Form D · Biotechnology
ThermoGenesis Holdings, Inc.
Rancho Cordova, CA · CIK 0000811212
Offering snapshot reported Mar 28, 2023 · SEC filing
- Reported sold
- $3M Offering amount: $3M
- Investors reported
- 1 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Mar 20, 2023 As reported in this filing
What changed?
Latest filing versus its linked predecessor, where available.
No comparable changes in the displayed metrics.
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Mar 28, 2023 | Initial | $3,000,001 | No comparison | 1 | SEC filing |
| Feb 14, 2019 | Initial | $800,000 | No comparison | 1 | SEC filing |
| Apr 12, 2018 | Initial | $816,912 | No comparison | 5 | SEC filing |
| Feb 26, 2016 | Initial | $15,000,000 | No comparison | 2 | SEC filing |
| Sep 15, 2015 | Initial | $15,000,000 | No comparison | 2 | SEC filing |
Offering details
- Securities
- Equity, Option to acquire, Security to be acquired
- Exemptions
- 06b
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $300K
- Finders' fees
- $0
- Form D file number
- 021-477080
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| H.C. Wainwright & Co., LLC. | 375 |
Source: Form D, filed Mar 28, 2023. Minimum accepted may differ from a standard advertised minimum.
Fund connections
No confirmed ADV fund connection is available for this issuer.
People & organizations
Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.
| Name | Reported role |
|---|---|
| Mike Bruch | Executive |
| Michael Bruch | Executive |
| Jeffery Cauble | Executive |
| Jeff Cauble | Executive |
| Kenneth Harris | Director, Executive |
| Vivian Liu | Director |
| Russell Medford | Director |
| Craig W. Moore | Director |
| Kenneth Pappa | Executive |
| Mahendra S. Rao | Director |
| Denis Michael Rhein | Director |
| Michael Rhein | Director |
| Mitchel Sivilotti | Executive |
| Robin C Stacey | Director, Executive |
| Robin Stracey | Director, Executive |
| Joseph Thomis | Director |
| Mark Westgate | Director |
| Xiaochun Xu | Director, Executive |
| James Xu | Director |
| Haihong Zhu | Director, Executive |
Issuer details
Industry: Biotechnology (See others in industry)
Address:
2711 Citrus Road
Rancho Cordova, CA, 95742
Rancho Cordova, CA, 95742