false 0000811212 0000811212 2023-12-14 2023-12-14
 
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): December 14, 2023
 
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.
 
On December 14, 2023, ThermoGenesis Holdings, Inc. (the “Company”) held its 2023 Annual Meeting of Stockholders (the “Annual Meeting”). As of October 20, 2023, the date of record for determining the stockholders entitled to vote on the proposals presented at the Annual Meeting, there were 3,136,504 shares of Company common stock, par value $0.001, issued and outstanding and entitled to vote at the Annual Meeting. A total of 1,933,341 shares of common stock, constituting a quorum, were represented in person or by proxy at the Annual Meeting. The final results for each of the matters submitted to a vote of the Company’s stockholders at the Annual Meeting are as follows:
 
1.
To approve the election of the following individuals as directors to the Board of Directors:
 
Xiaochun Xu, Ph.D., MBA
  
For
     1,232,836  
Withhold
     137,042  
Broker Non-Votes
     563,463  
 
Russell Medford, MD, Ph.D.
        
For
     1,336,087  
Withhold
     33,791  
Broker Non-Votes
     563,463  
 
Joseph Thomis, Ph.D.
        
For
     1,337,907  
Withhold
     31,971  
Broker Non-Votes
     563,463  
 
Biao Xi, Ph.D.
        
For
     1,228,521  
Withhold
     141,357  
Broker Non-Votes
     563,463  
 
James Xu, Esq., DBA, PsyD., CPA
        
For
     1,228,467  
Withhold
     141,411  
Broker Non-Votes
     563,463  
 
Haihong Zhu
        
For
     1,218,981  
Withhold
     150,897  
Broker Non-Votes
     563,463  
 
 
 
 
2.
To ratify the appointment of Marcum LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2023:
   
For
     1,834,819  
Against
     91,225  
Abstain
     7,297  
 
 
3.
To approve on a non-binding, advisory basis, the compensation of our named executive officers:
   
For
     1,309,898  
Against
     32,764  
Abstain
     27,216  
Broker Non-Votes
     563,463  
 
4.
To approve, on a non-binding, advisory basis, the frequency of the advisory vote on executive compensation:
   
1 Year
     230,204  
2 Years
     1,773  
3 Years
     1,129,875  
Abstain
     8,026  
Broker Non-Votes
     563,463  
 
The stockholders did not vote on any other matters at the Annual Meeting.
 
 
 
 
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: December 15, 2023
  
/s/ Mr. Jeffery Cauble
   
Jeffery Cauble, Chief Financial Officer
 
 
v3.23.3
Document And Entity Information
Dec. 14, 2023
Document Information [Line Items]  
Entity, Registrant Name THERMOGENESIS HOLDINGS, INC.
Document, Type 8-K
Document, Period End Date Dec. 14, 2023
Entity, Incorporation, State or Country Code DE
Entity, File Number 333-82900
Entity, Tax Identification Number 94-3018487
Entity, Address, Address Line One 2711 Citrus Road
Entity, Address, City or Town Rancho Cordova
Entity, Address, State or Province CA
Entity, Address, Postal Zip Code 95742
City Area Code 949
Local Phone Number 753-0624
Title of 12(b) Security Common Stock
Trading Symbol THMO
Security Exchange Name NASDAQ
Written Communications false
Soliciting Material false
Pre-commencement Tender Offer false
Pre-commencement Issuer Tender Offer false
Entity, Emerging Growth Company false
Amendment Flag false
Entity, Central Index Key 0000811212
ThermoGenesis (NASDAQ:THMO)
Gráfica de Acción Histórica
De Oct 2024 a Nov 2024 Haga Click aquí para más Gráficas ThermoGenesis.
ThermoGenesis (NASDAQ:THMO)
Gráfica de Acción Histórica
De Nov 2023 a Nov 2024 Haga Click aquí para más Gráficas ThermoGenesis.