XU XIAOCHUN

PrivateCIK: 1669192

Location

CHICAGO, IL

XU XIAOCHUN (CEO) reported 1 transaction at THERMOGENESIS HOLDINGS, INC.

Review the transaction codes below to understand the nature of each event.

XU XIAOCHUN

Filed: 4/30/2020ACC: 0001437749-20-009025

InsiderXU XIAOCHUNCIK 1669192

→

IssuerTHERMOGENESIS HOLDINGS, INC.CIK 811212

DirectorOfficer10% Owner· CEO

Since Dec 2018

-621.64K

Net shares

Net seller

$1.12M

Total sold

0

Open market trades

0B · 0S

1

Total transactions

621.64K disposed

Non-Derivative Transactions1

Common Stock

Indirect

J · J

Shares

−621.64K

Price / share

$1.80

Trade value

$1.12M

% of position

26.4%

4/28/2020

2.35M→1.73M

Total

Net shares

−621.64K

Net value

-$1.12M

Security	Date	Type	Shares	Price / Share	Trade Value	% of Position	Held Before	Held After
Common Stock Indirect	4/28/2020	J · J	−621.64K	$1.80	$1.12M	26.4%	2.35M	1.73M
Total			−621.64K		-$1.12M

Derivative Transactions0

No derivative transactions reported

Non-Derivative Holdings (Post-Transaction)0

No non-derivative holdings reported

Derivative Holdings (Post-Transaction)8

Warrants to Purchase Common Stock

Indirect

Underlying security

Common Stock

Underlying shares

352.94K

Shares owned

352.94K

Exercise price

80.0000

Expiration

—

Exercise window

—

Option to Purchase Common Stock

Direct

Underlying security

Common Stock

Underlying shares

5K

Shares owned

5K

Exercise price

29.1000

Expiration

—

Exercise window

—

Option to Purchase Common Stock

Direct

Underlying security

Common Stock

Underlying shares

125.00

Shares owned

125.00

Exercise price

28.6000

Expiration

—

Exercise window

—

Option to Purchase Common Stock

Direct

Underlying security

Common Stock

Underlying shares

30K

Shares owned

30K

Exercise price

30.0000

Expiration

—

Exercise window

—

Second Amended and Restated Convertible Note

Indirect

Underlying security

Common Stock

Underlying shares

N/A

Shares owned

0.00

Exercise price

1.8000

Expiration

—

Exercise window

—

Option to Purchase Common Stock

Direct

Underlying security

Common Stock

Underlying shares

16K

Shares owned

16K

Exercise price

2.9790

Expiration

—

Exercise window

—

Option to Purchase Common Stock

Direct

Underlying security

Common Stock

Underlying shares

64K

Shares owned

64K

Exercise price

2.9790

Expiration

—

Exercise window

—

Option to Purchase Common Stock

Direct

Underlying security

Common Stock

Underlying shares

125.00

Shares owned

125.00

Exercise price

42.0000

Expiration

—

Exercise window

—

Total

Underlying

468.19K

Owned

468.19K

Security	Underlying	Exercise Price	Exercise Window	Expiration	Underlying Shares	Shares Owned
Warrants to Purchase Common Stock Indirect	Common Stock	80.0000	—	—	352.94K	352.94K
Option to Purchase Common Stock Direct	Common Stock	29.1000	—	—	5K	5K
Option to Purchase Common Stock Direct	Common Stock	28.6000	—	—	125.00	125.00
Option to Purchase Common Stock Direct	Common Stock	30.0000	—	—	30K	30K
Second Amended and Restated Convertible Note Indirect	Common Stock	1.8000	—	—	N/A	0.00
Option to Purchase Common Stock Direct	Common Stock	2.9790	—	—	16K	16K
Option to Purchase Common Stock Direct	Common Stock	2.9790	—	—	64K	64K
Option to Purchase Common Stock Direct	Common Stock	42.0000	—	—	125.00	125.00
Total					468.19K	468.19K

XU XIAOCHUN — Insider Transaction (Form 4) Filed Apr 30, 2020 | Finecho