Specialized Disclosure Report (sd)
11 Juli 2019 - 10:35PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM
SD
Specialized Disclosure Report
CESCA THERAPEUTICS
INC
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(Exact name of registrant as specified in its charter)
Delaware
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000
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16375
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94-3018487
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(State or other jurisdiction of
incorporation or organization)
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(Commission File Number)
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(I.R.S. Employer Identification No.)
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2711 Citrus Road
Rancho Cordova, California 95742
(Address and telephone number of principal executive offices) (Zip Code)
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Jeff Cauble
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(916) 858-5100
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(Name and telephone number, including area code, of the person to contact in connection with this report.)
Title of each class
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Trading symbol(s)
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Name of each exchange on which registered
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Common Stock, $.001 par value
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KOOL
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Nasdaq Capital Market
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Check the appropriate box to indicate the rule pursuant to which this form is being filed, and provide the period to which the information in this form applies:
[X] Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2018.
Section 1 – Conflict Minerals Disclosure
Item 1.01 Conflict Minerals Disclosure and Report
Cesca Therapeutics Inc. evaluated its current product lines and determined that certain products we manufactured or contracted to manufacture, through our majority owned subsidiary, ThermoGenesis Corp, contained tin, tungsten, tantalum and/or gold (the “Conflict Minerals”) and that these Conflict Minerals were necessary to the functionality or production of those products. As a result, we conducted a reasonable country of origin inquiry (“RCOI”) to determine whether any of the Conflict Minerals contained in our products originated in the Democratic Republic of the Congo or any adjoining country (the “Covered Countries”) or were from recycled or scrap sources.
Based on the surveys and due diligence to date, the Company has determined its products manufactured over the prior calendar year to be DRC Conflict Undeterminable.
A copy of the Company’s Conflict Minerals Report is provided as Exhibit 1.01 hereto and is publicly available at
http://investors.cescatherapeutics.com/corporate-governance/governance-overview
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Item 1.02 Exhibit
As specified in Section 2, item 2.01 of the Form SD, the Company is hereby filing its Conflict Minerals Report as Exhibit 1.01 to this report.
Section 2
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Exhibits
Exhibit 1.01 – Conflict Minerals Report as required by Items 1.01 and 1.02 of this Form SD.
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
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Cesca Therapeutics Inc.,
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a Delaware Corporation
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Dated: July 11, 2019
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/s/ Jeff Cauble
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Jeff Cauble
Principal Financial &
Accounting Officer
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