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)
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1. Name and Address of Reporting Person*/ 2. Issuer Name and / 6. Relationship of Reporting
/ Ticker or Trading Symbol / Person(s) to Issuer
/ / (Check all applicable)
/ ThermoGenesis Corp. and KOOL / X Director --- 10% Owner
Howell, David / / --- Officer --- Other
/ / (give title below) (specify below)
(Last) (First) (Middle) / /
----------------------------------------/-----------------------------------------/-------------------------------------------------
/ 3. I.R.S. 4. Statement for /
/ Identification (Month/Year) /
/ Number of Reporting /
/ Person, if an 01/2002 /
----------------------------------------/ Entity -----------------/
/ (Voluntary) /
/ /
c/o ThermoGenesis Corp. / -- / 7. Individual or Joint/Group Filing
3146 Gold Camp Drive / 5. If Amendment, / (Check Applicable Line)
--------------------------------------- / Date of Original / X Form filed by one Reporting Person
(Street) / (Month/Year) / --- Form filed by More than One
/ N/A / Reporting Person
/ --------------------------------------/
Rancho Cordova, CA 95670 / /
--------------------------------------- / /
(City) (State) (Zip) / /
/ /
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TABLE I - NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR
BENEFICIALLY OWNED
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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)
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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)
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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 / / ties / or Indirect/
/ / / / (Instr. 3,/ Day/ year) / Securities / /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 / /
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Options $2.34 1/31/02 A V 4,000 1/31/02 1/31/07 Common 4,000 ---- 69,000 D N/A
to Stock
Purchase
Common
Stock
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Warrants 19,000 D N/A
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Warrants 59,641 I General
Partner
New
England
Venture
Partners
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Explanation of Responses:
**Intentional misstatements or omissions of facts constitute Federal Criminal
Violations.
/S/ DAVID HOWELL
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David Howell 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.