction
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(Commission
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(IRS Employer
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of Incorporation)
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File Number)
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Identification No.)
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(Address of Principal Executive Offices)
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(Zip Code)
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Title of each class
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Trading symbol(s)
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Name of each exchange on which registered
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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1.
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To approve the election of the following individuals as directors to the Board of Directors:
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Xiaochun Xu, Ph.D., MBA
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For
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1,232,836 | |||
Withhold
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137,042 | |||
Broker Non-Votes
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563,463 |
Russell Medford, MD, Ph.D.
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For
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1,336,087 | |||
Withhold
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33,791 | |||
Broker Non-Votes
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563,463 |
Joseph Thomis, Ph.D.
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For
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1,337,907 | |||
Withhold
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31,971 | |||
Broker Non-Votes
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563,463 |
Biao Xi, Ph.D.
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For
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1,228,521 | |||
Withhold
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141,357 | |||
Broker Non-Votes
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563,463 |
James Xu, Esq., DBA, PsyD., CPA
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For
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1,228,467 | |||
Withhold
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141,411 | |||
Broker Non-Votes
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563,463 |
Haihong Zhu
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For
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1,218,981 | |||
Withhold
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150,897 | |||
Broker Non-Votes
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563,463 |
2.
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To ratify the appointment of Marcum LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2023:
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For
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1,834,819 | |||
Against
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91,225 | |||
Abstain
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7,297 |
3.
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To approve on a non-binding, advisory basis, the compensation of our named executive officers:
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For
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1,309,898 | |||
Against
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32,764 | |||
Abstain
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27,216 | |||
Broker Non-Votes
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563,463 |
4.
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To approve, on a non-binding, advisory basis, the frequency of the advisory vote on executive compensation:
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1 Year
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230,204 | |||
2 Years
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1,773 | |||
3 Years
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1,129,875 | |||
Abstain
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8,026 | |||
Broker Non-Votes
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563,463 |
THERMOGENESIS HOLDINGS, INC.
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(Registrant)
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Dated: December 15, 2023
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/s/ Mr. Jeffery Cauble
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Jeffery Cauble, Chief Financial Officer
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