Insider · CIK 0001669192

Xu Xiaochun

Reports to the SEC for 1 company · RANCHO CORDOVA, CA

sec.gov

Transactions

Companies

Filings

CIK

0001669192

Forms 4 and 5

Insider transactions

32 trades

Date	Company	Role	Code	Shares	Price	Value	Shares after
2024-06-28	THMOThermoGenesis Holdings, Inc.C Conversion	Director, CEO, 10% Owner	CConversion	+7.89M sh	$0.38	+$3M	12,335,016
2024-06-28	THMOThermoGenesis Holdings, Inc. · Amendment 4 to 1st Amended & Restated Revolving Credit Agr.C Conversion	Director, CEO, 10% Owner	CConversion	—	—	—	—
2024-03-15	THMOThermoGenesis Holdings, Inc.C Conversion	Director, CEO, 10% Owner	CConversion	+4.11M sh	$0.38	+$1.56M	4,440,279
2024-03-15	THMOThermoGenesis Holdings, Inc. · Amendment 4 to 1st Amended & Restated Revolving Credit Agr.C Conversion	Director, CEO, 10% Owner	CConversion	—	—	—	—
2023-11-17	THMOThermoGenesis Holdings, Inc.S Sale	Director, CEO, 10% Owner	SSale	−600K sh	$1.02	−$612K	327,121
2023-09-28	THMOThermoGenesis Holdings, Inc.C Conversion	Director, CEO, 10% Owner	CConversion	+654K sh	$1.07	+$700K	927,121
2023-09-28	THMOThermoGenesis Holdings, Inc. · Amendment 3 to 1st Amended & Restated Revolving Credit Agr.C Conversion	Director, CEO, 10% Owner	CConversion	—	—	—	—
2022-06-28	THMOThermoGenesis Holdings, Inc.C Conversion	Director, CEO, 10% Owner	CConversion	+10.6M sh	$0.28	+$3M	12,281,091
2022-06-28	THMOThermoGenesis Holdings, Inc. · Second Amended and Restated Convertible NoteC Conversion	Director, CEO, 10% Owner	CConversion	—	—	—	—
2021-05-27	THMOThermoGenesis Holdings, Inc. · Stock OptionD Disposition to Issuer	Director, CEO, 10% Owner	DDisposition to Issuer	−240K sh	—	—	0
2020-06-04	THMOThermoGenesis Holdings, Inc. · Stock OptionA Award	Director, CEO, 10% Owner	AAward	+240K sh	—	—	240,000
2020-04-28	THMOThermoGenesis Holdings, Inc.J Other	Director, CEO, 10% Owner	JOther	−622K sh	$1.80	−$1.12M	1,728,857
2020-02-13	THMOThermoGenesis Holdings, Inc.C Conversion	Director, CEO, 10% Owner	CConversion	+1.67M sh	$1.80	+$3M	2,350,494
2020-02-13	THMOThermoGenesis Holdings, Inc. · Second Amended and Restated Convertible NoteC Conversion	Director, CEO, 10% Owner	CConversion	—	—	—	0
2019-12-26	THMOThermoGenesis Holdings, Inc.P Purchase	Director, CEO, 10% Owner	PPurchase	−684K sh	$2277134.00	−$1.56T	0
2019-12-26	THMOThermoGenesis Holdings, Inc.P Purchase	Director, CEO, 10% Owner	PPurchase	+684K sh	$2277134.00	+$1.56T	683,824
2019-12-26	THMOThermoGenesis Holdings, Inc. · Warrants to Purchase Common StockP Purchase	Director, CEO, 10% Owner	PPurchase	−353K sh	$10.00	−$3.53M	0
2019-12-26	THMOThermoGenesis Holdings, Inc. · Warrants to Purchase Common StockP Purchase	Director, CEO, 10% Owner	PPurchase	+353K sh	$10.00	+$3.53M	352,942
