Insider filing report for Changes in Beneficial Ownership
- Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
- Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
"Insiders might sell their shares for any number of reasons, but they buy them for only one: they think the price will rise"
- Peter Lynch
What is insider trading>>
- Peter Lynch
What is insider trading>>
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G/A
Amendment No. 15
Under the Securities Exchange Act of 1934*
|
Global Cord Blood Corporation
|
|
(Name of Issuer)
|
|
Common Stock, par value $0.0001 per share
|
|
(Title of Class of Securities)
|
|
G39342103
|
|
(CUSIP Number)
|
|
December 31, 2019
|
|
(Date of Event Which Requires Filing of this Statement)
|
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
☐ Rule 13d-1(b)
☒ Rule 13d-1(c)
☐ Rule 13d-1(d)
*The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing
information which would alter the disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 (the "Act") or otherwise subject to
the liabilities of that section of the Act, but shall be subject to all other provisions of the Act (however, see the Notes).
| CUSIP No. |
G39342103
|
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
||
|
JHMS Fund, LLC
|
|
|
|||
|
|
|
||||
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
||||
|
(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
|
|
|
||
|
11,973,786*
|
|
|
|||
|
|
|
||||
|
7
|
SOLE DISPOSITIVE POWER
|
|
|
||
|
0
|
|
|
|||
|
|
|
||||
|
8
|
SHARED DISPOSITIVE POWER
|
|
|
||
|
11,973,786*
|
|
|
|||
|
|
|
||||
|
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
|
11,973,786* (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)
|
|
|
||
|
9.85%**
|
|
|
|||
|
|
|
||||
|
12
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
||
|
OO
|
|
|
|||
|
|
|
||||
* Includes 11,973,786 shares of common stock, par value $0.0001 per share held by JHMS Management, LLC and Jayhawk Capital Management, L.L.C.
** Percent of class is based on 121,551,075 outstanding shares of common stock, par value $0.0001 per share as of September 30, 2019 as reported by Global Cord Blood Corporation on its Form 6-K filed
on November 26, 2019.
1
| CUSIP No. |
G39342103
|
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
||
|
JHMS Management, LLC
|
|
|
|||
|
|
|
||||
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
||||
|
(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
|
|
|
||
|
11,973,786*
|
|
|
|||
|
|
|
||||
|
7
|
SOLE DISPOSITIVE POWER
|
|
|
||
|
0
|
|
|
|||
|
|
|
||||
|
8
|
SHARED DISPOSITIVE POWER
|
|
|
||
|
11,973,786*
|
|
|
|||
|
|
|
||||
|
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
|
11,973,786* (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)
|
|
|
||
|
9.85%**
|
|
|
|||
|
|
|
||||
|
12
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
||
|
OO
|
|
|
|||
|
|
|
||||
* Includes 11,973,786 shares of common stock, par value $0.0001 per share held by JHMS Fund, LLC and Jayhawk Capital Management, L.L.C.
** Percent of class is based on 121,551,075 outstanding shares of common stock, par value $0.0001 per share as of September 30, 2019 as reported by Global Cord Blood Corporation on its Form 6-K filed
on November 26, 2019.
2
| CUSIP No. |
G39342103
|
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
||
|
Jayhawk Capital Management, L.L.C.
|
|
|
|||
|
|
|
||||
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
||||
|
(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
|
|
|
||
|
11,973,786*
|
|
|
|||
|
|
|
||||
|
7
|
SOLE DISPOSITIVE POWER
|
|
|
||
|
0
|
|
|
|||
|
|
|
||||
|
8
|
SHARED DISPOSITIVE POWER
|
|
|
||
|
11,973,786*
|
|
|
|||
|
|
|
||||
|
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
|
11,973,786* (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)
|
|
|
||
|
9.85%**
|
|
|
|||
|
|
|
||||
|
12
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
||
|
OO
|
|
|
|||
|
|
|
||||
* Includes 11,973,786 shares of common stock, par value $0.0001 per share held by JHMS Fund, LLC and JHMS Management, LLC.
** Percent of class is based on 121,551,075 outstanding shares of common stock, par value $0.0001 per share as of September 30, 2019 as reported by Global Cord Blood Corporation on its Form 6-K filed
on November 26, 2019.
