organization · Reporting owner
CITY OF LONDON INVESTMENT MANAGEMENT CO LTD
Disclosed activity across 16 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ABERDEEN EMERGING MARKETS SMALLER Co OPPORTUNITIES FUND, INC.ABE · Entity 167142 | 10% owner | March 01, 2018 | March 02, 2018 |
| ABERDEEN GREATER CHINA FUND, INC.GCH · Entity 167046 | 10% owner | March 01, 2018 | March 02, 2018 |
| ABERDEEN INDONESIA FUND, INC.IF · Entity 167154 | 10% owner | October 05, 2017 | October 10, 2017 |
| ABERDEEN LATIN AMERICA EQUITY FUND, INC.LAQ · Entity 167153 | 10% owner | March 22, 2018 | March 23, 2018 |
| ASIA TIGERS FUND INCGRR · Entity 167145 | 10% owner | March 28, 2017 | April 07, 2017 |
| TAIWAN FUND INCTWN · Entity 5350 | 10% owner | September 12, 2018 | September 13, 2018 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
ABERDEEN EMERGING MARKETS SMALLER Co OPPORTUNITIES FUND, INC.
Report date March 01, 2018 · Filed March 02, 2018
Jointly reported with CITY OF LONDON INVESTMENT GROUP PLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 191,733 |
Reported balance
After 2018-03-01 transaction · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · 2018-03-01 · Sale · Disposed 98,196 · Balance 191,733 F4: These securities are beneficially owned by Emerging Markets Investable Fund. F13: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14: As 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 13 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 98,196 |
Reported balance
After 2018-03-01 transaction · row 11
Holding and transaction disclosures are not merged.
1 source rowRow 11 · 2018-03-01 · Purchase · Acquired 98,196 · Balance 98,196 F11: These securities are beneficially owned by EM Special Situations CEF Focused Fund. F13: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14: As 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 13 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 291,479 |
Reported balance
Holding disclosure · report date 2018-03-01 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 291,479 F1: These securities are beneficially owned by Emerging (BMI) Markets Country Fund. F13: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14: As 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 13 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 149,487 |
Reported balance
Holding disclosure · report date 2018-03-01 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 149,487 F2: These securities are beneficially owned by Emerging Markets Free Fund. F13: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14: As 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 13 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 284,179 |
Reported balance
Holding disclosure · report date 2018-03-01 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 284,179 F3: These securities are beneficially owned by Emerging Markets Global Fund. F13: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14: As 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 13 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 221,327 |
Reported balance
Holding disclosure · report date 2018-03-01 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 221,327 F5: These securities are beneficially owned by Global Emerging Markets Fund. F13: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14: As 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 13 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 201,705 |
Reported balance
Holding disclosure · report date 2018-03-01 · row 7
Holding and transaction disclosures are not merged.
1 source rowRow 7 · Balance 201,705 F7: These securities are beneficially owned by Emerging Free Markets Country Fund. F13: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14: As 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 13 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 287,335 |
Reported balance
Holding disclosure · report date 2018-03-01 · row 8
Holding and transaction disclosures are not merged.
1 source rowRow 8 · Balance 287,335 F8: These securities are beneficially owned by Emerging Markets Country Fund. F13: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14: As 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 13 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 73,865 |
Reported balance
Holding disclosure · report date 2018-03-01 · row 9
Holding and transaction disclosures are not merged.
1 source rowRow 9 · Balance 73,865 F9: These securities are beneficially owned by Investable Emerging Markets Country Fund. F13: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14: As 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 13 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 117,276 |
Reported balance
Holding disclosure · report date 2018-03-01 · row 10
Holding and transaction disclosures are not merged.
1 source rowRow 10 · Balance 117,276 F10: These securities are beneficially owned by The EM Plus CEF Fund. F13: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14: As 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 13 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a Dublin, Ireland-listed open-ended investment company | 168,705 |
Reported balance
Holding disclosure · report date 2018-03-01 · row 6
Holding and transaction disclosures are not merged.
