0001140361-15-000576.txt : 20150105 0001140361-15-000576.hdr.sgml : 20150105 20150105184844 ACCESSION NUMBER: 0001140361-15-000576 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20141231 FILED AS OF DATE: 20150105 DATE AS OF CHANGE: 20150105 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: China Cord Blood Corp CENTRAL INDEX KEY: 0001467808 STANDARD INDUSTRIAL CLASSIFICATION: BLANK CHECKS [6770] IRS NUMBER: 000000000 BUSINESS ADDRESS: STREET 1: 48 FL., BANK OF CHINA TOWER STREET 2: 1 GARDEN ROAD CITY: CENTRAL HONG KONG STATE: K3 ZIP: 000000 BUSINESS PHONE: 852-3605-8180 MAIL ADDRESS: STREET 1: 48 FL., BANK OF CHINA TOWER STREET 2: 1 GARDEN ROAD CITY: CENTRAL HONG KONG STATE: K3 ZIP: 000000 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: 7-2010 GRAT 5 Under Kent C. McCarthy GRAT Tr Dtd 4-23-2010 CENTRAL INDEX KEY: 0001627505 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34541 FILM NUMBER: 15507326 BUSINESS ADDRESS: STREET 1: 7335 COTTONWOOD DRIVE CITY: SHAWNEE STATE: KS ZIP: 66216 BUSINESS PHONE: 775-200-1800 MAIL ADDRESS: STREET 1: 7335 COTTONWOOD DRIVE CITY: SHAWNEE STATE: KS ZIP: 66216 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: 7-2010 GRAT 6 Under Kent C McCarthy GRAT Tr Dtd 4-23-2010 CENTRAL INDEX KEY: 0001626177 STATE OF INCORPORATION: NV FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34541 FILM NUMBER: 15507327 BUSINESS ADDRESS: STREET 1: 7335 COTTONWOOD CITY: SHAWNEE STATE: KS ZIP: 66216 BUSINESS PHONE: 775-200-1800 MAIL ADDRESS: STREET 1: 7335 COTTONWOOD CITY: SHAWNEE STATE: KS ZIP: 66216 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: McCarthy Family SD, LLC CENTRAL INDEX KEY: 0001624560 STATE OF INCORPORATION: SD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34541 FILM NUMBER: 15507328 BUSINESS ADDRESS: STREET 1: 7335 COTTONWOOD DRIVE CITY: SHAWNEE STATE: KS ZIP: 66216 BUSINESS PHONE: 775-200-1800 MAIL ADDRESS: STREET 1: 7335 COTTONWOOD DRIVE CITY: SHAWNEE STATE: KS ZIP: 66216 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: JHAB FUND II, LLC CENTRAL INDEX KEY: 0001588328 STATE OF INCORPORATION: DE FISCAL YEAR END: 1213 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34541 FILM NUMBER: 15507329 BUSINESS ADDRESS: STREET 1: 7335 COTTONWOOD DRIVE CITY: SHAWNEE STATE: KS ZIP: 66216 BUSINESS PHONE: 775-200-1800 MAIL ADDRESS: STREET 1: 7335 COTTONWOOD DRIVE CITY: SHAWNEE STATE: KS ZIP: 66216 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: JAYHAWK PRIVATE EQUITY FUND II LP CENTRAL INDEX KEY: 0001427940 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34541 FILM NUMBER: 15507330 BUSINESS ADDRESS: STREET 1: 5410 WEST 61ST PLACE STREET 2: SUITE 100 CITY: MISSION STATE: KS ZIP: 66205 BUSINESS PHONE: 913-642-2611 MAIL ADDRESS: STREET 1: 5410 WEST 61ST PLACE STREET 2: SUITE 100 CITY: MISSION STATE: KS ZIP: 66205 4 1 doc1.xml FORM 4 X0306 4 2014-12-31 0 0001467808 China Cord Blood Corp NYSE: CO 0001427940 JAYHAWK PRIVATE EQUITY FUND II LP 7335 COTTONWOOD DRIVE SHAWNEE KS 66216 0 0 0 1 13 (d) group owning > 10% 0001588328 JHAB FUND II, LLC 7335 COTTONWOOD DRIVE SHAWNEE KS 66216 0 0 0 1 13 (d) group owning > 10% 0001624560 McCarthy Family SD, LLC 7335 COTTONWOOD DRIVE SHAWNEE KS 66216 0 0 0 1 13 (d) group owning > 10% 0001626177 7-2010 GRAT 6 Under Kent C McCarthy GRAT Tr Dtd 4-23-2010 7335 COTTONWOOD DRIVE SHAWNEE KS 66216 0 0 0 1 13 (d) group owning > 10% 0001627505 7-2010 GRAT 5 Under Kent