3
| CUSIP No. |
G39342103
|
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
||
|
Jayhawk Private Equity Fund II, L.P.
|
|
|
|||
|
|
|
||||
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
||||
|
(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
|
|
|
||
|
0*
|
|
|
|||
|
|
|
||||
|
7
|
SOLE DISPOSITIVE POWER
|
|
|
||
|
0
|
|
|
|||
|
|
|
||||
|
8
|
SHARED DISPOSITIVE POWER
|
|
|
||
|
0*
|
|
|
|||
|
|
|
||||
|
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
|
0* (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)
|
|
|
||
|
0.00%**
|
|
|
|||
|
|
|
||||
|
12
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
||
|
PN
|
|
|
|||
|
|
|
||||
* Includes 0 shares of common stock, par value $0.0001 per share, held by Jayhawk Private Equity GP II, L.P. and Jayhawk Private Equity, LLC.
** Percent of class is based on 121,551,075 outstanding shares of common stock, par value $0.0001 per share as of September 30, 2019 as reported by Global Cord Blood Corporation on its Form 6-K filed
on November 26, 2019.
4
| CUSIP No. |
G39342103
|
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
||
|
Jayhawk Private Equity GP II, L.P.
|
|
|
|||
|
|
|
||||
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
||||
|
(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
|
|
|
||
|
0*
|
|
|
|||
|
|
|
||||
|
7
|
SOLE DISPOSITIVE POWER
|
|
|
||
|
0
|
|
|
|||
|
|
|
||||
|
8
|
SHARED DISPOSITIVE POWER
|
|
|
||
|
0*
|
|
|
|||
|
|
|
||||
|
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
|
0* (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)
|
|
|
||
|
0.00%**
|
|
|
|||
|
|
|
||||
|
12
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
||
|
PN
|
|
|
|||
|
|
|
||||
* Includes 0 shares of common stock, par value $0.0001 per share, held by Jayhawk Private Equity Fund II, L.P. and Jayhawk Private Equity, LLC.
** Percent of class is based on 121,551,075 outstanding shares of common stock, par value $0.0001 per share as of September 30, 2019 as reported by Global Cord Blood Corporation on its Form 6-K filed
on November 26, 2019.
5
| CUSIP No. |
G39342103
|
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
||
|
Jayhawk Private Equity, LLC
|
|
|
|||
|
|
|
||||
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
||||
|
(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
|
|
|
||
|
0*
|
|
|
|||
|
|
|
||||
|
7
|
SOLE DISPOSITIVE POWER
|
|
|
||
|
0
|
|
|
|||
|
|
|
||||
|
8
|
SHARED DISPOSITIVE POWER
|
|
|
||
|
0*
|
|
|
|||
|
|
|
||||
|
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
|
0* (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)
|
|
|
||
|
0.00%**
|
|
|
|||
|
|
|
||||
|
12
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
||
|
OO
|
|
|
|||
|
|
|
||||
* Includes 0 shares of common stock, par value $0.0001 per share, held by Jayhawk Private Equity Fund II, L.P. and Jayhawk Private Equity GP II, L.P.
** Percent of class is based on 121,551,075 outstanding shares of common stock, par value $0.0001 per share as of September 30, 2019 as reported by Global Cord Blood Corporation on its Form 6-K filed
on November 26, 2019.
6
| CUSIP No. |
G39342103
|
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
||
|
Kent C McCarthy Revocable Trust dated October 24, 2003
|
|
|
|||
|
|
|
||||
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
||||
|
(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
|
|
|
||
|
0
|
|
|
|||
|
|
|
||||
|
7
|
SOLE DISPOSITIVE POWER
|
|
|
||
|
0
|
|
|
|||
|
|
|
||||
|
8
|
SHARED DISPOSITIVE POWER
|
|
|
||
|
0
|
|
|
|||
|
|
|
||||
|
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
|
0 (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)
|
|
|
||
|
0.00%*
|
|
|
|||
|
|
|
||||
|
12
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
||
|
OO
|
|
|
|||
|
|
|
||||
* Percent of class is based on 121,551,075 outstanding shares of common stock, par value $0.0001 per share as of September 30, 2019 as reported by Global Cord Blood Corporation on its Form 6-K filed
on November 26, 2019.
7
CUSIP No. G39342103
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
||
|
Kent C. McCarthy
|
|
|
|||
|
|
|
||||
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
||||
|
(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
|
|
|
||
|
11,973,786*
|
|
|
|||
|
|
|
||||
|
7
|
SOLE DISPOSITIVE POWER
|
|
|
||
|
0
|
|
|
|||
|
|
|
||||
|
8
|
SHARED DISPOSITIVE POWER
|
|
|
||
|
11,973,786*
|
|
|
|||
|
|
|
||||
|
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
|
11,973,786* (see Item 4)
|
|
|
|||
|
|
|
||||
|
10
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
|
||
|
☐
Not Applicable
|
|
|
|||
|
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11
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
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9.85%**
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12
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
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IN
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*Includes 0 shares of common stock, par value $0.0001 per share, held by Jayhawk Private Equity Fund II, L.P., 11,973,786 shares of common stock, par value $0.0001 per share, held by JHMS Fund, LLC,
and 0 shares of common stock, par value $0.0001 per share, held by the Kent C. McCarthy Revocable Trust dated October 24, 2003.