1 source rowRow 6 · Balance 168,705 F6: These securities are beneficially owned by The Emerging World Fund. F13: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14: As 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 13 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to unaffiliated third-party segregated accounts | 1,895,603 |
Reported balance
Holding disclosure · report date 2018-03-01 · row 12
Holding and transaction disclosures are not merged.
1 source rowRow 12 · Balance 1,895,603 F12: These securities are beneficially owned by 13 unaffiliated third-party segregated accounts. F13: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14: As 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 13 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
Filing footnotes · ownership attribution and instrument terms
F1: These securities are beneficially owned by Emerging (BMI) Markets Country Fund.
F2: These securities are beneficially owned by Emerging Markets Free Fund.
F3: These securities are beneficially owned by Emerging Markets Global Fund.
F4: These securities are beneficially owned by Emerging Markets Investable Fund.
F5: These securities are beneficially owned by Global Emerging Markets Fund.
F6: These securities are beneficially owned by The Emerging World Fund.
F7: These securities are beneficially owned by Emerging Free Markets Country Fund.
F8: These securities are beneficially owned by Emerging Markets Country Fund.
F9: These securities are beneficially owned by Investable Emerging Markets Country Fund.
F10: These securities are beneficially owned by The EM Plus CEF Fund.
F11: These securities are beneficially owned by EM Special Situations CEF Focused Fund.
F12: These securities are beneficially owned by 13 unaffiliated third-party segregated accounts.
F13: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer.
F14: As 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 13 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities.
ABERDEEN GREATER CHINA FUND, INC.
Report date March 01, 2018 · Filed March 02, 2018
Jointly reported with CITY OF LONDON INVESTMENT GROUP PLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 17,600 |
Reported balance
After 2018-03-01 transaction · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · 2018-03-01 · Sale · Disposed 181,772 · Balance 17,600 F4: These securities are beneficially owned by Emerging Markets Investable Fund. F13: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14: As 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 12 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 181,772 |
Reported balance
After 2018-03-01 transaction · row 11
Holding and transaction disclosures are not merged.
1 source rowRow 11 · 2018-03-01 · Purchase · Acquired 181,772 · Balance 181,772 F11: These securities are beneficially owned by EM Special Situations CEF Focused Fund. F13: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14: As 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 12 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 258,367 |
Reported balance
Holding disclosure · report date 2018-03-01 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 258,367 F1: These securities are beneficially owned by Emerging (BMI) Markets Country Fund. F13: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14: As 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 12 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 81,328 |
Reported balance
Holding disclosure · report date 2018-03-01 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 81,328 F2: These securities are beneficially owned by Emerging Markets Free Fund. F13: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14: As 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 12 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 258,313 |
Reported balance
Holding disclosure · report date 2018-03-01 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 258,313 F3: These securities are beneficially owned by Emerging Markets Global Fund. F13: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14: As 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 12 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 272,041 |
Reported balance
Holding disclosure · report date 2018-03-01 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 272,041 F5: These securities are beneficially owned by Global Emerging Markets Fund. F13: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14: As 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 12 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 197,193 |
Reported balance
Holding disclosure · report date 2018-03-01 · row 7
Holding and transaction disclosures are not merged.
1 source rowRow 7 · Balance 197,193 F7: These securities are beneficially owned by Emerging Free Markets Country Fund. F13: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14: As 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 12 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 262,971 |
Reported balance
Holding disclosure · report date 2018-03-01 · row 8
Holding and transaction disclosures are not merged.
1 source rowRow 8 · Balance 262,971 F8: These securities are beneficially owned by Emerging Markets Country Fund. F13: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14: As 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 12 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 55,021 |
Reported balance
Holding disclosure · report date 2018-03-01 · row 9
Holding and transaction disclosures are not merged.
1 source rowRow 9 · Balance 55,021 F9: These securities are beneficially owned by Investable Emerging Markets Country Fund. F13: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14: As 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 12 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 41,967 |
Reported balance
Holding disclosure · report date 2018-03-01 · row 10
Holding and transaction disclosures are not merged.
1 source rowRow 10 · Balance 41,967 F10: These securities are beneficially owned by The EM Plus CEF Fund. F13: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14: As 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 12 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a Dublin, Ireland-listed open-ended investment company | 181,903 |
Reported balance
Holding disclosure · report date 2018-03-01 · row 6
Holding and transaction disclosures are not merged.