C. McCarthy GRAT Tr Dtd 4-23-2010 7335 COTTONWOOD DRIVE SHAWNEE KS 66216 0 0 0 1 13 (d) group owning > 10% Common Stock 2014-12-31 4 P 0 40000 4.5588 A 10493946 I See footnote Common Stock 2015-01-02 4 P 0 25000 4.6165 A 10518946 I See footnote Acquired by 7-2010 GRAT 6 Under Kent C McCarthy GRAT Tr Dtd 4-23-2010. See Exhibit 99.1 /s/ Kent C. McCarthy, Manager of Jayhawk Private Equity, LLC, which is the general partner of Jayhawk Private Equity GP II, L.P., which is the general partner of Jayhawk Private Equity Fund II, L.P. 2015-01-05 /s/ Kent C. McCarthy, Manager of JHAB Management II, LLC which is the manager of JHAB Fund II, LLC 2015-01-05 /s/ Michael D. Schmitz, Manager of McCarthy Family SD, LLC 2015-01-05 /s/ Michael D. Schmitz, Trustee of 7-2010 GRAT 6 Under Kent C McCarthy GRAT Tr Dtd 4-23-2010 2015-01-05 /s/ Michael D. Schmitz, Trustee of 7-2010 GRAT 5 Under Kent C McCarthy GRAT Tr Dtd 4-23-2010 2015-01-05 EX-99.1 2 ex99_1.htm Unassociated Document
Exhibit 99.1
 
Explanation of Response to Table I, Item 7: Kent C. McCarthy is the manager of Jayhawk Private Equity, LLC, which is the general partner of Jayhawk Private Equity GP II, L.P.  Jayhawk Private Equity GP II, L.P. is the general partner of Jayhawk Private Equity Fund II, L.P.  Jayhawk Private Equity Fund II, L.P. directly owns 6,670,000 shares of the issuer reported on this form.  As a result, Mr. McCarthy, Jayhawk Private Equity, LLC and Jayhawk Private Equity GP II, L.P. each indirectly beneficially own 6,670,000 shares.  Kent C. McCarthy is also the manager of Jayhawk Capital Management, LLC, which is the general partner of JCF CO LF, L.P.  JCF CO LF, L.P. directly owns 1,858,291 shares of the issuer reported on this form.  As a result, Mr. McCarthy and Jayhawk Capital Management, LLC indirectly beneficially own 1,858,291 shares.  Kent C. McCarthy is also the manager of JHAB Management II, LLC, which is the manager of JHAB Fund II, LLC.  JHAB Fund II, LLC directly owns 1,308,901 shares of the issuer reported on this form.  As a result, Mr. McCarthy and JHAB Management II, LLC indirectly beneficially own 1,308,901 shares.  Kent C. McCarthy also has the power to exercise investment control over the shares owned by McCarthy Family SD, LLC.  McCarthy Family SD, LLC directly owns 176,754 shares of the issuer reported on this form.  As a result, Mr. McCarthy indirectly beneficially owns 176,754 shares.  Kent C. McCarthy is the beneficiary of the 7-2010 GRAT 6 Under Kent C McCarthy GRAT Tr Dtd 4-23-2010 (“GRAT 6”).  GRAT 6 directly owns 205,000 shares of the issuer reported on this form.  As a result, Mr. McCarthy indirectly beneficially owns 205,000 shares.  Kent C. McCarthy is the beneficiary of the 7-2010 GRAT 5 Under Kent C McCarthy GRAT Tr Dtd 4-23-2010 (“GRAT 5”).  GRAT 5 directly owns 300,000 shares of the issuer reported on this form.  As a result, Mr. McCarthy indirectly beneficially owns 300,000 shares.  As a result of being the manager of Jayhawk Capital Management, LLC, Jayhawk Private Equity, LLC, and JHAB Management II, LLC, having indirect investment control over the shares owned by McCarthy Family SD, LLC and being the beneficiary of GRAT 6 and GRAT 5, Kent C. McCarthy indirectly beneficially owns an aggregate of 10,518,946 shares.  Each reporting person disclaims beneficial ownership of the reported securities except to the extent of such reporting person’s pecuniary interest therein.