** Percent of class is based on 121,551,075 outstanding shares of common stock, par value $0.0001 per share as of September 30, 2019 as reported by Global Cord Blood Corporation on its Form 6-K filed
on November 26, 2019.
8
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Item 2(a)
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Name of Person Filing:
|
This Schedule 13G/A is being jointly filed by Kent C. McCarthy (“Mr. McCarthy”), JHMS Fund, LLC a Delaware limited liability company (“JHMS Fund”), JHMS Management, LLC, a Delaware limited liability company (“JHMS
Management”), Jayhawk Capital Management, L.L.C., a Delaware limited liability company (“JCM”), Jayhawk Private Equity, LLC, a Delaware limited liability company (“JPE”), Jayhawk Private Equity GP II, L.P., a Delaware limited partnership (“JPEGP”),
Jayhawk Private Equity Fund II, L.P., a Delaware limited Partnership (“JPEF”), the Kent C. McCarthy Revocable Trust dated October 24, 2003 created under the laws of the state of Kansas (the “Revocable Trust”).
Mr. McCarthy, JHMS Fund, JHMS Management, JCM, JPE, JPEGP, JPEF, and the Revocable Trust have entered into an Agreement Regarding Joint Filing of 13G (the “Agreement”) pursuant to which Mr. McCarthy, JHMS Fund, JHMS
Management, JCM, JPE, JPEGP, JPEF, and the Revocable Trust have agreed to file this 13G jointly and in accordance with the provisions of Rule 13d-1(k)(1) of the Securities Exchange Act of 1934 as amended (the “Act”). A copy of the Agreement is
attached hereto as Exhibit A.
|
Item 2(b)
|
Address of Principal Business Office or, if None, Residence:
|
13021 W 74th St, Shawnee, KS 66216
| Item 2(c) |
Citizenship:
|
Mr. McCarthy is a citizen of the United States of America, JHMS Fund is a Delaware limited liability company, JHMS Management is a Delaware limited liability company, JCM is a Delaware limited liability company, JPE
is a Delaware limited liability company, JPEGP is a Delaware limited partnership, JPEF is a Delaware limited partnership, and the Revocable Trust is a trust created under the laws of the state of Kan
sas.
| Item 4 |
Ownership:
|
The information below is as of December 31, 2019.
(a) Amount beneficially owned:
1. JHMS Fund, LLC: 11,973,786*
2. JHMS Management, LLC: 11,973,786*
3. Jayhawk Capital Management, L.L.C.: 11,973,786*
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: 11,973,786***
* Includes 11,973,786 shares of common stock, par value $0.0001 per share, and 100,000 derivative call rights held by JHMS Management, LLC and Jayhawk Capital Management, L.L.C., and exercisable
within 60 days of this report.
** Includes 0 shares of common stock, par value $0.0001 per share, held by Jayhawk Private Equity Fund II, LLC, Jayhawk Private Equity GP II, L.P. and Jayhawk Private Equity, LLC
*** Includes 0 shares of common stock, par value $0.0001 per share, held by Jayhawk Private Equity Fund II, L.P., Jayhawk Private Equity GP II, L.P. and Jayhawk Private Equity, LLC; 11,973,786 shares
of common stock, par value $0.0001 per share, held by JHMS Fund, LLC, JHMS Management, LLC and Jayhawk Capital Management, LLC; and 0 shares of common stock, par value $0.0001 per share, held by the Kent C. McCarthy Revocable Trust dated October
24, 2003.
(b) Percent of class:
1. JHMS Fund, LLC: 9.85%
2. JHMS Management, LLC: 9.85%
3. Jayhawk Capital Management, L.L.C.: 9.85%
4. Jayhawk Private Equity Fund II, L.P.: 0.00%
5. Jayhawk Private Equity GP II, L.P.: 0.00%
6. Jayhawk Private Equity, LLC: 0.00%
7. Kent C McCarthy Revocable Trust dated October 24, 2003: 0.00%
8. Kent C. McCarthy: 9.85%
Percent of class is based on 121,551,075 outstanding shares of common stock, par value $0.0001 per share as of September 30, 2019 as reported by Global Cord Blood Corporation on its Form 6-K filed on
November 26, 2019.
