You can access the original SEC filing by clicking here.
Ownership Summary Table
Name | Sole Voting Power | Shared Voting Power | Sole Dispositive Power | Shared Dispositive Power | Aggregate Amount Owned Power | Percent of Class |
---|---|---|---|---|---|---|
JHMS Fund | 0 | 4,808,432 | 0 | 4,808,432 | 4,808,432 | 6.59% |
JHMS Management | 0 | 4,808,432 | 0 | 4,808,432 | 4,808,432 | 6.59% |
Jayhawk Capital Management | 0 | 4,808,432 | 0 | 4,808,432 | 4,808,432 | 6.59% |
Jayhawk Private Equity Fund II | 0 | 2,864,800 | 0 | 2,864,800 | 2,864,800 | 3.92% |
Jayhawk Private Equity GP II | 0 | 2,864,800 | 0 | 2,864,800 | 2,864,800 | 3.92% |
Jayhawk Private Equity | 0 | 2,864,800 | 0 | 2,864,800 | 2,864,800 | 3.92% |
Kent C McCarthy Revocable Trust dated October | 0 | 230,000 | 0 | 230,000 | 230,000 | 0.32% |
Kent C. McCarthy | 0 | 7,903,232 | 0 | 7,903,232 | 7,903,232 | 10.83% |
Page 1 of 12 – SEC Filing
China Cord Blood Corporation |
(Name of Issuer) |
Common Stock, par value $0.0001 per share |
(Title of Class of Securities) |
698659109 |
(CUSIP Number) |
March 30, 2017 |
(Date of Event Which Requires Filing of this Statement) |
☐ | Rule 13d-1(b) |
☒ | Rule 13d-1(c) |
☐ | Rule 13d-1(d) |
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Page 2 of 12 – SEC Filing
CUSIP No. | 698659109 |
1 | NAME OF REPORTING PERSON | ||||
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (entities only) | |||||
JHMS Fund, LLC (47-4524143) | |||||
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 | ||||
Delaware | |||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: | 5 | SOLE VOTING POWER | |||
0 | |||||
6 | SHARED VOTING POWER | ||||
4,808,432* | |||||
7 | SOLE DISPOSITIVE POWER | ||||
0 | |||||
8 | SHARED DISPOSITIVE POWER | ||||
4,808,432* | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
4,808,432* (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) | ||||
6.59%** | |||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||
OO | |||||
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Page 3 of 12 – SEC Filing
CUSIP No. | 698659109 |
1 | NAME OF REPORTING PERSON | ||||
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (entities only) | |||||
JHMS Management, LLC (47-4524095) | |||||
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 | ||||
Delaware | |||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: | 5 | SOLE VOTING POWER | |||
0 | |||||
6 | SHARED VOTING POWER | ||||
4,808,432* | |||||
7 | SOLE DISPOSITIVE POWER | ||||
0 | |||||
8 | SHARED DISPOSITIVE POWER | ||||
4,808,432* | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
4,808,432* (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) | ||||
6.59%** | |||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||
OO | |||||
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Page 4 of 12 – SEC Filing
CUSIP No. | 698659109 |
1 | NAME OF REPORTING PERSON | ||||
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (entities only) | |||||
Jayhawk Capital Management, L.L.C. (48-1172612) | |||||
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 | ||||
Delaware | |||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: | 5 | SOLE VOTING POWER | |||
0 | |||||
6 | SHARED VOTING POWER | ||||
4,808,432* | |||||
7 | SOLE DISPOSITIVE POWER | ||||
0 | |||||
8 | SHARED DISPOSITIVE POWER | ||||
4,808,432* | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
4,808,432* (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) | ||||
6.59%** | |||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||
OO | |||||