1 source rowRow 6 · Balance 181,903 F6: These securities are beneficially owned by The Emerging World Fund. F13: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14: As 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 12 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to unaffiliated third-party segregated accounts | 1,545,435 |
Reported balance
Holding disclosure · report date 2018-03-01 · row 12
Holding and transaction disclosures are not merged.
1 source rowRow 12 · Balance 1,545,435 F12: These securities are beneficially owned by 12 unaffiliated third-party segregated accounts. F13: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14: As 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 12 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
Filing footnotes · ownership attribution and instrument terms
F1: These securities are beneficially owned by Emerging (BMI) Markets Country Fund.
F2: These securities are beneficially owned by Emerging Markets Free Fund.
F3: These securities are beneficially owned by Emerging Markets Global Fund.
F4: These securities are beneficially owned by Emerging Markets Investable Fund.
F5: These securities are beneficially owned by Global Emerging Markets Fund.
F6: These securities are beneficially owned by The Emerging World Fund.
F7: These securities are beneficially owned by Emerging Free Markets Country Fund.
F8: These securities are beneficially owned by Emerging Markets Country Fund.
F9: These securities are beneficially owned by Investable Emerging Markets Country Fund.
F10: These securities are beneficially owned by The EM Plus CEF Fund.
F11: These securities are beneficially owned by EM Special Situations CEF Focused Fund.
F12: These securities are beneficially owned by 12 unaffiliated third-party segregated accounts.
F13: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer.
F14: As 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 12 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities.
ABERDEEN INDONESIA FUND, INC.
Report date October 05, 2017 · Filed October 10, 2017
Jointly reported with CITY OF LONDON INVESTMENT GROUP PLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to unaffiliated third-party segregated accounts | 1,698,977 |
Reported balance
After 2017-10-05 transaction · row 10
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 10 · 2017-10-05 · Sale · Disposed 9,400 · Balance 1,698,977 F10: These securities are beneficially owned by 12 unaffiliated third-party segregated accounts. F11: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 283,708 |
Reported balance
Holding disclosure · report date 2017-10-05 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 283,708 F1: These securities are beneficially owned by Emerging (BMI) Markets Country Fund. F11: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F12: As 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 12 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 95,663 |
Reported balance
Holding disclosure · report date 2017-10-05 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 95,663 F2: These securities are beneficially owned by Emerging Markets Free Fund. F11: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F12: As 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 12 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 272,687 |
Reported balance
Holding disclosure · report date 2017-10-05 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 272,687 F3: These securities are beneficially owned by Emerging Markets Global Fund. F11: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F12: As 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 12 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 216,694 |
Reported balance
Holding disclosure · report date 2017-10-05 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 216,694 F4: These securities are beneficially owned by Emerging Markets Investable Fund. F11: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F12: As 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 12 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 251,606 |
Reported balance
Holding disclosure · report date 2017-10-05 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 251,606 F5: These securities are beneficially owned by Global Emerging Markets Fund. F11: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F12: As 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 12 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 251,807 |
Reported balance
Holding disclosure · report date 2017-10-05 · row 7
Holding and transaction disclosures are not merged.
1 source rowRow 7 · Balance 251,807 F7: These securities are beneficially owned by Emerging Free Markets Country Fund. F11: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F12: As 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 12 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 275,156 |
Reported balance
Holding disclosure · report date 2017-10-05 · row 8
Holding and transaction disclosures are not merged.
1 source rowRow 8 · Balance 275,156 F8: These securities are beneficially owned by Emerging Markets Country Fund. F11: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F12: As 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 12 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 45,104 |
Reported balance
Holding disclosure · report date 2017-10-05 · row 9
Holding and transaction disclosures are not merged.
1 source rowRow 9 · Balance 45,104 F9: These securities are beneficially owned by Investable Emerging Markets Country Fund. F11: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F12: As 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 12 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a Dublin, Ireland-listed open-ended investment company | 129,232 |
Reported balance
Holding disclosure · report date 2017-10-05 · row 6
Holding and transaction disclosures are not merged.
