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CUSIP No. 112502109
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----------------------- -----------------------------------------------------------------------------------------------
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