SEC Form 4 · accession 0001437749-18-007129
CESCA THERAPEUTICS INC. · KOOL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Xiaochun Xu
Officer — President and CEO · Director · 10% Owner
Period of report
Apr 16, 2018
Accepted (ET)
Apr 18, 2018 · 7:50 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000811212
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Second Amended and Restated Convertible Promissory NoteF1,F2 | $1.61 | Apr 16, 2018 | A | — | A | Apr 16, 2018 | Mar 6, 2022 | Common Stock, par value $.001 per share | 6,211,180 | 10,000,000 | I |
Explanation of responses
- F1The Second Amended and Restated Convertible Promissory Note due March 6, 2022 (the "Note") was issued pursuant to a First Amended and Restated Revolving Credit Agreement, dated April 16, 2018, as reported in the Issuer's Form 8-K filed on April 18, 2018. The Note is in the maximum aggregate principal amount of $10.0 million, and the outstanding balance and accrued but unpaid interest is convertible at any time by the holder thereof at an initial conversion price of $1.61 per share, subject to adjustment as set forth in the Note.
- F2The reported securities are held directly by Boyalife Asset Holding II, Inc. The reporting person is the sole owner and officer of Boyalife Group, Inc., which is the sole owner of Boyalife Asset Holding II, Inc. As such, the reporting person may be deemed to beneficially own the securities reported herein and owned directly by Boyalife Asset Holding II, Inc. The reporting person disclaims beneficial ownership of such securities, and this report shall not be deemed an admission that such reporting person is the beneficial owner of the securities for the purpose of Section 16 or for any other purpose, except to the extent of such reporting person's pecuniary interest therein.