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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 
FORM 8-K
 
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the
Securities Exchange Act of 1934
 
Date of Report (Date of earliest event reported): January 13, 2022
 
THERMOGENESIS HOLDINGS, INC.
(Exact Name of Registrant as Specified in Charter)
 
 
Delaware
 
333-82900
 
94-3018487
         
(State or Other Jurisdiction
 
(Commission
 
(IRS Employer
of Incorporation)
 
File Number)
 
Identification No.)
     
   
2711 Citrus Road, Rancho Cordova, California
 
95742
     
(Address of Principal Executive Offices)
 
(Zip Code)
 
Registrant’s telephone number, including area code (949) 753-0624
 
N/A
(Former Name or Former Address, if Changed Since Last Report)
Securities registered pursuant to Section 12(b) of the Act:
 
Title of each class
Trading symbol(s)
Name of each exchange on which registered
Common Stock, $.001 par value
THMO
Nasdaq Capital Market
 

 
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
 
☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
 
☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
 
☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
 
☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
 
 
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (17 CFR §230.405) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR §240.12b-2).
 
Emerging growth company          ☐
 
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.          ☐
 


 
 

 
Item 5.07.         Submission of Matters to a Vote of Security Holders.
 
The Company held its reconvened annual meeting of stockholders on January 13, 2022 (the “Annual Meeting”). The following proposals were approved according to the following final voting results:
 
 
1.
To approve the election of the following individuals as directors to the Board of Directors:
 
Xiaochun Xu
 
For
    3,316,009  
Withhold
    192,044  
Broker Non-Votes
    2,521,541  
Uncast
    0  
 
Debra Donaghy
       
For
    3,342,471  
Withhold
    165,582  
Broker Non-Votes
    2,521,541  
Uncast
    0  
 
Russell Medford
       
For
    3,346,047  
Withhold
    162,006  
Broker Non-Votes
    2,521,541  
Uncast
    0  
 
Joseph Thomis
       
For
    3,345,747  
Withhold
    162,306  
Broker Non-Votes
    2,521,541  
Uncast
    0  
 
Haihong Zhu
       
For
    3,327,770  
Withhold
    180,283  
Broker Non-Votes
    2,521,541  
Uncast
    0  
 
 
2.
To approve the amendment of the Company’s Amended 2016 Equity Incentive Plan to increase the aggregate number of shares of the Company’s common stock that may be issued under the plan from 392,500 shares to 1,200,000 shares:
 
For
    3,259,737  
Against
    195,474  
Abstain
    52,842  
Broker Non-Votes
    2,521,541  
Uncast
    0  
 
 
3.
To Ratify the Appointment of Marcum LLP as the Company’s Independent Registered Public Accounting Firm for the Fiscal Year Ending December 31, 2021:
 
For
    5,682,494  
Against
    299,350  
Abstain
    47,750  
Broker Non-Votes
    0  
Uncast
    0  
 
 

 
The stockholders did not vote on any other matters at the Annual Meeting.
 
Item 9.01.         Financial Statements and Exhibits.
 
(d)
Exhibits.
 
 
Exhibit No.
Description of Exhibit
 
10.1
 
 
10.2
 
 
104
Cover Page Interactive Data File (embedded within the Inline XBRL document)
 
 

 
SIGNATURES
 
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
 
   
THERMOGENESIS HOLDINGS, INC.
   
(Registrant)
     
Dated: January 14, 2022
 
/s/ Mr. Jeffery Cauble
   
Jeffery Cauble, Chief Financial Officer
 
 
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