1 source rowRow 6 · Balance 129,232 F6: These securities are beneficially owned by The Emerging World Fund. F11: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F12: As 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 12 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
Filing footnotes · ownership attribution and instrument terms
F1: These securities are beneficially owned by Emerging (BMI) Markets Country Fund.
F2: These securities are beneficially owned by Emerging Markets Free Fund.
F3: These securities are beneficially owned by Emerging Markets Global Fund.
F4: These securities are beneficially owned by Emerging Markets Investable Fund.
F5: These securities are beneficially owned by Global Emerging Markets Fund.
F6: These securities are beneficially owned by The Emerging World Fund.
F7: These securities are beneficially owned by Emerging Free Markets Country Fund.
F8: These securities are beneficially owned by Emerging Markets Country Fund.
F9: These securities are beneficially owned by Investable Emerging Markets Country Fund.
F10: These securities are beneficially owned by 12 unaffiliated third-party segregated accounts.
F11: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer.
F12: As 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 12 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities.
ABERDEEN LATIN AMERICA EQUITY FUND, INC.
Report date March 22, 2018 · Filed March 23, 2018
Jointly reported with CITY OF LONDON INVESTMENT GROUP PLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 124,227 |
Reported balance
After 2018-03-22 transaction · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · 2018-03-22 · Purchase · Acquired 15,000 · Balance 124,227 F2: These securities are beneficially owned by Emerging Markets Free Fund. F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13: As 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 12 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 1,481,279 |
Reported balance
After 2018-03-22 transaction · row 11
Holding and transaction disclosures are not merged.
1 source rowRow 11 · 2018-03-22 · Sale · Disposed 15,000 · Balance 1,481,279 F11: These securities are beneficially owned by 12 unaffiliated third-party segregated accounts. F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13: As 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 12 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 223,454 |
Reported balance
Holding disclosure · report date 2018-03-22 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 223,454 F1: These securities are beneficially owned by Emerging (BMI) Markets Country Fund. F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13: As 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 12 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 216,285 |
Reported balance
Holding disclosure · report date 2018-03-22 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 216,285 F3: These securities are beneficially owned by Emerging Markets Global Fund. F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13: As 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 12 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 214,593 |
Reported balance
Holding disclosure · report date 2018-03-22 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 214,593 F4: These securities are beneficially owned by Emerging Markets Investable Fund. F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13: As 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 12 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 196,437 |
Reported balance
Holding disclosure · report date 2018-03-22 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 196,437 F5: These securities are beneficially owned by Global Emerging Markets Fund. F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13: As 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 12 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 204,604 |
Reported balance
Holding disclosure · report date 2018-03-22 · row 7
Holding and transaction disclosures are not merged.
1 source rowRow 7 · Balance 204,604 F7: These securities are beneficially owned by Emerging Free Markets Country Fund. F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13: As 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 12 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 217,880 |
Reported balance
Holding disclosure · report date 2018-03-22 · row 8
Holding and transaction disclosures are not merged.
1 source rowRow 8 · Balance 217,880 F8: These securities are beneficially owned by Emerging Markets Country Fund. F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13: As 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 12 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 76,232 |
Reported balance
Holding disclosure · report date 2018-03-22 · row 9
Holding and transaction disclosures are not merged.
1 source rowRow 9 · Balance 76,232 F9: These securities are beneficially owned by Investable Emerging Markets Country Fund. F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13: As 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 12 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 45,629 |
Reported balance
Holding disclosure · report date 2018-03-22 · row 10
Holding and transaction disclosures are not merged.
1 source rowRow 10 · Balance 45,629 F10: These securities are beneficially owned by The EM Plus CEF Fund. F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13: As 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 12 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a Dublin, Ireland-listed open-ended investment company | 103,943 |
Reported balance
Holding disclosure · report date 2018-03-22 · row 6
Holding and transaction disclosures are not merged.
1 source rowRow 6 · Balance 103,943 F6: These securities are beneficially owned by The Emerging World Fund. F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13: As 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 12 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
Filing footnotes · ownership attribution and instrument terms
F1: These securities are beneficially owned by Emerging (BMI) Markets Country Fund.
