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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Brooke Corp (MM) | NASDAQ:BXXX | NASDAQ | Common Stock |
Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
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0.00 | 0.00% | 0.1511 | 0 | 01:00:00 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934* Brooke Corporation -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, par value $0.01 per share -------------------------------------------------------------------------------- (Title of Class of Securities) 112502109 -------------------------------------------------------------------------------- (CUSIP Number) December 31, 2007 -------------------------------------------------------------------------------- (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) [X] 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. 112502109 ------------------------------------------------------------------------------------------------------------------- ----------------------- ----------------------------------------------------------------------------------------------- 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 ----------------------- -------------- -------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF SHARES BENEFICIALLY OWNED BY 0 EACH REPORTING PERSON WITH: -------------- -------------------------------------------------------------------------------- 6 SHARED VOTING POWER 1,671,918* -------------- -------------------------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER 0 -------------- -------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 1,671,918* ----------------------- ----------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,671,918* (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 9.9%** ----------------------- ----------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) IN ----------------------- ----------------------------------------------------------------------------------------------- * Includes (a) 1,371,918 shares of common stock; and (b) warrants to purchase 300,000 shares of common stock that are exercisable within 60 days of filing this report. ** Based on 14,219,221 shares of common stock outstanding as reported by Brooke Corporation on its Form 10-Q filed with the Securities and Exchange Commission on November 7, 2007. The terms of the warrants limit Jayhawk Institutional Partners, L.P. from exercising warrants that would cause its ownership of common stock to exceed 9.99%.
------------------------------------------------------------------------------------------------------------------- CUSIP No. 112502109 ------------------------------------------------------------------------------------------------------------------- ----------------------- ----------------------------------------------------------------------------------------------- 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 ----------------------- -------------- -------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF SHARES BENEFICIALLY OWNED BY 0 EACH REPORTING PERSON WITH: -------------- -------------------------------------------------------------------------------- 6 SHARED VOTING POWER 1,671,918* -------------- -------------------------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER 0 -------------- -------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 1,671,918* ----------------------- ----------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,671,918* (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 9.9%** ----------------------- ----------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) IA ----------------------- ----------------------------------------------------------------------------------------------- * Includes (a) 1,371,918 shares of common stock; and (b) warrants to purchase 300,000 shares of common stock that are exercisable within 60 days of filing this report. ** Based on 14,219,221 shares of common stock outstanding as reported by Brooke Corporation on its Form 10-Q filed with the Securities and Exchange Commission on November 7, 2007. The terms of the warrants limit Jayhawk Institutional Partners, L.P. from exercising warrants that would cause its ownership of common stock to exceed 9.99%.
------------------------------------------------------------------------------------------------------------------- CUSIP No. 112502109 ------------------------------------------------------------------------------------------------------------------- ----------------------- ----------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (entities only) Jayhawk Institutional Partners, L.P. (48-1172611) ----------------------- ----------------------------------------------------------------------------------------------- 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 ----------------------- -------------- -------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF SHARES BENEFICIALLY OWNED BY 0 EACH REPORTING PERSON WITH: -------------- -------------------------------------------------------------------------------- 6 SHARED VOTING POWER 1,671,918* -------------- -------------------------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER 0 -------------- -------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 1,671,918* ----------------------- ----------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,671,918* (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 9.9%** ----------------------- ----------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) PN ----------------------- ----------------------------------------------------------------------------------------------- * Includes (a) 1,371,918 shares of common stock; and (b) warrants to purchase 300,000 shares of common stock that are exercisable within 60 days of filing this report. ** Based on 14,219,221 shares of common stock outstanding as reported by Brooke Corporation on its Form 10-Q filed with the Securities and Exchange Commission on November 7, 2007. The terms of the warrants limit Jayhawk Institutional Partners, L.P. from exercising warrants that would cause its ownership of common stock to exceed 9.99%.
