1
|
NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (entities only)
JCF CO LF, L.P. (45-3936411)
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a) [ ]
(b) [X]
|
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
1,928,211
|
7
|
SOLE DISPOSITIVE POWER
0
|
8
|
SHARED DISPOSITIVE POWER
1,928,211
|
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,928,211 (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
2.64%*
|
12
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
PN
|
* Percent of class is based on 73,003,248 outstanding shares of common stock, par value $0.0001 per share, as reported by China Cord Blood Corporation on its Form 6-K/A filed on December 12, 2013.
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) [X]
|
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
1,928,211*
|
7
|
SOLE DISPOSITIVE POWER
0
|
8
|
SHARED DISPOSITIVE POWER
1,928,211*
|
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,928,211* (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
2.64%**
|
12
|
OO
|
* Includes 1,928,211 shares of common stock, par value $0.0001 per share, held by JCF CO LF, L.P.
** Percent of class is based on 73,003,248 outstanding shares of common stock, par value $0.0001 per share, as reported by China Cord Blood Corporation on its Form 6-K/A filed on December 12, 2013.
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) [X]
|
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
6,340,295
|
7
|
SOLE DISPOSITIVE POWER
0
|
8
|
SHARED DISPOSITIVE POWER
6,340,295
|
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
6,340,295 (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
8.68%
*
|
12
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
PN
|
* Percent of class is based on 73,003,248 outstanding shares of common stock, par value $0.0001 per share, as reported by China Cord Blood Corporation on its Form 6-K/A filed on December 12, 2013.
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) [X]
|
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
6,340,295*
|
7
|
SOLE DISPOSITIVE POWER
0
|
8
|
SHARED DISPOSITIVE POWER
6,340,295*
|
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
6,340,295* (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
8.68%
**
|
12
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
PN
|
* Includes 6,340,295 shares of common stock, par value $0.0001 per share, held by Jayhawk Private Equity Fund II, L.P.
** Percent of class is based on 73,003,248 outstanding shares of common stock, par value $0.0001 per share, as reported by China Cord Blood Corporation on its Form 6-K/A filed on December 12, 2013.
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) [X]
|
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
6,340,295*
|
7
|
SOLE DISPOSITIVE POWER
0
|
8
|
SHARED DISPOSITIVE POWER
6,340,295*
|
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
6,340,295* (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
8.68%
**
|
12
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
OO
|
* Includes 6,340,295 shares of common stock, par value $0.0001 per share, held by Jayhawk Private Equity Fund II, L.P.
** Percent of class is based on 73,003,248 outstanding shares of common stock, par value $0.0001 per share, as reported by China Cord Blood Corporation on its Form 6-K/A filed on December 12, 2013.
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) [X]
|
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
8,268,506*
|
7
|
SOLE DISPOSITIVE POWER
0
|
8
|
SHARED DISPOSITIVE POWER
8,268,506*
|
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
8,268,506* (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
11.33%**
|
12
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
IN
|
* Includes 1,928,211 shares of common stock, par value $0.0001 per share, held by JCF CO LF, L.P. and 6,340,295 shares of common stock, par value $0.0001 per share, held by Jayhawk Private Equity Fund II, L.P.
** Percent of class is based on 73,003,248 outstanding shares of common stock, par value $0.0001 per share, as reported by China Cord Blood Corporation on its Form 6-K/A filed on December 12, 2013.
The information below is as of December 31, 2013.
(a) Amount beneficially owned:
1. JCF CO LF, L.P.: 1,928,211
2. Jayhawk Capital Management, L.L.C.: 1,928,211*
3. Jayhawk Private Equity Fund II, L.P.: 6,340,295
4. Jayhawk Private Equity GP II, L.P.: 6,340,295**
5. Jayhawk Private Equity, LLC: 6,340,295**
6. Kent C. McCarthy: 8,268,506***
(b) Percent of class:
1. JCF CO LF, L.P.: 2.64%
2. Jayhawk Capital Management, L.L.C.: 2.64%
3. Jayhawk Private Equity Fund II, L.P.: 8.68%
4. Jayhawk Private Equity GP II, L.P.: 8.68%
5. Jayhawk Private Equity, LLC: 8.68%
6. Kent C. McCarthy: 11.33%
Percent of class is based on 73,003,248 outstanding shares of common stock, par value $0.0001 per share, as reported by China Cord Blood Corporation on its Form 6-K/A filed on December 12, 2013.
(c) Number of shares as to which the person has:
(i) Sole power to vote or to direct the vote:
1. JCF CO LF, L.P.: 0
2. Jayhawk Capital Management, L.L.C.: 0
3. Jayhawk Private Equity Fund II, L.P.: 0
4. Jayhawk Private Equity GP II, L.P.: 0
5. Jayhawk Private Equity, LLC: 0
6. Kent C. McCarthy: 0
(ii) Shared power to vote or direct the vote:
1. JCF CO LF, L.P.: 1,928,211
2. Jayhawk Capital Management, L.L.C.: 1,928,211*
3. Jayhawk Private Equity Fund II, L.P.: 6,340,295
4. Jayhawk Private Equity GP II, L.P.: 6,340,295**
5. Jayhawk Private Equity, LLC: 6,340,295**
6. Kent C. McCarthy: 8,268,506***
(iii) Sole power to dispose or to direct the disposition of:
1. JCF CO LF, L.P.: 0
2. Jayhawk Capital Management, L.L.C.: 0
3. Jayhawk Private Equity Fund II, L.P.: 0
4. Jayhawk Private Equity GP II, L.P.: 0
5. Jayhawk Private Equity, LLC: 0
6. Kent C. McCarthy: 0
(iv) Shared power to dispose or to direct the disposition of:
1. JCF CO LF, L.P.: 1,928,211
2. Jayhawk Capital Management, L.L.C.: 1,928,211*
3. Jayhawk Private Equity Fund II, L.P.: 6,340,295
4. Jayhawk Private Equity GP II, L.P.: 6,340,295**
5. Jayhawk Private Equity, LLC: 6,340,295**
6. Kent C. McCarthy: 8,268,506***
*Includes 1,928,211 shares of common stock, par value $0.0001 per share held by JCF CO LF, L.P.
**Includes 6,340,295 shares of common stock, par value $0.0001 per share held by Jayhawk Private Equity Fund II, L.P.
***Includes 1,928,211 shares of common stock, par value $0.0001 per share, held by JCF CO LF, L.P. and 6,340,295 shares of common stock, par value $0.0001 per share, held by Jayhawk Private Equity Fund II, L.P.
By signing below each party certifies that, to the best of its knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, the parties below certify that the information set forth in this statement is true, complete and correct.