F2: These securities are beneficially owned by Emerging Markets Free Fund.
F3: These securities are beneficially owned by Emerging Markets Global Fund.
F4: These securities are beneficially owned by Emerging Markets Investable Fund.
F5: These securities are beneficially owned by Global Emerging Markets Fund.
F6: These securities are beneficially owned by The Emerging World Fund.
F7: These securities are beneficially owned by Emerging Free Markets Country Fund.
F8: These securities are beneficially owned by Emerging Markets Country Fund.
F9: These securities are beneficially owned by Investable Emerging Markets Country Fund.
F10: These securities are beneficially owned by The EM Plus CEF Fund.
F11: These securities are beneficially owned by 12 unaffiliated third-party segregated accounts.
F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer.
F13: As 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 12 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities.
ASIA TIGERS FUND INC
Report date March 28, 2017 · Filed April 07, 2017
Jointly reported with CITY OF LONDON INVESTMENT GROUP PLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 96,885 |
Reported balance
Holding disclosure · report date 2017-03-28 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 96,885 F1: These securities are beneficially owned by Emerging (BMI) Markets Country Fund. F11: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F12: As 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 10 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 51,025 |
Reported balance
Holding disclosure · report date 2017-03-28 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 51,025 F2: These securities are beneficially owned by Emerging Markets Free Fund. F11: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F12: As 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 10 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 101,467 |
Reported balance
Holding disclosure · report date 2017-03-28 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 101,467 F3: These securities are beneficially owned by Emerging Markets Global Fund. F11: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F12: As 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 10 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 84,464 |
Reported balance
Holding disclosure · report date 2017-03-28 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 84,464 F4: These securities are beneficially owned by Emerging Markets Investable Fund. F11: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F12: As 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 10 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 87,101 |
Reported balance
Holding disclosure · report date 2017-03-28 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 87,101 F5: These securities are beneficially owned by Global Emerging Markets Fund. F11: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F12: As 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 10 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 100,154 |
Reported balance
Holding disclosure · report date 2017-03-28 · row 7
Holding and transaction disclosures are not merged.
1 source rowRow 7 · Balance 100,154 F7: These securities are beneficially owned by Emerging Free Markets Country Fund. F11: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F12: As 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 10 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 33,189 |
Reported balance
Holding disclosure · report date 2017-03-28 · row 8
Holding and transaction disclosures are not merged.
1 source rowRow 8 · Balance 33,189 F8: These securities are beneficially owned by Investable Emerging Markets Country Fund. F11: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F12: As 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 10 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 19,497 |
Reported balance
Holding disclosure · report date 2017-03-28 · row 9
Holding and transaction disclosures are not merged.
1 source rowRow 9 · Balance 19,497 F9: These securities are beneficially owned by The EM Plus CEF Fund. F11: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F12: As 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 10 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a Dublin, Ireland-listed open-ended investment company | 38,738 |
Reported balance
Holding disclosure · report date 2017-03-28 · row 6
Holding and transaction disclosures are not merged.
1 source rowRow 6 · Balance 38,738 F6: These securities are beneficially owned by The Emerging World Fund. F11: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F12: As 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 10 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to unaffiliated third-party segregated accounts | 508,886 |
Reported balance
Holding disclosure · report date 2017-03-28 · row 10
Holding and transaction disclosures are not merged.
1 source rowRow 10 · Balance 508,886 F10: These securities are beneficially owned by 10 unaffiliated third-party segregated accounts. F11: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F12: As 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 10 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
Filing footnotes · ownership attribution and instrument terms
F1: These securities are beneficially owned by Emerging (BMI) Markets Country Fund.
F2: These securities are beneficially owned by Emerging Markets Free Fund.
F3: These securities are beneficially owned by Emerging Markets Global Fund.
F4: These securities are beneficially owned by Emerging Markets Investable Fund.
F5: These securities are beneficially owned by Global Emerging Markets Fund.
F6: These securities are beneficially owned by The Emerging World Fund.
F7: These securities are beneficially owned by Emerging Free Markets Country Fund.
