CESCA THERAPEUTICS INC. Contracts & Agreements

Amendment No. 3 to Second Amended and Restated Convertible Promissory Note, date January 5, 2024, between ThermoGenesis Holdings, Inc. and Boyalife Group, Inc (Filed With SEC on January 10, 2024)

Amendment No. 4 to First Amended and Restated Revolving Credit Agreement, dated January 5, 2024, between ThermoGenesis Holdings, Inc. and Boyalife Group, Inc (Filed With SEC on January 10, 2024)

Amendment No. 4 to Convertible Promissory Note, dated July 31, 2023, between ThermoGenesis Holdings, Inc. and Orbrex (USA) Co. Limited (Filed With SEC on August 3, 2023)

Description of Securities Registered Under Section 12 of the Securities Exchange Act of 1934, as amended (Filed With SEC on March 30, 2023)

Form of Common Warrant (Filed With SEC on March 21, 2023)

Form of Pre-Funded Warrant (Filed With SEC on March 21, 2023)

Form of Warrant Amendment Agreement (Filed With SEC on March 21, 2023)

Form of Securities Purchase Agreement (Filed With SEC on March 21, 2023)

Form of Registration Rights Agreement (Filed With SEC on March 21, 2023)

Amendment No. 2 to Second Amended and Restated Convertible Promissory Note, dated March 6, 2023, between ThermoGenesis Holdings, Inc. and Boyalife Group Inc (Filed With SEC on March 10, 2023)

Amendment No. 3 to First Amended and Restated Revolving Credit Agreement, dated March 6, 2023, between ThermoGenesis Holdings, Inc. and Boyalife Group Inc (Filed With SEC on March 10, 2023)

Amendment No. 3 to Convertible Promissory Note, dated January 31, 2023, between ThermoGenesis Holdings, Inc. and Orbrex (USA) Co. Limited (Filed With SEC on February 6, 2023)

Amendment to the Amended and Restated Certificate of Incorporation of ThermoGenesis Holdings, Inc (Filed With SEC on December 20, 2022)

Amended 2016 Equity Incentive Plan (Filed With SEC on December 20, 2022)

Engagement Letter Amendment, dated October 14, 2022, between ThermoGenesis Holdings, Inc. and H.C. Wainwright & Co., LLC (Filed With SEC on October 17, 2022)

Form of Securities Purchase Agreement (Filed With SEC on October 17, 2022)

Form of Common Warrant (Filed With SEC on October 17, 2022)

Amendment No. 2 to Convertible Promissory Note, dated July 25, 2022, between ThermoGenesis Holdings, Inc. and Orbrex (USA) Co. Limited (Filed With SEC on July 28, 2022)

Description of Securities Registered Under Section 12 of the Securities Exchange Act of 1934 (Filed With SEC on May 27, 2022)

Engagement Letter, dated as of March 8, 2022, between ThermoGenesis Holding, Inc. and H.C. Wainright & Co., LLC (Filed With SEC on April 29, 2022)

Form of Securities Purchase Agreement (Filed With SEC on April 29, 2022)

Form of Common Warrant (Filed With SEC on April 29, 2022)

Form of Pre-Funded Warrant (Filed With SEC on April 29, 2022)

License and Technology Access Agreement, dated March 24, 2022, between ThermoGenesis Holdings, Inc. and Boyaife Genomics Tianjin Ltd (Filed With SEC on March 28, 2022)

Lease Agreement, dated March 24, 20222, between ThermoGenesis Holdings, Inc. and Z3 Investment LLC (Filed With SEC on March 28, 2022)

Amendment No. 1 to Second Amended and Restated Convertible Promissory Note, dated March 4, 2022, between ThermoGenesis Holdings, Inc. and Boyalife Asset Holding II, Inc (Filed With SEC on March 8, 2022)

Amendment No. 2 to First Amended and Restated Revolving Credit Agreement, dated March 4, 2022, between ThermoGenesis Holdings, Inc. and Boyalife Asset Holding II, Inc (Filed With SEC on March 8, 2022)

Amendment No. 2 to At the Market Offering Agreement, dated February 3, 2022, by and between ThermoGenesis Holdings, Inc. and H.C. Wainwright & Co., LLC (Filed With SEC on February 3, 2022)

Fourth Amendment to the Companys Amended. 2016 Equity Incentive Plan, effective June 4, 2020 (Filed With SEC on January 14, 2022)

Amended 2016 Equity Incentive Plan (Filed With SEC on January 14, 2022)

