SEC Form 4 · accession 0001072613-17-000489
TEMPLETON DRAGON FUND INC · TDF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
CITY OF LONDON INVESTMENT GROUP PLC
10% Owner
Period of report
Sep 25, 2017
Accepted (ET)
Sep 27, 2017 · 4:05 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000919893
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,F12,F13 | Sep 26, 2017 | S | 26,612 | $21.14 | D | 927,652 | I | As investment adviser to a private investment fund |
| Common Stock, par value $.01 per shareF4,F12,F13 | Sep 25, 2017 | S | 50,000 | $21.04 | D | 486,062 | I | As investment adviser to a private investment fund |
| Common Stock, par value $.01 per shareF7,F12,F13 | Sep 25, 2017 | S | 25,000 | $21.04 | D | 547,118 | I | As investment adviser to a private investment fund |
| Common Stock, par value $.01 per shareF8,F12,F13 | Sep 26, 2017 | S | 33,264 | $21.14 | D | 958,336 | I | As investment adviser to a private investment fund |
| Common Stock, par value $.01 per shareF11,F12,F13 | Sep 25, 2017 | S | 55,135 | $21.04 | D | 3,898,257 | I | As investment adviser to unaffiliated third-party segregated accounts |
| Common Stock, par value $.01 per shareF11,F12,F13 | Sep 26, 2017 | S | 19,959 | $21.14 | D | 3,878,298 | I | As investment adviser to unaffiliated third-party segregated accounts |
| Common Stock, par value $.01 per shareF2,F12,F13 | holding | — | — | — | 282,278 | I | As investment adviser to a private investment fund | |
| Common Stock, par value $.01 per shareF3,F12,F13 | holding | — | — | — | 820,177 | I | As investment adviser to a private investment fund | |
| Common Stock, par value $.01 per shareF5,F12,F13 | holding | — | — | — | 658,984 | I | As investment adviser to a private investment fund | |
| Common Stock, par value $.01 per shareF6,F12,F13 | holding | — | — | — | 283,373 | I | As investment adviser to a Dublin, Ireland-listed open-ended investment company | |
| Common Stock, par value $.01 per shareF9,F12,F13 | holding | — | — | — | 165,508 | I | As investment adviser to a private investment fund | |
| Common Stock, par value $.01 per shareF10,F12,F13 | holding | — | — | — | 160,035 | I | As investment adviser to a private investment fund |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These securities are beneficially owned by Emerging (BMI) Markets Country Fund.
- F10These securities are beneficially owned by The EM Plus CEF Fund.
- F11These securities are beneficially owned by 14 unaffiliated third-party segregated accounts.
- F12No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer.
- F13As of the date hereof, City of London Group PLC ("CLIG"), through its control of City of London Investment Management Company Limited ("CLIM"), and CLIM, in its capacity as investment adviser to the funds listed above and the 14 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities.
- F2These securities are beneficially owned by Emerging Markets Free Fund.
- F3These securities are beneficially owned by Emerging Markets Global Fund.
- F4These securities are beneficially owned by Emerging Markets Investable Fund.
- F5These securities are beneficially owned by Global Emerging Markets Fund.
- F6These securities are beneficially owned by The Emerging World Fund.
- F7These securities are beneficially owned by Emerging Free Markets Country Fund.
- F8These securities are beneficially owned by Emerging Markets Country Fund.
- F9These securities are beneficially owned by Investable Emerging Markets Country Fund.