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 |
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1. Name and Address of Reporting Person*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 02/06/2018 | 3. Issuer Name and Ticker or Trading Symbol Cord Blood America, Inc. [ CBAI ] | |||||||||||||
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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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) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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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 |
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: |
This statement is jointly filed by Cryobank Holdings LLC ("CCB Holdings"), California Cryobank LLC ("CCB") and California Cryobank Stem Cell Services LLC ("FamilyCord" and together with CCB Holdings and CCB, the "Reporting Persons"). On February 6, 2018, Cord Blood America, Inc. (the "Issuer"), FamilyCord and certain shareholders of the Issuer entered into a voting agreement, pursuant to which, among other things, such shareholders granted to FamilyCord an irrevocable voting proxy (the "Proxy") with respect to the 381,052,632 shares of the Issuer's common stock beneficially owned by such shareholders (such shares, collectively, the "Covered Shares"). As a result of the Proxy, the Reporting Persons share voting power with respect to the Covered Shares, but none of the Reporting Persons has, solely or together with each other or with others, investment power with respect to, or pecuniary interest in, any of the Covered Shares. Neither the filing of this statement nor any of its content shall be deemed an admission by any Reporting Person that it is the beneficial owner of any of any equity securities covered by this statement for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose, and each Reporting Person expressly disclaims beneficial ownership of all such securities. |
No securities are beneficially owned. |
/s/ Richard Jennings | 02/16/2018 | |
/s/ Richard Jennings | 02/16/2018 | |
/s/ Richard Jennings | 02/16/2018 | |
** 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. |