Payment Protection Program Loan (PPP Loan) between ThermoGenesis Holdings, Inc. and Comerica Bank dated April 21, 2020 (Filed With SEC on August 14, 2020)

Supply Agreement between BioHit Healthcare (Hefei) Co., Ltd. and ThermoGenesis Holdings, Inc. dated August 11, 2020 (Filed With SEC on August 14, 2020)

Manufacturing and Supply Amending Agreement #2, effective as of July 13, 2020, between ThermoGenesis Holdings, Inc. and CBR Systems, Inc (Filed With SEC on July 17, 2020)

Fourth Amendment to the ThermoGenesis Holdings, Inc. 2016 Equity Incentive Plan, effective June 4, 2020 (Filed With SEC on June 9, 2020)

Form of Stock Option Agreement (Filed With SEC on June 9, 2020)

Amendment No. 1 to At The Market Offering Agreement, dated May 19, 2020, by and between ThermoGenesis Holdings, Inc. and H.C. Wainwright & Co., LLC (Filed With SEC on May 20, 2020)

Supply Agreement, effective as of April 22, 2020, between ThermoGenesis Corp. and ImmuneCyte Life Sciences Inc (Filed With SEC on April 28, 2020)

Form of Securities Purchase Agreement, dated as of March 25, 2020, between ThermoGenesis Holdings, Inc. and the Purchasers identified on the signature pages thereto (Filed With SEC on March 27, 2020)

Engagement Agreement, dated as of March 24, 2020, by and between ThermoGenesis Holdings, Inc. and H.C. Wainwright & Co., LLC (Filed With SEC on March 27, 2020)

Description of Securities Registered Under Section 12 of the Securities Exchange Act of 1934, as amended (Filed With SEC on March 24, 2020)

Manufacturing and Supply Amending Agreement #1, effective as of March 16, 2020, between ThermoGenesis Corp. and CBR Systems, Inc (Filed With SEC on March 20, 2020)

Form of Stock Option Award Agreement (Filed With SEC on January 3, 2020)

Supply Agreement, dated November 22, 2019, between ThermoGenesis Holdings, Inc. and ImmuneCyte Life Sciences Inc (Filed With SEC on November 27, 2019)

Contribution Agreement, dated November 22, 2019, between ThermoGenesis Holdings, Inc. and ImmuneCyte Life Sciences Inc (Filed With SEC on November 27, 2019)

Stockholders Agreement, dated November 22, 2019, among ThermoGenesis Holdings, Inc., Healthbanks Biotech (USA) Inc. and ImmuneCyte Life Sciences Inc (Filed With SEC on November 27, 2019)

Amendment No. 1, dated July 23, 2019, to the Convertible Promissory Note, dated January 29, 2019 between Cesca therapeutics Inc. and Orbrex USA Co (Filed With SEC on November 19, 2019)

Joint Venture Agreement, dated as of October 21, 2019, between Cesca Therapeutics Inc. and Healthbanks Biotech (USA) Inc (Filed With SEC on October 22, 2019)

Supply Agreement, dated as of August 30, 2019, between Corning Incorporated and Cesca Therapeutics Inc (Filed With SEC on September 6, 2019)

Amendment No. 1 to the Convertible Promissory Note, Dated July 23, 2019 between Cesca therapeutics Inc. and Orbrex USA Co (Filed With SEC on August 13, 2019)

Cesca Therapeutics Inc. Amended 2016 Equity Incentive Plan (Filed With SEC on August 13, 2019)

Form of Note (Filed With SEC on July 29, 2019)

Securities Purchase Agreement, dated as of July 23, 2019, between Cesca Therapeutics Inc. and the Purchaser identified on the signature pages thereto (Filed With SEC on July 29, 2019)

Amendment No. 1 to the Convertible Note Agreement dated as of July 23, 2019, between Cesca Therapeutics Inc. and Orbrex USA Co (Filed With SEC on July 29, 2019)

Third Amendment to Cesca Therapeutics Inc. Amended 2016 Equity Incentive Plan, dated December 14, 2018 (Filed With SEC on June 4, 2019)

Form of Pre-Funded Warrant (Filed With SEC on April 25, 2019)

Securities Purchase Agreement, dated as of April 18, 2019, between Cesca Therapeutics Inc. and the Purchaser identified on the signature pages thereto (Filed With SEC on April 25, 2019)

