13G Filing: Jayhawk Capital Management, L.l.c. and China Cord Blood Corp (NYSE:NYSE: CO)

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Page 9 of 12 – SEC Filing

CUSIP No.
698659109
1
NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (entities only)
Kent C. McCarthy
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a)
(b)☒
3
SEC USE ONLY
4
CITIZENSHIP OR PLACE OF ORGANIZATION
United States of America
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH:
5
SOLE VOTING POWER
0
6
SHARED VOTING POWER
7,903,232*
7
SOLE DISPOSITIVE POWER
0
8
SHARED DISPOSITIVE POWER
7,903,232*
9
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
7,903,232* (see Item 4)
10
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions)
Not Applicable
11
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
10.83%**
12
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
IN
*Includes 2,864,800 shares of common stock, par value $0.0001 per share, held by Jayhawk Private Equity Fund II, L.P., 4,808,432 shares of common stock, par value $0.0001 per share, held by JHMS Fund, LLC, and 230,000 shares of common stock, par value $0.0001 per share, held by the Kent C. McCarthy Revocable Trust dated October 24, 2003.
** Percent of class is based on 73,003,248 outstanding shares of common stock, par value $0.0001 per share as of September 30, 2016 as reported by China Cord Blood Corporation on its Form 6-K filed on February 24, 2017.

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