F8: These securities are beneficially owned by Investable Emerging Markets Country Fund.
F9: These securities are beneficially owned by The EM Plus CEF Fund.
F10: These securities are beneficially owned by 10 unaffiliated third-party segregated accounts.
F11: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer.
F12: As 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 10 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities.
TAIWAN FUND INC
Report date September 12, 2018 · Filed September 13, 2018
Jointly reported with CITY OF LONDON INVESTMENT GROUP PLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to unaffiliated third-party segregated accounts | 1,483,913 |
Reported balance
After 2018-09-12 transaction · row 11
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 11 · 2018-09-12 · Sale · Disposed 5,500 · Balance 1,483,913 F11: These securities are beneficially owned by 10 unaffiliated third-party segregated accounts. F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13: As 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 10 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 238,672 |
Reported balance
Holding disclosure · report date 2018-09-12 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 238,672 F1: These securities are beneficially owned by Emerging (BMI) Markets Country Fund. F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13: As 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 10 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 119,869 |
Reported balance
Holding disclosure · report date 2018-09-12 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 119,869 F2: These securities are beneficially owned by Emerging Markets Free Fund. F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13: As 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 10 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 236,418 |
Reported balance
Holding disclosure · report date 2018-09-12 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 236,418 F3: These securities are beneficially owned by Emerging Markets Global Fund. F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13: As 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 10 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 150,986 |
Reported balance
Holding disclosure · report date 2018-09-12 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 150,986 F4: These securities are beneficially owned by Emerging Markets Investable Fund. F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13: As 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 10 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 239,287 |
Reported balance
Holding disclosure · report date 2018-09-12 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 239,287 F5: These securities are beneficially owned by Global Emerging Markets Fund. F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13: As 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 10 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 243,552 |
Reported balance
Holding disclosure · report date 2018-09-12 · row 7
Holding and transaction disclosures are not merged.
1 source rowRow 7 · Balance 243,552 F7: These securities are beneficially owned by Emerging Free Markets Country Fund. F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13: As 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 10 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 236,130 |
Reported balance
Holding disclosure · report date 2018-09-12 · row 8
Holding and transaction disclosures are not merged.
1 source rowRow 8 · Balance 236,130 F8: These securities are beneficially owned by Emerging Markets Country Fund. F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13: As 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 10 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 75,204 |
Reported balance
Holding disclosure · report date 2018-09-12 · row 9
Holding and transaction disclosures are not merged.
1 source rowRow 9 · Balance 75,204 F9: These securities are beneficially owned by Investable Emerging Markets Country Fund. F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13: As 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 10 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 81,000 |
Reported balance
Holding disclosure · report date 2018-09-12 · row 10
Holding and transaction disclosures are not merged.
1 source rowRow 10 · Balance 81,000 F10: These securities are beneficially owned by The EM Plus CEF Fund. F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13: As 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 10 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a Dublin, Ireland-listed open-ended investment company | 199,550 |
Reported balance
Holding disclosure · report date 2018-09-12 · row 6
Holding and transaction disclosures are not merged.
1 source rowRow 6 · Balance 199,550 F6: These securities are beneficially owned by The Emerging World Fund. F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13: As 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 10 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
Filing footnotes · ownership attribution and instrument terms
F1: These securities are beneficially owned by Emerging (BMI) Markets Country Fund.
F2: These securities are beneficially owned by Emerging Markets Free Fund.
F3: These securities are beneficially owned by Emerging Markets Global Fund.
F4: These securities are beneficially owned by Emerging Markets Investable Fund.
F5: These securities are beneficially owned by Global Emerging Markets Fund.
F6: These securities are beneficially owned by The Emerging World Fund.
F7: These securities are beneficially owned by Emerging Free Markets Country Fund.
F8: These securities are beneficially owned by Emerging Markets Country Fund.
F9: These securities are beneficially owned by Investable Emerging Markets Country Fund.
F10: These securities are beneficially owned by The EM Plus CEF Fund.
F11: These securities are beneficially owned by 10 unaffiliated third-party segregated accounts.
F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer.
F13: As 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 10 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities.