Voting Agreement between CARTXpress Bio, Inc. and Bay City Capital Fund V, L.P. and Bay City Capital Management V LLC (Filed With SEC on March 26, 2019)

Form of Note (Filed With SEC on January 31, 2019)

Securities Purchase Agreement, dated as of January 29, 2019, between Cesca Therapeutics Inc. and the Purchasers identified on the signature pages thereto (Filed With SEC on January 31, 2019)

Reorganization and Share Exchange Agreement, dated January 1, 2019, among ThermoGenesis Corp., Cesca Therapeutics Inc., CARTXpress Bio, Inc., Bay City Capital Fund V. L.P. and Bay... (Filed With SEC on January 4, 2019)

Voting Agreement, dated January 1, 2019, among CARTXpress Bio, Inc., ThermoGenesis Corp., Bay City Capital Fund V, L.P., and Bay City Capital Fund V Co-Investment Fund, L.P (Filed With SEC on January 4, 2019)

Investors Rights Agreement, dated January 1, 2019, among CARTXpress Bio, Inc., Bay City Capital Fund V, L.P., and Bay City Capital Fund V Co-Investment Fund, L.P (Filed With SEC on January 4, 2019)

Right of First Refusal and Co-Sale Agreement, dated January 1, 2019, among CARTXpress Bio, Inc., ThermoGenesis Corp., Bay City Capital Fund V, L.P., and Bay City Capital Fund V... (Filed With SEC on January 4, 2019)

Amended and Restated Certificate of Incorporation of CARTXpress Bio, Inc (Filed With SEC on January 4, 2019)

Amendment to the Cesca Therapeutics Inc. 2016 Equity Incentive Plan, effective December 14, 2018 (Filed With SEC on December 19, 2018)

Form of Stock Option Agreement (Filed With SEC on December 19, 2018)

Exhibit 4.1 Form of Pre-Funded Warrant (Filed With SEC on August 29, 2018)

Exhibit 10.1 Securities Purchase Agreement, dated as of August 28, 2018, between Cesca Therapeutics Inc. and the Purchasers identified on the signature pages thereto (Filed With SEC on August 29, 2018)

Form of Common Warrant (Filed With SEC on May 14, 2018)

Form of Pre-Funded Warrant (Filed With SEC on May 14, 2018)

Form of Securities Purchase Agreement (Filed With SEC on May 14, 2018)

Form of Common Warrant (Filed With SEC on May 8, 2018)

Form of Pre-Funded Warrant (Filed With SEC on May 8, 2018)

Form of Securities Purchase Agreement (Filed With SEC on May 8, 2018)

Amendment No. 1 to First Amended and Restated Revolving Credit Agreement, dated May 7, 2018, between Cesca Therapeutics Inc. and Boyalife Asset Holding II, Inc (Filed With SEC on May 7, 2018)

First Amended and Restated Revolving Credit Agreement, dated April 16, 2018, between Cesca Therapeutics Inc. and Boyalife Asset Holding II, Inc (Filed With SEC on April 18, 2018)

Second Amended and Restated Convertible Promissory Note, dated April 16, 2018, issued by Cesca Therapeutics Inc. to Boyalife Asset Holding II, Inc (Filed With SEC on April 18, 2018)

First Amended and Restated Nomination and Voting Agreement, dated April 16, 2018, between Cesca Therapeutics Inc, and Boyalife (Hong Kong) Limited (Filed With SEC on April 18, 2018)

Form of Common Stock Purchase Warrant (Filed With SEC on March 28, 2018)

Securities Purchase Agreement, dated as of March 26, 2018, between Cesca Therapeutics Inc. and the Purchasers identified on the signature pages thereto (Filed With SEC on March 28, 2018)

Engagement Letter, dated as of March 22, 2018, by and between Cesca Therapeutics Inc. and H.C. Wainwright & Co., LLC (Filed With SEC on March 28, 2018)

Exclusive License Agreement, dated March 12, 2018, between ThermoGenesis Corp. and IncoCell Tianjin Ltd (Filed With SEC on March 16, 2018)

ThermoGenesis Corp. 2017 Equity Incentive Plan (Filed With SEC on January 5, 2018)

Form of Stock Option Agreement under ThermoGenesis Corp. 2017 Equity Incentive Plan (Filed With SEC on January 5, 2018)

Placement Agency Agreement, dated November 29, 2017, between Cesca Therapeutics Inc. and Dawson James Securities, Inc (Filed With SEC on December 1, 2017)

