SEC Form 4 · accession 0001072613-18-000200
CHINA FUND INC · CHN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
CITY OF LONDON INVESTMENT GROUP PLC
10% Owner
Julian Reid
10% Owner
Richard Silver
10% Owner
Period of report
Mar 8, 2018
Accepted (ET)
Mar 9, 2018 · 4:08 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000845379
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $.01 per shareF1,F8 | Mar 8, 2018 | P | 20,000 | $22.35 | A | 193,425 | I | By: Emerging Free Markets Country Fund |
| Common Stock, par value $.01 per shareF1,F2 | holding | — | — | — | 308,857 | I | By: Emerging (BMI) Markets Country Fund | |
| Common Stock, par value $.01 per shareF1,F3 | holding | — | — | — | 116,563 | I | By: Emerging Markets Free Fund | |
| Common Stock, par value $.01 per shareF1,F4 | holding | — | — | — | 250,030 | I | By: Emerging Markets Global Fund | |
| Common Stock, par value $.01 per shareF1,F5 | holding | — | — | — | 172,029 | I | By: Emerging Markets Investable Fund | |
| Common Stock, par value $.01 per shareF1,F6 | holding | — | — | — | 409,090 | I | By: Global Emerging Markets Fund | |
| Common Stock, par value $.01 per shareF1,F7 | holding | — | — | — | 168,067 | I | By: The Emerging World Fund | |
| Common Stock, par value $.01 per shareF1,F9 | holding | — | — | — | 305,041 | I | By: Emerging Markets Country Fund | |
| Common Stock, par value $.01 per shareF1,F10 | holding | — | — | — | 46,658 | I | By: Investable Emerging Markets Country Fund | |
| Common Stock, par value $.01 per shareF1,F11 | holding | — | — | — | 42,096 | I | By: The EM Plus CEF Fund | |
| Common Stock, par value $.01 per shareF1,F12 | holding | — | — | — | 11,637 | I | By: The EM Special Situations CEF Focused Fund | |
| Common Stock, par value $.01 per shareF1,F13 | holding | — | — | — | 2,305,716 | I | By: unaffiliated third-party segregated accounts |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This Form 4 is filed jointly by City of London Investment Group, PLC ("CLIG"), City of London Investment Management Company Limited ("CLIM"), Julian Reid, and Richard A. Silver (collectively, the "Reporting Persons"). Each of the Reporting Persons is a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of the Issuer.
- F10These securities are beneficially owned by Investable Emerging Markets Country Fund.
- F11These securities are beneficially owned by The EM Plus CEF Fund.
- F12These securities are beneficially owned by EM Special Situations CEF Focused Fund.
- F13These securities are beneficially owned by unaffiliated third-party segregated accounts.
- F2These securities are beneficially owned by Emerging (BMI) Markets Country Fund.
- F3These securities are beneficially owned by Emerging Markets Free Fund.
- F4These securities are beneficially owned by Emerging Markets Global Fund.
- F5These securities are beneficially owned by Emerging Markets Investable Fund.
- F6These securities are beneficially owned by Global Emerging Markets Fund.
- F7These securities are beneficially owned by The Emerging World Fund.
- F8These securities are beneficially owned by Emerging Free Markets Country Fund.
- F9These securities are beneficially owned by Emerging Markets Country Fund.