SEC FORM
4
SEC Form 4
FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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OMB APPROVAL |
OMB Number: |
3235-0287 |
Estimated average burden |
hours per response: |
0.5 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
China Cord Blood Corp
[ CNDZF ]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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Director |
X |
10% Owner |
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Officer (give title below) |
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Other (specify below) |
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3. Date of Earliest Transaction
(Month/Day/Year) 12/29/2009
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4. If Amendment, Date of Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Form filed by One Reporting Person |
X |
Form filed by More than One Reporting Person |
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
1. Title of Security (Instr.
3)
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2. Transaction Date
(Month/Day/Year) |
2A. Deemed Execution Date, if any
(Month/Day/Year) |
3. Transaction Code (Instr.
8)
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4. Securities Acquired (A) or Disposed Of (D) (Instr.
3, 4 and 5)
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5.
Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr.
3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
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7. Nature of Indirect Beneficial Ownership (Instr.
4)
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Code |
V |
Amount |
(A) or (D) |
Price |
Common Stock, par value $0.0001 per share |
12/29/2009 |
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P |
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2,450 |
A |
$5.9377
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3,383,801 |
I |
See Footnote
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Common Stock, par value $0.0001 per share |
12/29/2009 |
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P |
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2,450 |
A |
$5.9377
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3,386,251 |
I |
See Footnote
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Common Stock, par value $0.0001 per share |
12/30/2009 |
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P |
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25,000 |
A |
$6.0693
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3,411,251 |
I |
See Footnote
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Common Stock, par value $0.0001 per share |
12/30/2009 |
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P |
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31,425 |
A |
$6.1125
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3,442,676 |
I |
See Footnote
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Common Stock, par value $0.0001 per share |
12/30/2009 |
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P |
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20,650 |
A |
$6.0569
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3,463,326 |
I |
See Footnote
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Common Stock, par value $0.0001 per share |
12/30/2009 |
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P |
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7,470 |
A |
$6.2015
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3,470,796 |
I |
See Footnote
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Common Stock, par value $0.0001 per share |
12/30/2009 |
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P |
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25,000 |
A |
$6.0693
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3,495,796 |
I |
See Footnote
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Common Stock, par value $0.0001 per share |
12/30/2009 |
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P |
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31,425 |
A |
$6.1125
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3,527,221 |
I |
See Footnote
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Common Stock, par value $0.0001 per share |
12/30/2009 |
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P |
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20,651 |
A |
$6.0569
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3,547,872 |
I |
See Footnote
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Common Stock, par value $0.0001 per share |
12/30/2009 |
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P |
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7,470 |
A |
$6.2015
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3,555,342 |
I |
See Footnote
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Common Stock, par value $0.0001 per share |
12/31/2009 |
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P |
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9,850 |
A |
$6.4865
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3,565,192 |
I |
See Footnote
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Common Stock, par value $0.0001 per share |
12/31/2009 |
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P |
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55,000 |
A |
$6.15
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3,620,192 |
I |
See Footnote
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Common Stock, par value $0.0001 per share |
12/31/2009 |
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P |
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20,125 |
A |
$6.15
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3,640,317 |
I |
See Footnote
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Common Stock, par value $0.0001 per share |
12/31/2009 |
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P |
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9,850 |
A |
$6.4865
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3,650,167 |
I |
See Footnote
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Common Stock, par value $0.0001 per share |
12/31/2009 |
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P |
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55,000 |
A |
$6.15
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3,705,167 |
I |
See Footnote
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Common Stock, par value $0.0001 per share |
12/31/2009 |
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P |
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20,125 |
A |
$6.15
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3,725,292 |
I |
See Footnote
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivative Security (Instr.
3)
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2. Conversion or Exercise Price of Derivative Security
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3. Transaction Date
(Month/Day/Year) |
3A. Deemed Execution Date, if any
(Month/Day/Year) |
4. Transaction Code (Instr.
8)
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5.
Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr.
3, 4 and 5)
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6. Date Exercisable and Expiration Date
(Month/Day/Year) |
7. Title and Amount of Securities Underlying Derivative Security (Instr.
3 and 4)
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8. Price of Derivative Security (Instr.
5)
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9.
Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr.
4)
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10. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
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11. Nature of Indirect Beneficial Ownership (Instr.
4)
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Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Warrants |
$5
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12/30/2009 |
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P |
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39,500 |
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12/30/2009 |
12/15/2010 |
Common Stock |
39,500 |
$1.4796
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7,738,217 |
I |
See Footnote
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Warrants |
$5
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12/31/2009 |
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P |
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65,100 |
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12/31/2009 |
12/15/2010 |
Common Stock |
65,100 |
$1.7132
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7,803,317 |
I |
See Footnote
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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Explanation of Responses: |
Remarks: |
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/s/ Kent C. McCarthy |
12/31/2009 |
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/s/ Kent C. McCarthy, Manager of Jayhawk Private Equity, LLC |
12/31/2009 |
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/s/ Kent C. McCarthy, Manager of Jayhawk Private Equity, LLC, which is the general partner of Jayhawk Private Equity GP II, L.P. |
12/31/2009 |
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/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. |
12/31/2009 |
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** 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
4
(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
EX-99.1
Explanation
of Responses to Table I, Item 7 and Table II, Item 11
(1) Acquired
by Jayhawk China Fund (Cayman), Ltd. Kent C. McCarthy is the manager
of Jayhawk Capital Management, LLC, which is the investment manager of Jayhawk
China Fund (Cayman), Ltd. After the last transaction reported on this
form, Jayhawk China Fund (Cayman), Ltd. directly and solely owns, in the
aggregate, 3,192,321 shares of the common stock, and 203,000 of the
warrants, of the issuer reported on this form. After the last
transaction reported on this form, Jayhawk Capital Management, LLC indirectly
beneficially owns, in the aggregate, 3,192,321 shares of the common
stock, and 203,000 of the warrants, of the issuer reported on this
form. After the last transaction reported on this form, Mr. McCarthy
indirectly beneficially owns, in the aggregate (including shares and warrants
discussed in footnote 2 below), 3,725,292 shares of the common stock,
and 7,803,317 of the warrants, of the issuer reported on this
form. Each reporting person disclaims beneficial ownership of the
reported securities except to the extent of such reporting person's pecuniary
interest therein.
(2) Acquired
by Jayhawk Private Equity Fund II, L.P. 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. After the
last transaction reported on this form, Jayhawk Private Equity Fund II,
L.P. directly and solely owns 532,971 shares of the common stock,
and 7,600,317 of the warrants, of the issuer reported on this
form. After the last transaction reported on this form, Jayhawk
Private Equity, LLC and Jayhawk Private Equity GP II, L.P. each indirectly
beneficially owns, in the aggregate, 532,971 shares of the common stock,
and 7,600,317 of the warrants, of the issuer reported on this
form. After the last transaction reported on this form, Mr.
McCarthy indirectly beneficially owns, in the aggregate (including the shares
and warrants discussed in footnote 1 above), 3,725,292 shares of the common
stock, and 7,803,317of the warrants, of the issuer reported on this
form. Each reporting person disclaims beneficial ownership of the
reported securities except to the extent of such reporting person's pecuniary
interest therein.