Placement Agency Agreement, dated November 29, 2017, between Cesca Therapeutics Inc. and Dawson James Securities, Inc (Filed With SEC on November 29, 2017)

Amendment to the Cesca Therapeutics Inc. 2016 Equity Incentive Plan, effective November 13, 2017 (Filed With SEC on November 15, 2017)

Executive Employment Agreement, dated November 13, 2017, between Cesca Therapeutics Inc. and Dr. Xiaochun (Chris) Xu (Filed With SEC on November 15, 2017)

Amendment No. 1, dated November 13, 2017, to Executive Employment Agreement between Vivian Liu and Cesca Therapeutics Inc (Filed With SEC on November 15, 2017)

Form of Stock Option Agreement (Filed With SEC on November 15, 2017)

International Distributor Agreement, dated August 21, 2017, between ThermoGenesis Corp. and Boyalife W.S.N (Filed With SEC on September 22, 2017)

Amendment No. 1 to Revolving Credit Agreement, dated September 13, 2017, between Cesca Therapeutics Inc. and Boyalife Investment Fund II, Inc (Filed With SEC on September 22, 2017)

Amended and Restated Convertible Promissory Note, dated September 13, 2017, issued by Cesca Therapeutics Inc. to Boyalife Investment Fund II, Inc (Filed With SEC on September 22, 2017)

Amendment No. 1 to Revolving Credit Agreement, dated September 13, 2017, between Cesca Therapeutics Inc. and Boyalife Investment Fund II, Inc (Filed With SEC on September 19, 2017)

Amended and Restated Convertible Promissory Note, dated September 13, 2017, issued by Cesca Therapeutics Inc. to Boyalife Investment Fund II, Inc (Filed With SEC on September 19, 2017)

[*] = CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY BRACKETS, HAS BEEN OMITTED AND FILED SEPARATELY WITH THE SECURITIES AND EXCHANGE COMMISSION. (Filed With SEC on May 31, 2017)

CESCA THERAPEUTICS INC. Notice of Grant of Stock Options and Option Agreement (Filed With SEC on May 11, 2017)

REVOLVING CREDIT AGREEMENT between CESCA THERAPEUTICS INC. Borrower and BOYALIFE INVESTMENT FUND II, INC. Lender (Filed With SEC on March 10, 2017)

CONVERTIBLE PROMISSORY NOTE (Filed With SEC on March 10, 2017)

GENERAL RELEASE AND WAIVER (Filed With SEC on March 2, 2017)

CESCA THERAPEUTICS INC. EXECUTIVE EMPLOYMENT AGREEMENT (Filed With SEC on March 2, 2017)

INDEMNIFICATION AGREEMENT (Filed With SEC on November 17, 2016)

GENERAL RELEASE AND WAIVER (Filed With SEC on November 17, 2016)

SECURITIES PURCHASE AGREEMENT (Filed With SEC on August 4, 2016)

CESCA Therapeutics Inc. 2016 equity INCENTIVE PLAN (Filed With SEC on July 12, 2016)

PURCHASE AGREEMENT (Filed With SEC on February 3, 2016)

FORM OF SECURED CONVERTIBLE DEBENTURE (Filed With SEC on February 3, 2016)

FORM OF WARRANT (Filed With SEC on February 3, 2016)

FORM OF NOMINATION AND VOTING AGREEMENT CESCA THERAPEUTICS INC. NOMINATION AND VOTING AGREEMENT (Filed With SEC on February 3, 2016)

FORM OF SECURITY AGREEMENT SECURITY AGREEMENT (Filed With SEC on February 3, 2016)

CONSENT, REPAYMENT AND RELEASE AGREEMENT (Filed With SEC on February 3, 2016)

SERIES A WARRANT AMENDMENT (Filed With SEC on February 3, 2016)

FORM OF GENERAL RELEASE OF CLAIMS (Filed With SEC on February 3, 2016)

GENERAL RELEASE AND WAIVER (Filed With SEC on December 16, 2015)

CESCA THERAPEUTICS INC. CONSULTING AGREEMENT (Filed With SEC on December 16, 2015)

FIFTH AMENDED AND RESTATED TECHNOLOGY LICENSE AND ESCROW AGREEMENT (Filed With SEC on October 28, 2015)

CESCA THERAPEUTICS INC. EXECUTIVE EMPLOYMENT AGREEMENT (Filed With SEC on October 28, 2015)

GENERAL RELEASE AND WAIVER (Filed With SEC on September 30, 2015)