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Page 5 of 12 – SEC Filing
CUSIP No. | 698659109 |
1 | NAME OF REPORTING PERSON | ||||
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (entities only) | |||||
Jayhawk Private Equity Fund II, L.P. (26-1692972) | |||||
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 | ||||
Delaware | |||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: | 5 | SOLE VOTING POWER | |||
0 | |||||
6 | SHARED VOTING POWER | ||||
2,864,800* | |||||
7 | SOLE DISPOSITIVE POWER | ||||
0 | |||||
8 | SHARED DISPOSITIVE POWER | ||||
2,864,800* | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
2,864,800* (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) | ||||
3.92%** | |||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||
PN | |||||
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Page 6 of 12 – SEC Filing
CUSIP No. | 698659109 |
1 | NAME OF REPORTING PERSON | ||||
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (entities only) | |||||
Jayhawk Private Equity GP II, L.P. (26-1692915) | |||||
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 | ||||
Delaware | |||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: | 5 | SOLE VOTING POWER | |||
0 | |||||
6 | SHARED VOTING POWER | ||||
2,864,800* | |||||
7 | SOLE DISPOSITIVE POWER | ||||
0 | |||||
8 | SHARED DISPOSITIVE POWER | ||||
2,864,800* | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
2,864,800* (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) | ||||
3.92%** | |||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||
PN | |||||
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Page 7 of 12 – SEC Filing
CUSIP No. | 698659109 |
1 | NAME OF REPORTING PERSON | ||||
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (entities only) | |||||
Jayhawk Private Equity, LLC (26-1692786) | |||||
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 | ||||
Delaware | |||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: | 5 | SOLE VOTING POWER | |||
0 | |||||
6 | SHARED VOTING POWER | ||||
2,864,800 * | |||||
7 | SOLE DISPOSITIVE POWER | ||||
0 | |||||
8 | SHARED DISPOSITIVE POWER | ||||
2,864,800 * | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
2,864,800 * (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) | ||||
3.92%** | |||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||
OO | |||||
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Page 8 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 Revocable Trust dated October 24, 2003 | |||||
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 | ||||
Kansas | |||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: | 5 | SOLE VOTING POWER | |||
0 | |||||
6 | SHARED VOTING POWER | ||||
230,000 | |||||
7 | SOLE DISPOSITIVE POWER | ||||
0 | |||||
8 | SHARED DISPOSITIVE POWER | ||||
230,000 | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
230,000 (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) | ||||
0.32%* | |||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||
OO | |||||
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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 | |||||
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Page 10 of 12 – SEC Filing
Item 4 | Ownership: |
(a) | Amount beneficially owned: |
1. | JHMS Fund, LLC: 4,808,432 * |
2. | JHMS Management, LLC: 4,808,432* |
3. | Jayhawk Capital Management, L.L.C.: 4,808,432* |
4. | Jayhawk Private Equity Fund II, L.P.: 2,864,800** |
5. | Jayhawk Private Equity GP II, L.P.: 2,864,800** |
6. | Jayhawk Private Equity, LLC: 2,864,800** |
