Xu Xiaochun's Form 4 filing
ThermoGenesis Holdings, Inc. (THMO) · filed Nov 21, 2023
- Accession no.
- 0000897069-23-001629
- Filed
- Nov 21, 2023, 7:30 AM ET
- Trade date
- Nov 17, 2023
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not checked
This filing lists 1 non-derivative transaction. Open-market sales total $612.0K. It was filed 4 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Xu XiaochunCIK 0001669192 | Director, Officer (CEO), 10% Owner |
| Boyalife Group, Inc.CIK 0001738401 | 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 17, 2023 | Common Stock | SSaleDisposed | −600,000 | $1.02F1 | −$612,000 | 327,121 | Indirect |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
Represents a sale of shares pursuant to a block trade at a single price of $1.02 per share to four separate buyers.
Referenced by the price of 1 transaction in Table I.