CESCA THERAPEUTICS INC. CONSULTING AGREEMENT (Filed With SEC on September 30, 2015)

Amendment to SENIOR SECURED CONVERTIBLE DEBENTURE (Filed With SEC on September 29, 2015)

Form of Securities Purchase Agreement (Filed With SEC on September 1, 2015)

Form of Debenture (Filed With SEC on September 1, 2015)

Form of Series A Warrant (Filed With SEC on September 1, 2015)

Form of Series B Warrant (Filed With SEC on September 1, 2015)

Form of Registration Rights Agreement (Filed With SEC on September 1, 2015)

Form of Security Agreement (Filed With SEC on September 1, 2015)

CESCA THERAPEUTICS INC. EXECUTIVE EMPLOYMENT AGREEMENT (Filed With SEC on June 15, 2015)

Underwriting Agreement (Filed With SEC on June 13, 2014)

Form of Warrant (Filed With SEC on June 13, 2014)

AMENDED AND RESTATED CESCA THERAPEUTICS INC 2006 EQUITY INCENTIVE PLAN (Filed With SEC on May 1, 2014)

SECURITIES PURCHASE AGREEMENT (Filed With SEC on January 30, 2014)

REGISTRATION RIGHTS AGREEMENT (Filed With SEC on January 30, 2014)

COMMON STOCK PURCHASE WARRANT THERMOGENESIS CORP. (Filed With SEC on January 30, 2014)

FORBEARANCE AGREEMENT (Technology License and Escrow Agreement) (Filed With SEC on November 27, 2013)

THERMOGENESIS CORP. EXECUTIVE EMPLOYMENT AGREEMENT (Filed With SEC on October 30, 2013)

Agreement and Plan of Merger and Reorganization, dated as of July 15, 2013, by and among ThermoGenesis Corp., TotipotentRX Corporation, Mitchel Sivilotti, and Kenneth Harris (Filed With SEC on July 16, 2013)

Form of Lock-up Agreement, dated July 15, 2013, by and among ThermoGenesis Corp., Mitchel Sivilotti, and Kenneth Harris (Filed With SEC on July 16, 2013)

Employment Agreement, dated July 15, 2013, by and among ThermoGenesis Corp. and Mitchel Sivilotti (Filed With SEC on July 16, 2013)

Employment Agreement, dated July 15, 2013, by and among ThermoGenesis Corp. and Kenneth Harris (Filed With SEC on July 16, 2013)

Form of Non-Competition Agreement, dated July 15, 2013, by and among ThermoGenesis Corp., Mitchel Sivilotti, and Kenneth Harris (Filed With SEC on July 16, 2013)

First Amendment to the Technology License and Escrow Agreement (Filed With SEC on February 12, 2013)

R E C I T A L S (Filed With SEC on October 24, 2012)

R E C I T A L S (Filed With SEC on August 24, 2012)

R E C I T A L S (Filed With SEC on March 28, 2012)

R E C I T A L S (Filed With SEC on January 13, 2012)

THERMOGENESIS CORP. (Filed With SEC on March 7, 2011)

2,250,000 Units (Filed With SEC on March 7, 2011)

FORM OF SUBSCRIPTION AGREEMENT (Filed With SEC on March 7, 2011)

Current assets (Filed With SEC on February 11, 2011)

FORM OF STOCK GRANT AGREEMENT COMMON STOCK GRANT AGREEMENT (Filed With SEC on November 5, 2010)

R E C I T A L S (Filed With SEC on November 5, 2010)

LICENSE AND DISTRIBUTION AGREEMENT (Filed With SEC on October 19, 2010)

AMENDMENT TO DISTRIBUTION AND LICENSE AGREEMENT (Filed With SEC on June 16, 2010)

OPTION AGREEMENT (Filed With SEC on June 16, 2010)

THERMOGENESIS CORP. EXECUTIVE EMPLOYMENT AGREEMENT (Filed With SEC on April 15, 2009)

EXHIBIT 10.1(f) (Filed With SEC on September 11, 2008)

EXHIBIT 10.1P (Filed With SEC on September 7, 2006)

8,000,000 Shares ThermoGenesis Corp. (Filed With SEC on January 31, 2006)

EXHIBIT 10.1(n) (Filed With SEC on January 27, 2006)

EXHIBIT 10.1(o) (Filed With SEC on January 27, 2006)

Category

Industry

Companies

Contracts

CESCA THERAPEUTICS INC. Contracts & Agreements