Insider filing report for Changes in Beneficial Ownership
"Insiders might sell their shares for any number of reasons, but they buy them for only one: they think the price will rise"
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FORM 3
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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, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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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. |
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.