Item 4 Ownership: I. The information below is as of the date of this filing: (a) Amount beneficially owned: 1. Jayhawk Institutional Partners, L.P.: 1,671,918 * 2. Jayhawk Capital Management, L.L.C.: 1,671,918 * 3. Kent McCarthy: 1,671,918 * (b) Percent of Class: 1. Jayhawk Institutional Partners, L.P.: 9.99% ** 2. Jayhawk Capital Management, L.L.C.: 9.99% ** 3. Kent McCarthy: 9.99% ** (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote: 1 Jayhawk Institutional Partners, L.P.: 0 2. Jayhawk Capital Management, L.L.C.: 0 3. Kent McCarthy: 0 (ii) Shared power to vote or to direct the vote: 1. Jayhawk Institutional Partners, L.P.: 1,671,918 * 2. Jayhawk Capital Management, L.L.C.: 1,671,918 * 3. Kent McCarthy: 1,671,918 * (iii) Sole power to dispose or to direct the disposition of: 1. Jayhawk Institutional Partners, L.P.: 0 2. Jayhawk Capital Management, .L.C.: 0 3. Kent McCarthy: 0 (iv) Sole power to dispose or to direct the disposition of: 1. Jayhawk Institutional Partners, L.P.: 1,671,918 * 2. Jayhawk Capital Management, L.L.C.: 1,671,918 * 3. Kent McCarthy: 1,671,918 * * Includes 1,371,918 shares of common stock and 300,000 warrants that are exercisable within 60 days of filing this report. ** Based on 14,219,221 shares of common stock outstanding as reported by Brooke Corporation on its Form 10-Q filed with the Securities and Exchange Commission on November 7, 2007. The terms of the warrants limit Jayhawk Institutional Partners, L.P. from exercising warrants that would cause its ownership of common stock to exceed 9.99%. II. The information below is as of December 31, 2007: (a) Amount beneficially owned: 1. Jayhawk Institutional Partners, L.P.: 1,362,433 *** 2. Jayhawk Capital Management, L.L.C.: 1,362,433 *** 3. Kent McCarthy: 1,362,433 ***
(b) Percent of Class: 1. Jayhawk Institutional Partners, L.P.: 9.58% **** 2. Jayhawk Capital Management, L.L.C.: 9.58% **** 3. Kent McCarthy: 9.58% **** (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote: 1. Jayhawk Institutional Partners, L.P.: 0 2. Jayhawk Capital Management, L.L.C.: 0 3. Kent McCarthy: 0 (ii) Shared power to vote or to direct the vote: 1. Jayhawk Institutional Partners, L.P.: 1,362,433 *** 2. Jayhawk Capital Management, L.L.C.: 1,362,433 *** 3. Kent McCarthy: 1,362,433 *** (iii) Sole power to dispose or to direct the disposition of: 1. Jayhawk Institutional Partners, L.P.: 0 2. Jayhawk Capital Management, L.L.C.: 0 3. Kent McCarthy: 0 (iv) Sole power to dispose or to direct the disposition of: 1. Jayhawk Institutional Partners, L.P.: 1,362,433 *** 2. Jayhawk Capital Management, L.L.C.: 1,362,433 *** 3. Kent McCarthy: 1,362,433 *** *** Includes 1,062,433 shares of common stock and 300,000 warrants that are exercisable within 60 days of filing this report. **** Based on 14,219,221 shares of common stock outstanding as reported by Brooke Corporation on its Form 10-Q filed with the Securities and Exchange Commission on November 7, 2007. Item 10 Certification: By signing below I certify that, to the best of my 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, I certify that the information set forth in this statement is true, complete and correct. Dated: March 18, 2008 /s/ Kent C. McCarthy ------------------------------------------- Kent C. McCarthy Jayhawk Capital Management, L.L.C. /s/ Kent C. McCarthy ------------------------------------------- By: Kent C. McCarthy Title: Managing Member Jayhawk Institutional Partners, L.P. By: Jayhawk Capital Management, L.L.C., Its general partner /s/ Kent C. McCarthy ------------------------------------ By: Kent McCarthy Title: Managing Member
Exhibit A AGREEMENT REGARDING THE JOINT FILING OF SCHEDULE 13G 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 (including amendments thereto) with respect to the Common Stock, par value $0.01 per share, of Brooke 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 18th day of March, 2008. /s/ Kent C. McCarthy ------------------------------------------- Kent C. McCarthy Jayhawk Capital Management, L.L.C. /s/ Kent C. McCarthy ------------------------------------------- By: Kent C. McCarthy Title: Managing Member Jayhawk Institutional Partners, L.P. By: Jayhawk Capital Management, L.L.C., Its general partner /s/ Kent C. McCarthy ------------------------------------ By: Kent McCarthy Title: Managing Member
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