9
(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: 11,973,786*
2. JHMS Management, LLC: 11,973,786*
3. Jayhawk Capital Management, L.L.C.: 11,973,786*
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: 11,973,786***
(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
(iv) Shared power to dispose or to direct the disposition of:
1. JHMS Fund, LLC: 11,973,786*
2. JHMS Management, LLC: 11,973,786*
3. Jayhawk Capital Management, L.L.C.: 11,973,786*
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: 11,973,786***
* Includes 11,973,786 shares of common stock, par value $0.0001 per share held by JHMS Fund, LLC, JHMS Management, LLC and Jayhawk Capital Management, L.L.C.
** Includes 0 shares of common stock, par value $0.0001 per share, held by Jayhawk Private Equity Fund II, LLC, Jayhawk Private Equity GP II, L.P. and Jayhawk Private Equity, LLC
*** Includes 0 shares of common stock, par value $0.0001 per share, held by Jayhawk Private Equity Fund II, L.P., Jayhawk Private Equity GP II, L.P. and Jayhawk Private Equity, LLC; 11,973,786 shares
of common stock, par value $0.0001 per share, held by JHMS Fund, LLC, JHMS Management, LLC and Jayhawk Capital Management, LLC; and 0 shares of common stock, par value $0.0001 per share, held by the Kent C. McCarthy Revocable Trust dated October
24, 2003.
| Item 5 |
Ownership of Five Percent or Less of a Class:
|
If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five
percent of the class of securities, check the following box ☒.
The following reporting persons have ceased to be the beneficial owners of more than five percent of the class of securities as of the date hereof: Jayhawk
Private Equity Fund II, L.P., Jayhawk Private Equity GP II, L.P., Jayhawk Private Equity, LLC, and Kent C McCarthy Revocable Trust dated October 24, 2003.
10
The following reporting persons are the beneficial owners of more than five percent of the class of securities as of the date hereof and the
box checked for this Item 5 does not apply these reporting persons: JHMS Fund, LLC, JHMS Management, LLC, Jayhawk Capital Management, L.L.C., and Kent C. McCarthy.
| Item 10 |
Certification:
|
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.
| Dated: |
February 13, 2020
|
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/s/ Kent C. McCarthy
|
||||
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Kent C. McCarthy
|
||||
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JHMS Fund, LLC
|
||||
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By: JHMS Management, LLC
|
||||
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its Manager
|
||||
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/s/ Michael D. Schmitz
|
||||
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Name: Michael D. Schmitz
|
||||
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Title: Manager
|
||||
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JHMS Management, LLC
|
||||
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By:
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/s/ Michael D. Schmitz
|
|||
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Name: Michael D. Schmitz
|
||||
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Title: Manager
|
||||
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Jayhawk Capital Management, LLC
|
||||
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By:
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/s/ Kent C. McCarthy
|
|||
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Name: Kent C. McCarthy
|
||||
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Title: Manager
|
||||
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Jayhawk Private Equity Fund II, L.P.
|
||||
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By:
|
Jayhawk Private Equity GP II, L.P.
|
|||
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Its general partner
|
||||
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By: Jayhawk Private Equity, LLC
|
||||
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Its general partner
|
||||
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By:
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/s/ Kent C. McCarthy
|
|||
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Name: Kent C. McCarthy
|
||||
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Title: Manager
|
||||
11
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Jayhawk Private Equity GP II, L.P.
|
||||
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By:
|
Jayhawk Private Equity, LLC
|
|||
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Its general partner
|
||||
|
By:
|
/s/ Kent C. McCarthy
|
|||
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Name: Kent C. McCarthy
|
||||
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Title: Manager
|
||||
|
Jayhawk Private Equity, LLC
|
||||
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By:
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/s/ Kent C. McCarthy
|
|||
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Name: Kent C. McCarthy
|
||||
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Title: Manager
|
||||
|
Kent C. McCarthy Revocable Trust dated October 24, 2003
|
||||
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By:
|
/s/ Kent C. McCarthy
|
|||
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Name: Kent C. McCarthy
|
||||
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Title: Trustee
|
||||
12
Exhibit A
AGREEMENT REGARDING THE JOINT FILING OF SCHEDULE 13G/A
In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, the undersigned agree to the joint filing on behalf of each of them of a statement on
Schedule 13G/A (including amendments thereto) with respect to the Common Stock, par value $0.0001 per share, of Global Cord Blood Corporation, and further agree that this Agreement be included as an exhibit to such filings.
In evidence whereof, the undersigned have caused this Agreement to be executed on their behalf this 13th day of February, 2020.
|
/s/ Kent C. McCarthy
|
||||
|
Kent C. McCarthy
|
||||
|
JHMS Fund, LLC
|
||||
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By: JHMS Management, LLC
|
||||
|
its Manager
|
||||
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/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
|
||||
|
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
|
||||
13
|
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
|
|||
14