FORM 3
U.S. 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, Section
17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the
Investment Company Act of 1940
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1. Name and Address of Reporting Person / 2. Date of Event Requiring / 4. Issuer Name and Ticker or Trading Symbol
/ Statement (Month/Day/Year) /
/ / THERMOGENESIS CORP.
CAPE, EDWARD G. / 12/31/01 / ("KOOL")
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(Last) (First) (Middle) / 3. IRS or Social Security / 5. Relationship of Reporting / 6. If Amendment,
/ Number of Reporting Person / to Issuer / Date of Original
c/o THERMOGENESIS CORP.
3146 Gold Camp Drive / (Voluntary) / (Check all applicable) / (Month/Day/Year)
/ / X Director --- 10% Owner / 1/7/02
---------------------------------------- / / X Officer --- Other / -----------------------
(Street) / / (give title(Specify below) / 7. Individual or
/ / below) / Joint/Group
/ / / Filing (Check
/ / EXECUTIVE VICE-PRESIDENT OF / applicable line)
/ / CORPORATE STRATEGY / X Form filed by One
/ / / Reporting Person
/ / / _ Form filed by More
/ / / than One Reporting
Rancho Cordova, California 95670 / / / Person
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(City) (State) (Zip) /
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Table 1 - Non-Derivative Securities Beneficially Owned
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1. Title of Security (Instr. 4) / 2. Amount of Securities / 3. Ownership Form: Direct (D)/ 4. Nature of Indirect
/ Beneficially Owned / Indirect (I) (Instr. 5) / Beneficial Ownership
/ (Instr. 4) / / (Instr. 5)
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Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly. (Over)
2
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls,
warrants, options, convertible securities)
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1. Title of 2. Date Exercisable 3. Title and Amount 4. Conversion or 5. Ownership Form of 6. Nature of Indirect
Derivative and Expiration of Securities Exercise Price Derivative Security: Beneficial Ownership
Security (Month/Day/Year) Underlying Derivative Direct (D) or (Instr. 5)
(Instr. 4) Derivative Security Indirect (I)
Security (Instr. 5)
(Instr. 4)
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Amount or
Date Expiration Number of
Exercisable Date Title Shares
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Option to (1) 1/24/05 Common 100,000 $1.57 D N/A
Purchase Stock
Common Stock
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Explanation of Responses:
(1) 50,000 vested on January 24, 2002 and 50,000 shall vest on July 1, 2002.
**Intentional misstatements or omissions of facts constitute Federal Criminal /s/ EDWARD G. CAPE 1/24/02
Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). ------------------------------- ------------
EDWARD G. CAPE Date
Note: File three copies of this Form, one of which must be manually signed. If
space provided is insufficient, See Instruction 6 for procedure.