---
schema_version: "secwatch.filing_event.v1"
accession: "0001437749-24-012994"
form_type: "8-K"
ticker: null
cik: "0000811212"
company_name: "ThermoGenesis Holdings, Inc."
filed_at: "2024-04-24T23:59:59+00:00"
generated_at: "2026-06-03T10:34:36.953581+00:00"
event_type: "regulatory"
sentiment: "negative"
materiality_score: 0.85
calibrated_materiality_score: 0.85
confidence: "high"
source: SEC EDGAR
---

# ThermoGenesis receives Nasdaq notice for minimum stockholders' equity deficiency

## Summary
- Nasdaq notified ThermoGenesis of non-compliance with Listing Rule 5550(b)(1) requiring at least $2.5M in stockholders' equity.
- Company also fails alternative compliance measures (market value of listed securities or net income from continuing operations).
- ThermoGenesis has 45 days to submit a plan to regain compliance; Nasdaq may grant up to 180-day extension.
- No immediate impact on listing; company is evaluating options to address deficiency.
- If plan is rejected, stock faces delisting subject to appeal process.

## SEC filing metadata
- accession: 0001437749-24-012994
- form_type: 8-K
- cik: 0000811212
- company_name: ThermoGenesis Holdings, Inc.
- filed_at: 2024-04-24T23:59:59+00:00
- event_type: regulatory
- sentiment: negative
- materiality_score: 0.85
- calibrated_materiality_score: 0.85
- confidence: high
- sec_items: 3.01
- EDGAR index: https://www.sec.gov/Archives/edgar/data/811212/000143774924012994/0001437749-24-012994-index.htm
- EDGAR primary document: https://www.sec.gov/Archives/edgar/data/811212/000143774924012994/thmo20240423_8k.htm

## Machine-readable alternates
- HTML: https://secwatch.observer/filing/0001437749-24-012994
- JSON: https://secwatch.observer/filing/0001437749-24-012994.json
- Plain text: https://secwatch.observer/filing/0001437749-24-012994.txt

## Key facts
- Listing & Compliance Notices
  ThermoGenesis Holdings, Inc. received a nasdaq deficiency notice notice regarding stockholders equity (rules 5550(b)(1)).
  - Exchange: nasdaq
  - Notice: deficiency notice
  - Deficiency: stockholders equity
  - Rules: 5550(b)(1)
  source text: April 19, 2024, ThermoGenesis Holdings, Inc. (the “Company”) received a notice (the “Nasdaq Notice”) from The Nasdaq Stock Market (“Nasdaq”) that the Company does not presently comply with Nasdaq’s Listing Rule 5550(b)(1) that requires the Company to maintain a minimum of $2,500,000 in stockholders’ equity for continued listing. Additionally, as of the date of this report, the Company does not meet the alternatives of market value of listed securities or net income from continuing operations under Nasdaq Listing Rules. The Nasdaq Notice does not have any immediate effect on the listing of the
  evidence_url: https://www.sec.gov/Archives/edgar/data/811212/000143774924012994/0001437749-24-012994-index.htm

This AI-assisted summary is a reading aid. Review the linked SEC EDGAR filing before relying on any specific claim.