CESCA THERAPEUTICS INC. $15,000,000 Financing

CESCA THERAPEUTICS INC. just submitted form D announcing $15,000,000 debt financing. This is a new filing. CESCA THERAPEUTICS INC. was able to sell $15,000,000. That is 100% of the round of financing. The total private offering amount was $15,000,000. The financing was made by 2 investors. Minimal accepted investment was $0. The financing document was filed on 2015-09-15. CESCA THERAPEUTICS INC. is based in 2711 CITRUS ROAD RANCHO CORDOVA 95742. The firm's business is Biotechnology. The firm's revenue range is Decline to Disclose. The form was signed by .

SEC FORM D

The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.

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

Notice of Exempt Offering of Securities

OMB APPROVAL
OMB Number: 3235-0076
Estimated average burden
hours per response: 4.00

1. Issuer's Identity

CIK (Filer ID Number) Previous Names
   None
Entity Type
0000811212
THERMOGENESIS CORP
INSTA COOL INC OF NORTH AMERICA
X Corporation
   Limited Partnership
   Limited Liability Company
   General Partnership
   Business Trust
   Other (Specify)

Name of Issuer
CESCA THERAPEUTICS INC.
Jurisdiction of Incorporation/Organization
DELAWARE
Year of Incorporation/Organization
X Over Five Years Ago
   Within Last Five Years (Specify Year)
   Yet to Be Formed

2. Principal Place of Business and Contact Information

Name of Issuer
CESCA THERAPEUTICS INC.
Street Address 1 Street Address 2
2711 CITRUS ROAD
City State/Province/Country ZIP/PostalCode Phone Number of Issuer
RANCHO CORDOVA CALIFORNIA 95742 9168585100

3. Related Persons

Last Name First Name Middle Name
Moore Craig W
Street Address 1 Street Address 2
2711 Citrus Road
City State/Province/Country ZIP/PostalCode
Rancho Cordova CALIFORNIA 95742
Relationship:    Executive Officer X Director    Promoter

Clarification of Response (if Necessary):


Last Name First Name Middle Name
Harris Kenneth
Street Address 1 Street Address 2
2711 Citrus Road
City State/Province/Country ZIP/PostalCode
Rancho Cordova CALIFORNIA 95742
Relationship: X Executive Officer X Director    Promoter

Clarification of Response (if Necessary):


Last Name First Name Middle Name
Rao Mahendra
Street Address 1 Street Address 2
2711 Citrus Road
City State/Province/Country ZIP/PostalCode
Rancho Cordova CALIFORNIA 95742
Relationship:    Executive Officer X Director    Promoter

Clarification of Response (if Necessary):


Last Name First Name Middle Name
Stacey Robin C
Street Address 1 Street Address 2
2711 Citrus Road
City State/Province/Country ZIP/PostalCode
Rancho Cordova CALIFORNIA 95742
Relationship: X Executive Officer X Director    Promoter

Clarification of Response (if Necessary):


Last Name First Name Middle Name
Rhein Michael
Street Address 1 Street Address 2
2711 Citrus Road
City State/Province/Country ZIP/PostalCode
Rancho Cordova CALIFORNIA 95742
Relationship:    Executive Officer X Director    Promoter

Clarification of Response (if Necessary):


Last Name First Name Middle Name
Sivilotti Mitchel
Street Address 1 Street Address 2
2711 Citrus Road
City State/Province/Country ZIP/PostalCode
Rancho Cordova CALIFORNIA 95742
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):


Last Name First Name Middle Name
Pappa Kenneth
Street Address 1 Street Address 2
2711 Citrus Road
City State/Province/Country ZIP/PostalCode
Rancho Cordova CALIFORNIA 95742
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):


Last Name First Name Middle Name
Bruch Mike
Street Address 1 Street Address 2
2711 Citrus Road
City State/Province/Country ZIP/PostalCode
Rancho Cordova CALIFORNIA 95742
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):


4. Industry Group

   Agriculture
Banking & Financial Services
   Commercial Banking
   Insurance
   Investing
   Investment Banking
   Pooled Investment Fund
Is the issuer registered as
an investment company under
the Investment Company
Act of 1940?
   Yes    No
   Other Banking & Financial Services
   Business Services
Energy
   Coal Mining
   Electric Utilities
   Energy Conservation
   Environmental Services
   Oil & Gas
   Other Energy
Health Care
X Biotechnology
   Health Insurance
   Hospitals & Physicians
   Pharmaceuticals
   Other Health Care
   Manufacturing
Real Estate
   Commercial
   Construction
   REITS & Finance
   Residential
   Other Real Estate
  
Retailing
  
Restaurants
Technology
   Computers
   Telecommunications
   Other Technology
Travel
   Airlines & Airports
   Lodging & Conventions
   Tourism & Travel Services
   Other Travel
  
Other

5. Issuer Size

Revenue Range OR Aggregate Net Asset Value Range
   No Revenues    No Aggregate Net Asset Value
   $1 - $1,000,000    $1 - $5,000,000
   $1,000,001 - $5,000,000    $5,000,001 - $25,000,000
   $5,000,001 - $25,000,000    $25,000,001 - $50,000,000
   $25,000,001 - $100,000,000    $50,000,001 - $100,000,000
   Over $100,000,000    Over $100,000,000
X Decline to Disclose    Decline to Disclose
   Not Applicable    Not Applicable

6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)

