Haihong Zhu Form 3 ThermoGenesis / Haihong Zhu ownership change

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person^*

Zhu Haihong

(Last) (First) (Middle)

2711 CITRUS ROAD

(Street)

RANCHO CORDOVA CA 95742

(City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
01/13/2022

3. Issuer Name and Ticker or Trading Symbol
ThermoGenesis Holdings, Inc. [ THMO ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director	10% Owner
	Officer (give title below)	Other (specify below)

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Stock Option	(1)	(1)	Common Stock	200	41.7	D
Stock Option	(2)	(2)	Common Stock	5,000	30	D
Stock Option	(1)	(1)	Common Stock	8,000	2.979	D
Stock Option	(3)	(3)	Common Stock	32,000	2.979	D

Explanation of Responses:

1. This option is presently exercisable in full.

2. Option vests in five equal installments on December 29, 2018, 2019, 2020, 2021 and 2022.

3. Option vests in four equal installments on December 14, 2019, 2020, 2021 and 2022.

	/s/ Haihong Zhu	01/27/2022
	** Signature of Reporting Person	Date
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 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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