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THERMOGENESIS HOLDINGS, INC.

(THMO)
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ThermoGenesis : Submission of Matters to a Vote of Security Holders - Form 8-K

01/14/2022 | 02:02pm EST
thmo20220113_8k.htm
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section13 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
Fourth Amendment to the Company's Amended. 2016 Equity Incentive Plan, effective June 4, 2020.
10.2
Amended 2016 Equity Incentive Plan
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

Disclaimer

Thermogenesis Holdings Inc. published this content on 14 January 2022 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 14 January 2022 19:01:02 UTC.


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Sales 2021 10,3 M - -
Net income 2021 -9,45 M - -
Net Debt 2021 - - -
P/E ratio 2021 -1,25x
Yield 2021 -
Capitalization 11,9 M 11,9 M -
Capi. / Sales 2021 1,16x
Capi. / Sales 2022 0,50x
Nbr of Employees 41
Free-Float -
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Number of Analysts 1
Last Close Price 1,00 $
Average target price 6,00 $
Spread / Average Target 500%
EPS Revisions
Managers and Directors
Xiao Chun Xu Chairman, President & Chief Executive Officer
Jeffery Cauble Chief Financial Officer & Secretary
Hai Hong Zhu Chief Operating Officer
Joseph Thomis Independent Director
Russell M. Medford Independent Director
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