   Rule 504(b)(1) (not (i), (ii) or (iii))
   Rule 504 (b)(1)(i)
   Rule 504 (b)(1)(ii)
   Rule 504 (b)(1)(iii)
   Rule 505
X Rule 506(b)
   Rule 506(c)
   Securities Act Section 4(a)(5)
   Investment Company Act Section 3(c)
   Section 3(c)(1)    Section 3(c)(9)  
   Section 3(c)(2)    Section 3(c)(10)
   Section 3(c)(3)    Section 3(c)(11)
   Section 3(c)(4)    Section 3(c)(12)
   Section 3(c)(5)    Section 3(c)(13)
   Section 3(c)(6)    Section 3(c)(14)
   Section 3(c)(7)

7. Type of Filing

X New Notice Date of First Sale 2014-08-31    First Sale Yet to Occur
   Amendment

8. Duration of Offering

Does the Issuer intend this offering to last more than one year?
   Yes X No

9. Type(s) of Securities Offered (select all that apply)

   Equity    Pooled Investment Fund Interests
X Debt    Tenant-in-Common Securities
X Option, Warrant or Other Right to Acquire Another Security    Mineral Property Securities
X Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security    Other (describe)

10. Business Combination Transaction

Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer?
   Yes X No

Clarification of Response (if Necessary):

11. Minimum Investment

Minimum investment accepted from any outside investor $0 USD

12. Sales Compensation

Recipient
Recipient CRD Number    None
Maxim Group LLC 120708
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
405 Lexington Avenue
City State/Province/Country ZIP/Postal Code
New York NEW YORK 10174
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States
   All States
   Foreign/non-US
NEW JERSEY

13. Offering and Sales Amounts

Total Offering Amount $15,000,000 USD
or    Indefinite
Total Amount Sold $15,000,000 USD
Total Remaining to be Sold $0 USD
or    Indefinite

Clarification of Response (if Necessary):

14. Investors

  
Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors, and enter the number of such non-accredited investors who already have invested in the offering.
Regardless of whether securities in the offering have been or may be sold to persons who do not qualify as accredited investors, enter the total number of investors who already have invested in the offering:
2

15. Sales Commissions & Finder's Fees Expenses

Provide separately the amounts of sales commissions and finders fees expenses, if any. If the amount of an expenditure is not known, provide an estimate and check the box next to the amount.

Sales Commissions $1,200,000 USD
   Estimate
Finders' Fees $0 USD
   Estimate

Clarification of Response (if Necessary):

8% of the total offering amount

16. Use of Proceeds

Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers, directors or promoters in response to Item 3 above. If the amount is unknown, provide an estimate and check the box next to the amount.

$0 USD
   Estimate

Clarification of Response (if Necessary):

Signature and Submission

Please verify the information you have entered and review the Terms of Submission below before signing and clicking SUBMIT below to file this notice.

Terms of Submission

In submitting this notice, each issuer named above is:
  • Notifying the SEC and/or each State in which this notice is filed of the offering of securities described and undertaking to furnish them, upon written request, in the accordance with applicable law, the information furnished to offerees.*
  • Irrevocably appointing each of the Secretary of the SEC and, the Securities Administrator or other legally designated officer of the State in which the issuer maintains its principal place of business and any State in which this notice is filed, as its agents for service of process, and agreeing that these persons may accept service on its behalf, of any notice, process or pleading, and further agreeing that such service may be made by registered or certified mail, in any Federal or state action, administrative proceeding, or arbitration brought against it in any place subject to the jurisdiction of the United States, if the action, proceeding or arbitration (a) arises out of any activity in connection with the offering of securities that is the subject of this notice, and (b) is founded, directly or indirectly, upon the provisions of:  (i) the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940, or the Investment Advisers Act of 1940, or any rule or regulation under any of these statutes, or (ii) the laws of the State in which the issuer maintains its principal place of business or any State in which this notice is filed.
  • Certifying that, if the issuer is claiming a Regulation D exemption for the offering, the issuer is not disqualified from relying on Regulation D for one of the reasons stated in Rule 505(b)(2)(iii) or Rule 506(d).

Each Issuer identified above has read this notice, knows the contents to be true, and has duly caused this notice to be signed on its behalf by the undersigned duly authorized person.

For signature, type in the signer's name or other letters or characters adopted or authorized as the signer's signature.

Issuer Signature Name of Signer Title Date
CESCA THERAPEUTICS INC. Mike Bruch Mike Bruch CFO 2015-09-03

Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.

* This undertaking does not affect any limits Section 102(a) of the National Securities Markets Improvement Act of 1996 ("NSMIA") [Pub. L. No. 104-290, 110 Stat. 3416 (Oct. 11, 1996)] imposes on the ability of States to require information. As a result, if the securities that are the subject of this Form D are "covered securities" for purposes of NSMIA, whether in all instances or due to the nature of the offering that is the subject of this Form D, States cannot routinely require offering materials under this undertaking or otherwise and can require offering materials only to the extent NSMIA permits them to do so under NSMIA's preservation of their anti-fraud authority.


CESCA THERAPEUTICS INC. Financing

DateFiling TypeOfferedSoldRemainingMin. investmentInvest. countExemption / Exlusions
2018-04-12New Form D$816,912$816,9120$0506b[view]
Represents aggregate exercise price for warrants covered by this Form D. The warrants were issued in a private placement conducted concurrently with a registered direct offering of shares of the Issuer's common stock which are not covered by this Form D.
2016-02-26New Form D$15,000,000$15,000,0000$0206b[view]
2015-09-15New Form D$15,000,000$15,000,0000$0206b[view]

CESCA THERAPEUTICS INC. List of Executives

Craig Moore, Denis Rhein, James Xu, Jeff Cauble, Joseph Thomis, Kenneth Harris, Kenneth Pappa, Mahendra Rao, Mark Westgate, Michael Bruch, Michael Rhein, Mike Bruch, Mitchel Sivilotti, Robin Stacey, Robin Stracey, Russell Medford, Vivian Liu, Xiaochun Xu