SEC FORM
3
SEC Form 3
| FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
|
| OMB APPROVAL |
| OMB Number: |
3235-0104 |
| Estimated average burden |
| hours per response: |
0.5 |
|
|
1. Name and Address of Reporting Person*
(Street)
|
2. Date of Event Requiring Statement
(Month/Day/Year)
12/17/2009
|
3. Issuer Name and Ticker or Trading Symbol
China Cord Blood Corp
[ CNDZF ]
|
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
Director |
X |
10% Owner |
|
Officer (give title below) |
|
Other (specify below) |
|
|
|
5. If Amendment, Date of Original Filed
(Month/Day/Year)
|
6. Individual or Joint/Group Filing (Check Applicable Line)
|
Form filed by One Reporting Person |
| X |
Form filed by More than One Reporting Person |
|
| Table I - Non-Derivative Securities Beneficially Owned |
|---|
| 1. Title of Security (Instr.
4)
|
2.
Amount of Securities Beneficially Owned (Instr.
4)
|
3. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
|
4. Nature of Indirect Beneficial Ownership (Instr.
5)
|
| Common Stock, par value $0.0001 per share |
361,000 |
D
|
|
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
|
|---|
| 1. Title of Derivative Security (Instr.
4)
|
2. Date Exercisable and Expiration Date
(Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr.
4)
|
4. Conversion or Exercise Price of Derivative Security
|
5. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
|
6. Nature of Indirect Beneficial Ownership (Instr.
5)
|
| Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
| Warrants |
12/17/2009 |
12/15/2010 |
Common Stock, par value $0.0001 |
7,495,717 |
5 |
D
|
|
1. Name and Address of Reporting Person*
(Street)
|
1. Name and Address of Reporting Person*
(Street)
|
1. Name and Address of Reporting Person*
(Street)
|
| Explanation of Responses: |
|
| Remarks: |
|
|
/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. |
12/29/2009 |
|
/s/ Kent C. McCarthy, Manager of Jayhawk Private Equity, LLC, which is the general partner of Jayhawk Private Equity GP II, L.P. |
12/29/2009 |
|
/s/ Kent C. McCarthy, Manager of Jayhawk Private Equity, LLC |
12/29/2009 |
|
** Signature of Reporting Person |
Date |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
| * If the form is filed by more than one reporting person,
see
Instruction
5
(b)(v). |
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure. |
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |
Unassociated Document
Explanation of
Responses to Table I, Item 4 and Table II, Item 6
(1) Jayhawk Private Equity, LLC 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 and soley owns the
shares and warrants indicated in Table I and Table II. As a result,
Jayhawk Private Equity, LLC and Jayhawk Private Equity GP II, L.P. each
indirectly beneficially own the shares and warrants identified in Table I and
Table II. Each reporting person disclaims beneficial ownership of the
reported securities except to the extent of such reporting person's pecuniary
interest therein.
