# EDGAR Filing Document

**Accession Number:** 0000811212
**File Stem:** 0001437749-23-000843
**Filing Date:** 2023-1
**Character Count:** 9208
**Document Hash:** c65d5506e03b0e4e1f28caefab767eb8
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001437749-23-000843.hdr.sgml**: 20230111

**ACCESSION NUMBER**: 0001437749-23-000843

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 15

**CONFORMED PERIOD OF REPORT**: 20230109

**ITEM INFORMATION**: Other Events

**ITEM INFORMATION**: Financial Statements and Exhibits

**FILED AS OF DATE**: 20230111

**DATE AS OF CHANGE**: 20230111

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** ThermoGenesis Holdings, Inc.
- **CENTRAL INDEX KEY:** 0000811212
- **STANDARD INDUSTRIAL CLASSIFICATION:** LABORATORY APPARATUS & FURNITURE [3821]
- **IRS NUMBER:** 943018487
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 333-82900
- **FILM NUMBER:** 23523135

**BUSINESS ADDRESS:**
- **STREET 1:** 2711 CITRUS ROAD
- **CITY:** RANCHO CORDOVA
- **STATE:** CA
- **ZIP:** 95742
- **BUSINESS PHONE:** 9168585100

**MAIL ADDRESS:**
- **STREET 1:** 2711 CITRUS ROAD
- **CITY:** RANCHO CORDOVA
- **STATE:** CA
- **ZIP:** 95742

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** CESCA THERAPEUTICS INC.
- **DATE OF NAME CHANGE:** 20140221

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** THERMOGENESIS CORP
- **DATE OF NAME CHANGE:** 19951117

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** INSTA COOL INC OF NORTH AMERICA
- **DATE OF NAME CHANGE:** 19920703

thmo20230110_8k.htm

**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): **January 9, 2023**

**THERMOGENESIS HOLDINGS, INC.**

(Exact Name of Registrant as Specified in its Charter)

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| | | |
|:---|:---|:---|
| 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) |

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Registrant's telephone number, including area code: (916) 858-5100

N/A

(Former Name or Former Address, if Changed Since Last Report)

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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))

Securities registered pursuant to Section 12(b) of the Act:

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| | | |
|:---|:---|:---|
| Title of each class | Trading Symbol(s) | Name of each exchange on which registered |
| Common Stock, $0.001 par value | THMO | The Nasdaq Stock Market LLC<br> (The Nasdaq Capital Market) |

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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. ☐

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**Item 8.01. Other Events.**

On January 9, 2023, ThermoGenesis Holdings, Inc. (the "Company") received a written notification from the Nasdaq Listing Qualifications Staff indicating that the Company has regained compliance with the $1.00 minimum bid price requirement for continued listing on the Nasdaq Stock Market pursuant to Nasdaq Listing Rule 5550(a)(2) (the "Minimum Bid Price Requirement") and that the matter is now closed.

The closing bid price of the Company's common stock has been at $1.00 per share or greater for at least 10 consecutive business days. Accordingly, the Company has regained compliance with the Minimum Bid Price Requirement. There can be no assurance, however, that the Company will be able to maintain compliance with the Minimum Bid Price Requirement in the future.

**Item 9.01. Financial Statements and Exhibits.**

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| | |
|:---|:---|
| **<u>Exhibit No.</u>** | **<u>Description</u>** |
| 99.1 | [Press release dated January 11, 2023, titled "ThermoGenesis Regains Compliance with Nasdaq Minimum Bid Price Requirement".](ex_462734.htm) |
| 104 | Cover Page Interactive Data File (embedded within the Inline XBRL document) |

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**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.

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| | |
|:---|:---|
|  | **THERMOGENESIS HOLDINGS, INC.** |
| Dated: January 11, 2023 | /s/ Jeffery Cauble |
|  | Jeffery Cauble<br> Chief Financial Officer |

---

## Exhibit 99.1

**Exhibit 99.1**

![image01.jpg](image01.jpg)

**ThermoGenesis Regains Compliance with Nasdaq Minimum Bid Price Requirement**

**RANCHO CORDOVA, Calif.,** January 11, 2023 — ThermoGenesis Holdings, Inc. (NASDAQ: THMO) (the "Company"), a market leader in automated cell processing and point-of-care, autologous cell-based therapies, today announced it has received notice from The Nasdaq Stock Market LLC ("Nasdaq") that the Company has regained compliance with Nasdaq's minimum bid price for continued listing on the Nasdaq Capital Market set forth in Nasdaq Listing Rule 5550(a)(2) ("Min Bid Price Rule").

On March 7, 2022, Nasdaq notified the Company that its common stock failed to maintain a minimum bid price of $1.00 over the previous 30 consecutive business days as required by the Listing Rules of The Nasdaq Stock Market.

On January 9, 2023, Nasdaq determined that for the last 10 consecutive business days, from December 22, 2022 to January 6, 2023, the closing bid price of the Company's common stock has been at $1.00 per share or greater. Accordingly, the Company has regained compliance with Listing Rule 5550(a)(2) and considers this matter is now closed.

**About ThermoGenesis Holdings, Inc.**

ThermoGenesis Holdings, Inc. develops, commercializes, and markets a range of automated technologies for CAR-T and other cell-based therapies. The Company currently markets a full suite of solutions for automated clinical biobanking, point-of-care applications, and automation for immuno-oncology, including its semi-automated, functionally closed CAR-TXpress™ platform, which streamlines the manufacturing process for the emerging CAR-T immunotherapy market. For more information about ThermoGenesis, please visit: www.thermogenesis.com.

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**Forward-Looking Statements**

This press release contains "forward-looking statements" within the meaning of the U.S. Private Securities Litigation Reform Act of 1995. The forward-looking statements involve risks and uncertainties that could cause actual results to differ materially from the forward-looking statements contained herein. When used in this press release, the words "anticipate," "believe," "estimate," "expect" and similar expressions as they relate to the Company, or its management are intended to identify such forward-looking statements. Actual results, performance or achievements could differ materially from the results expressed in or implied by these forward-looking statements. Readers should be aware of important factors that, in some cases, have affected, and in the future could affect, actual results to differ materially from those expressed in any forward-looking statements made by or on behalf of the Company. These factors include without limitation, the ability to obtain capital and other financing in the amounts and at the times needed to launch new products, market acceptance of new products, the nature and timing of regulatory approvals for both new products and existing products for which the Company proposes new claims, realization of forecasted revenues, expenses and income, initiatives by competitors, price pressures, failure to meet FDA regulated requirements governing the Company's products and operations (including the potential for product recalls associated with such regulations), risks associated with initiating manufacturing for new products, failure to meet Foreign Corrupt Practice Act regulations, legal proceedings, risks associated with expanding into the Company's planned CDMO business, uncertainty associated with the COVID-19 pandemic, and other risk factors listed from time to time in the Company's reports with the Securities and Exchange Commission ("SEC"), including, in particular, those set forth in the Company's Form 10-K for the year ended December 31, 2021.

**Company Contact:** <br> Wendy Samford<br> 916-858-5191<br> ir@thermogenesis.com

**Investor Contact:** <br> Paula Schwartz, Rx Communications<br> 917-322-2216<br> pschwartz@rxir.com