2019-12-26	THMOThermoGenesis Holdings, Inc.S Sale	Director, CEO, 10% Owner	SSale	−684K sh	$2277134.00	−$1.56T	0
2019-12-26	THMOThermoGenesis Holdings, Inc.P Purchase	Director, CEO, 10% Owner	PPurchase	+684K sh	$2277134.00	+$1.56T	683,824
2019-12-26	THMOThermoGenesis Holdings, Inc. · Warrants to Purchase Common StockS Sale	Director, CEO, 10% Owner	SSale	−353K sh	$10.00	−$3.53M	0
2019-12-26	THMOThermoGenesis Holdings, Inc. · Warrants to Purchase Common StockP Purchase	Director, CEO, 10% Owner	PPurchase	+353K sh	$10.00	+$3.53M	352,942
2019-12-20	THMOThermoGenesis Holdings, Inc. · Participation Interest in Convertible NoteP Purchase	Director, CEO, 10% Owner	PPurchase	—	$2000000.00	—	—
2019-12-20	THMOThermoGenesis Holdings, Inc. · Participation Interest in Convertible NoteJ Other	Director, CEO, 10% Owner	JOther	—	$2000000.00	—	—
2018-12-14	THMOThermoGenesis Holdings, Inc. · Stock OptionA Award	Director, CEO, 10% Owner	AAward	+160K sh	—	—	160,000
2018-12-14	THMOThermoGenesis Holdings, Inc. · Stock OptionA Award	Director, CEO, 10% Owner	AAward	+640K sh	—	—	640,000
2018-04-16	THMOThermoGenesis Holdings, Inc. · Second Amended and Restated Convertible Promissory NoteA Award	Director, CEO, 10% Owner	AAward	—	$1.61	—	10,000,000
2017-12-29	THMOThermoGenesis Holdings, Inc. · Stock OptionsA Award	Director, CEO, 10% Owner	AAward	+300K sh	—	—	300,000
2016-12-14	THMOThermoGenesis Holdings, Inc. · Stock OptionsA Award	Director, CEO, 10% Owner	AAward	+50K sh	—	—	50,000
2016-08-22	THMOThermoGenesis Holdings, Inc.A Award	Director, CEO, 10% Owner	AAward	+6.1M sh	$3.40	+$20.7M	6,838,236
2016-07-01	THMOThermoGenesis Holdings, Inc. · Stock OptionsA Award	Director, CEO, 10% Owner	AAward	+1,250 sh	—	—	1,250
2016-03-09	THMOThermoGenesis Holdings, Inc. · Stock OptionsA Award	Director, CEO, 10% Owner	AAward	+1,250 sh	—	—	1,250

Recent filings

Accepted (ET)
Jul 94
Xu Xiaochun0001437749-24-022423
SEC(opens sec.gov)
Mar 194
Xu Xiaochun0001437749-24-008468
SEC(opens sec.gov)
Nov 214
Xu Xiaochun0000897069-23-001629
SEC(opens sec.gov)
Oct 24
Xu Xiaochun0001437749-23-027433
SEC(opens sec.gov)
Jun 304
Xu Xiaochun0001437749-22-016295
SEC(opens sec.gov)
Jun 14
Xu Xiaochun0001567619-21-011434
SEC(opens sec.gov)
Jun 84
Xu Xiaochun0001437749-20-012642
SEC(opens sec.gov)
Apr 304/A
Xu Xiaochun0001437749-20-009028
SEC(opens sec.gov)
Apr 304
Xu Xiaochun0001437749-20-009025
SEC(opens sec.gov)
Feb 184
Xu Xiaochun0001437749-20-002957
SEC(opens sec.gov)
Jan 34
Xu Xiaochun0001437749-20-000189
SEC(opens sec.gov)

Companies

ThermoGenesis Holdings, Inc.Director, CEO, 10% OwnerTHMO

Address

2711 CITRUS ROAD

RANCHO CORDOVA, CA, 95742