FORM 4
U.S. SECURITIES AND EXCHANGE COMMISSION
FORM 4 Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
|_| Check this box if no longer subject
to Section 16. Form 4 or Form 5
obligations may continue. See
Instruction 1(b).
Filed pursuant to Section 16(a) of the Securities Exchange Act of
1934, Section 17(a) of the Public Utility Holding Company Act
of 1935 or Section 30(f) of the Investment Company Act of 1940
(Print or Type Responses)
1. Name and Address of Reporting Person* 2. Issuer Name and Ticker or Trading Symbol 6. Relationship of
Reporting Person(s) to Issuer
THERMOGENESIS CORP (Check all applicable)
("KOOL") X Director -- 10% Owner
X Officer -- Other
(give title below) (specify below)
CHIEF EXECUTIVE OFFICER
COELHO, PHILIP H.
----------------------------------------- -------------------- -------------------- --------------------------------------
(Last) (First) (Middle) 3. I.R.S. 4. Statement for
Identification (Month/Year)
Number of Reporting
Person, if an 10/2001
C/O THERMOGENESIS CORP Entity -------------------
3146 GOLD CAMP DRIVE (Voluntary)
---------------------------------------
(Street) -- 7. Individual or Joint/Group Filing
5. If Amendment, (Check Applicable Line)
Date of Original X Form filed by one Reporting Person
(Month/Year) -- Form filed by More than One
RANCHO CORDOVA, CA 95670 N/A Reporting Person
-------------------------------------- -----------------------------------------
(City) (State) (Zip)
TABLE I - NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR
BENEFICIALLY OWNED
-----------------------------------------------------------------------------------------------------------------------------------
1. Title / 2. Transaction / 3. Transaction / 4. Securities Acquired (A) / 5. Amount of / / /
of / Date / Code / or Disposed (D)(Instr.3,4,and 5) / Securities / 6. Ownership / 7.Nature of /
Security / (Mo/Day/Yr) / (Instr. 8) / / Beneficially Owned / Form: Direct/ Indirect /
(Inst.3) / / ---------------------------------------------------/ at End of Month / (D) or / Beneficial /
/ / Code / V / Amount / (A) or (D) / Price / (Instr. 3 / Indirect(I) / Ownership /
/ / / / / / / and 4 / (Instr.4) / (Instr.4) /
===================================================================================================================================/
Common 10/26/01 D(1) 200,000 D $2.125 193,705 D N/A
Stock
====================================================================================================================================
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
*If the form is filed by more than one reporting person, see Instruction 4(b)(v).
2
FORM 4 (continued)
TABLE II - DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED
(e.g., puts, calls, warrants, options, convertible securities)
-----------------------------------------------------------------------------
----------------------------------------------------------------------------------------------------------------------------------
Title / Conversion/ Trans- / Trans- / Nature of / Date / Title /Price of / Number / Ownership / Nature of /
of / of / action / action / Derivative/ Exercisable / and / Deriv- / of / Form of / Indirect /
Derivative/ Exercise / Date / Code / Securities/ and / Amount / ative / Deriv- / Derivative / Beneficial/
Security / Price of / (Mo./ / (Instr./ Aquired(A)/ Expiration / of / Secur- / ative / Security: / Ownership /
(Instr. 3)/ Derivative/ Day/ / 8) / Disposed / Date / Under- / ity / Securi-/ Direct (D) / (Instr.4) /
/ Security / Year) / / of (D) / (Month / lying / (Instr. / ties / or Indirect/ /
/ / / / (Instr. 3,/ Day/ year) / Securities / 5) /Benefic-/ (Instr. 4) / /
/ / / / 4 and 5) / / (Instr. 3 / /ally / / /
/ / / / / / and 4) / /Owned at/ / /
/ / /------------------------------------------------------/ /end of / / /
/ / /Code/ V /(A) /(D) / Date / Expir-/ Title/Amount / / Month / / /
/ / / / / / / Exer- / ation / / of / /(Instr. / / /
/ / / / / / / cisable/ Date / /shares / / 4) / / /
====================================================================================================================================
------------------------------------------------------------------------------------------------------------------------------------
Explanation of Responses:
(1) The Compensation Committee of the Board of Directors, in accordance with
Rule 16b-3(e), approved the cancellation of the200,000 shares received by
Mr. Coehlo upon exercise of options and cancellation of the promissory note
issued as payment for those shares.
**Intentional misstatements or omissions
of facts constitute Federal Criminal Violations.
/s/ PHIL H. COELHO 11/9/01
-------------------------------- ----------
Phil H. Coelho Date
**Signature of Reporting Person
Note: File three copies of this Form, one of which must be manually signed.
If space provided is insufficient, see Instruction 6 for procedure.