7. | Kent C McCarthy Revocable Trust dated October 24, 2003: 230,000 |
8. | Kent C. McCarthy: 7,903,232*** |
(b) | Percent of class: |
1. | JHMS Fund, LLC: 6.59% |
2. | JHMS Management, LLC: 6.59% |
3. | Jayhawk Capital Management, L.L.C.: 6.59% |
4. | Jayhawk Private Equity Fund II, L.P.: 3.92% |
5. | Jayhawk Private Equity GP II, L.P.: 3.92% |
6. | Jayhawk Private Equity, LLC: 3.92% |
7. | Kent C McCarthy Revocable Trust dated October 24, 2003: 0.32% |
8. | Kent C. McCarthy: 10.83% |
(c) | Number of shares as to which the person has: |
(i) | Sole power to vote or to direct the vote: |
1. | JHMS Fund, LLC: 0 |
2. | JHMS Management, LLC: 0 |
3. | Jayhawk Capital Management, L.L.C.: 0 |
4. | Jayhawk Private Equity Fund II, L.P.: 0 |
5. | Jayhawk Private Equity GP II, L.P.: 0 |
6. | Jayhawk Private Equity, LLC: 0 |
7. | Kent C McCarthy Revocable Trust dated October 24, 2003: 0 |
8. | Kent C. McCarthy: 0 |
(ii) | Shared power to vote or direct the vote: |
1. | JHMS Fund, LLC: 4,808,432* |
2. | JHMS Management, LLC: 4,808,432* |
3. | Jayhawk Capital Management, L.L.C.: 4,808,432* |
4. | Jayhawk Private Equity Fund II, L.P.: 2,864,800** |
5. | Jayhawk Private Equity GP II, L.P.: 2,864,800** |
6. | Jayhawk Private Equity, LLC: 2,864,800** |
7. | Kent C McCarthy Revocable Trust dated October 24, 2003: 230,000 |
8. | Kent C. McCarthy: 7,903,232*** |
(iii) | Sole power to dispose or to direct the disposition of: |
1. | JHMS Fund, LLC: 0 |
2. | JHMS Management, LLC: 0 |
3. | Jayhawk Capital Management, L.L.C.: 0 |
4. | Jayhawk Private Equity Fund II, L.P.: 0 |
5. | Jayhawk Private Equity GP II, L.P.: 0 |
6. | Jayhawk Private Equity, LLC: 0 |
7. | Kent C McCarthy Revocable Trust dated October 24, 2003: 0 |
8. | Kent C. McCarthy: 0 |
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Page 11 of 12 – SEC Filing
(iv) | Shared power to dispose or to direct the disposition of: |
1. | JHMS Fund, LLC: 4,808,432* |
2. | JHMS Management, LLC: 4,808,432* |
3. | Jayhawk Capital Management, L.L.C.: 4,808,432* |
4. | Jayhawk Private Equity Fund II, L.P.: 2,864,800** |
5. | Jayhawk Private Equity GP II, L.P.: 2,864,800** |
6. | Jayhawk Private Equity, LLC: 2,864,800** |
7. | Kent C McCarthy Revocable Trust dated October 24, 2003: 230,000 |
8. | Kent C. McCarthy: 7,903,232*** |
Item 10 | Certification: |
Dated: | March 31, 2017 |
/s/ Kent C. McCarthy | |||
Kent C. McCarthy | |||
JHMS Fund, LLC | |||
By: JHMS Management, LLC | |||
its Manager | |||
/s/ Michael D. Schmitz | |||
Name: Michael D. Schmitz | |||
Title: Manager | |||
JHMS Management, LLC | |||
By: | /s/ Michael D. Schmitz | ||
Name: Michael D. Schmitz | |||
Title: Manager | |||
Jayhawk Capital Management, LLC | |||
By: | /s/ Kent C. McCarthy | ||
Name: Kent C. McCarthy | |||
Title: Manager |
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Page 12 of 12 – SEC Filing
Jayhawk Private Equity Fund II, L.P. | ||||
By: | Jayhawk Private Equity GP II, L.P. Its general partner | |||
By: Jayhawk Private Equity, LLC Its general partner | ||||
By: | /s/ Kent C. McCarthy | |||
Name: Kent C. McCarthy | ||||
Title: Manager | ||||
Jayhawk Private Equity GP II, L.P. | ||||
By: | Jayhawk Private Equity, LLC Its general partner | |||
By: | /s/ Kent C. McCarthy | |||
Name: Kent C. McCarthy | ||||
Title: Manager | ||||
Jayhawk Private Equity, LLC | ||||
By: | /s/ Kent C. McCarthy | |||
Name: Kent C. McCarthy | ||||
Title: Manager | ||||
Kent C. McCarthy Revocable Trust dated October 24, 2003 | ||||
By: | /s/ Kent C. McCarthy | |||
Name: Kent C. McCarthy | ||||
Title: Trustee |