4/A//SEC Filing
Xu Xiaochun 4/A
Accession 0001437749-20-009028
CIK 0000811212other
Filed
Apr 29, 8:00 PM ET
Accepted
Apr 30, 5:13 PM ET
Size
20.4 KB
Accession
0001437749-20-009028
Insider Transaction Report
Form 4/AAmended
Xu Xiaochun
Director
Transactions
- Sale
Common Stock
2019-12-26$2277134.00/sh−683,824$1,557,158,880,416→ 0 total(indirect: By Boyalife (Hong Kong) Ltd.) - Other
Participation Interest in Convertible Note
2019-12-20$2000000.00/sh(indirect: By Boyalife Asset Holding II, Inc.)Exercise: $1.80From: 2019-12-20Exp: 2022-03-06→ Common Stock (600,000 underlying) - Purchase
Warrants to Purchase Common Stock
2019-12-26$10.00/sh+352,942$3,529,420→ 352,942 total(indirect: By Boyalife Asset Holding II, Inc.)Exercise: $80.00From: 2016-12-26Exp: 2021-02-13→ Common Stock (352,942 underlying) - Purchase
Common Stock
2019-12-26$2277134.00/sh+683,824$1,557,158,880,416→ 683,824 total(indirect: By Boyalife Asset Holding II, Inc.) - Sale
Warrants to Purchase Common Stock
2019-12-26$10.00/sh−352,942$3,529,420→ 0 total(indirect: By Boyalife (Hong Kong) Ltd.)Exercise: $80.00From: 2016-12-26Exp: 2021-02-13→ Common Stock (352,942 underlying)
Boyalife Group, Inc.
10% Owner
Transactions
- Sale
Warrants to Purchase Common Stock
2019-12-26$10.00/sh−352,942$3,529,420→ 0 total(indirect: By Boyalife (Hong Kong) Ltd.)Exercise: $80.00From: 2016-12-26Exp: 2021-02-13→ Common Stock (352,942 underlying) - Purchase
Warrants to Purchase Common Stock
2019-12-26$10.00/sh+352,942$3,529,420→ 352,942 total(indirect: By Boyalife Asset Holding II, Inc.)Exercise: $80.00From: 2016-12-26Exp: 2021-02-13→ Common Stock (352,942 underlying) - Other
Participation Interest in Convertible Note
2019-12-20$2000000.00/sh(indirect: By Boyalife Asset Holding II, Inc.)Exercise: $1.80From: 2019-12-20Exp: 2022-03-06→ Common Stock (600,000 underlying) - Sale
Common Stock
2019-12-26$2277134.00/sh−683,824$1,557,158,880,416→ 0 total(indirect: By Boyalife (Hong Kong) Ltd.) - Purchase
Common Stock
2019-12-26$2277134.00/sh+683,824$1,557,158,880,416→ 683,824 total(indirect: By Boyalife Asset Holding II, Inc.)
Boyalife Asset Holding II, Inc.
10% Owner
Transactions
- Sale
Common Stock
2019-12-26$2277134.00/sh−683,824$1,557,158,880,416→ 0 total(indirect: By Boyalife (Hong Kong) Ltd.) - Sale
Warrants to Purchase Common Stock
2019-12-26$10.00/sh−352,942$3,529,420→ 0 total(indirect: By Boyalife (Hong Kong) Ltd.)Exercise: $80.00From: 2016-12-26Exp: 2021-02-13→ Common Stock (352,942 underlying) - Purchase
Warrants to Purchase Common Stock
2019-12-26$10.00/sh+352,942$3,529,420→ 352,942 total(indirect: By Boyalife Asset Holding II, Inc.)Exercise: $80.00From: 2016-12-26Exp: 2021-02-13→ Common Stock (352,942 underlying) - Purchase
Common Stock
2019-12-26$2277134.00/sh+683,824$1,557,158,880,416→ 683,824 total(indirect: By Boyalife Asset Holding II, Inc.) - Other
Participation Interest in Convertible Note
2019-12-20$2000000.00/sh(indirect: By Boyalife Asset Holding II, Inc.)Exercise: $1.80From: 2019-12-20Exp: 2022-03-06→ Common Stock (600,000 underlying)
Boyalife (Hong Kong) Ltd
10% Owner
Transactions
- Sale
Common Stock
2019-12-26$2277134.00/sh−683,824$1,557,158,880,416→ 0 total(indirect: By Boyalife (Hong Kong) Ltd.) - Sale
Warrants to Purchase Common Stock
2019-12-26$10.00/sh−352,942$3,529,420→ 0 total(indirect: By Boyalife (Hong Kong) Ltd.)Exercise: $80.00From: 2016-12-26Exp: 2021-02-13→ Common Stock (352,942 underlying) - Other
Participation Interest in Convertible Note
2019-12-20$2000000.00/sh(indirect: By Boyalife Asset Holding II, Inc.)Exercise: $1.80From: 2019-12-20Exp: 2022-03-06→ Common Stock (600,000 underlying) - Purchase
Common Stock
2019-12-26$2277134.00/sh+683,824$1,557,158,880,416→ 683,824 total(indirect: By Boyalife Asset Holding II, Inc.) - Purchase
Warrants to Purchase Common Stock
2019-12-26$10.00/sh+352,942$3,529,420→ 352,942 total(indirect: By Boyalife Asset Holding II, Inc.)Exercise: $80.00From: 2016-12-26Exp: 2021-02-13→ Common Stock (352,942 underlying)
Li Yishu
10% Owner
Transactions
- Sale
Common Stock
2019-12-26$2277134.00/sh−683,824$1,557,158,880,416→ 0 total(indirect: By Boyalife (Hong Kong) Ltd.) - Sale
Warrants to Purchase Common Stock
2019-12-26$10.00/sh−352,942$3,529,420→ 0 total(indirect: By Boyalife (Hong Kong) Ltd.)Exercise: $80.00From: 2016-12-26Exp: 2021-02-13→ Common Stock (352,942 underlying) - Purchase
Common Stock
2019-12-26$2277134.00/sh+683,824$1,557,158,880,416→ 683,824 total(indirect: By Boyalife Asset Holding II, Inc.) - Other
Participation Interest in Convertible Note
2019-12-20$2000000.00/sh(indirect: By Boyalife Asset Holding II, Inc.)Exercise: $1.80From: 2019-12-20Exp: 2022-03-06→ Common Stock (600,000 underlying) - Purchase
Warrants to Purchase Common Stock
2019-12-26$10.00/sh+352,942$3,529,420→ 352,942 total(indirect: By Boyalife Asset Holding II, Inc.)Exercise: $80.00From: 2016-12-26Exp: 2021-02-13→ Common Stock (352,942 underlying)
Footnotes (3)
- [F1]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.
- [F2]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%.
- [F3]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.
Documents
Issuer
ThermoGenesis Holdings, Inc.
CIK 0000811212
Entity typeother
Related Parties
1- filerCIK 0001669192
Filing Metadata
- Form type
- 4/A
- Filed
- Apr 29, 8:00 PM ET
- Accepted
- Apr 30, 5:13 PM ET
- Size
- 20.4 KB