Past disclosures · reporting ended (10)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
ASIA PACIFIC FUND INC
Report date October 15, 2018 · Filed October 16, 2018
Jointly reported with CITY OF LONDON INVESTMENT GROUP PLC
Section 16 reporting ended · disclosed 2018-10-16. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to unaffiliated third-party segregated accounts | 2,194,009 |
Reported balance
After 2018-10-15 transaction · row 11
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 11 · 2018-10-15 · Sale · Disposed 20,000 · Balance 2,194,009 F11: These securities are beneficially owned by 12 unaffiliated third-party segregated accounts. F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13: As 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 12 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 310,315 |
Reported balance
Holding disclosure · report date 2018-10-15 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 310,315 F1: These securities are beneficially owned by Emerging (BMI) Markets Country Fund. F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13: As 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 12 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 180,930 |
Reported balance
Holding disclosure · report date 2018-10-15 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 180,930 F2: These securities are beneficially owned by Emerging Markets Free Fund. F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13: As 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 12 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 307,027 |
Reported balance
Holding disclosure · report date 2018-10-15 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 307,027 F3: These securities are beneficially owned by Emerging Markets Global Fund. F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13: As 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 12 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 298,022 |
Reported balance
Holding disclosure · report date 2018-10-15 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 298,022 F4: These securities are beneficially owned by Emerging Markets Investable Fund. F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13: As 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 12 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 296,438 |
Reported balance
Holding disclosure · report date 2018-10-15 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 296,438 F5: These securities are beneficially owned by Global Emerging Markets Fund. F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13: As 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 12 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 272,355 |
Reported balance
Holding disclosure · report date 2018-10-15 · row 7
Holding and transaction disclosures are not merged.
1 source rowRow 7 · Balance 272,355 F7: These securities are beneficially owned by Emerging Free Markets Country Fund. F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13: As 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 12 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 307,559 |
Reported balance
Holding disclosure · report date 2018-10-15 · row 8
Holding and transaction disclosures are not merged.
1 source rowRow 8 · Balance 307,559 F8: These securities are beneficially owned by Emerging Markets Country Fund. F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13: As 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 12 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 100,350 |
Reported balance
Holding disclosure · report date 2018-10-15 · row 9
Holding and transaction disclosures are not merged.
1 source rowRow 9 · Balance 100,350 F9: These securities are beneficially owned by Investable Emerging Markets Country Fund. F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13: As 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 12 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 108,250 |
Reported balance
Holding disclosure · report date 2018-10-15 · row 10
Holding and transaction disclosures are not merged.
1 source rowRow 10 · Balance 108,250 F10: These securities are beneficially owned by The EM Plus CEF Fund. F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13: As 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 12 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a Dublin, Ireland-listed open-ended investment company | 189,013 |
Reported balance
Holding disclosure · report date 2018-10-15 · row 6
Holding and transaction disclosures are not merged.
1 source rowRow 6 · Balance 189,013 F6: These securities are beneficially owned by The Emerging World Fund. F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13: As 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 12 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
Filing footnotes · ownership attribution and instrument terms
F1: These securities are beneficially owned by Emerging (BMI) Markets Country Fund.
F2: These securities are beneficially owned by Emerging Markets Free Fund.
F3: These securities are beneficially owned by Emerging Markets Global Fund.
F4: These securities are beneficially owned by Emerging Markets Investable Fund.
F5: These securities are beneficially owned by Global Emerging Markets Fund.
F6: These securities are beneficially owned by The Emerging World Fund.
F7: These securities are beneficially owned by Emerging Free Markets Country Fund.
F8: These securities are beneficially owned by Emerging Markets Country Fund.
F9: These securities are beneficially owned by Investable Emerging Markets Country Fund.
F10: These securities are beneficially owned by The EM Plus CEF Fund.
F11: These securities are beneficially owned by 12 unaffiliated third-party segregated accounts.
F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer.
F13: As 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 12 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities.
China Fund, Inc.
Report date February 14, 2019 · Filed February 15, 2019
Jointly reported with CITY OF LONDON INVESTMENT GROUP PLC
Section 16 reporting ended · disclosed 2019-02-15. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectBy: Emerging (BMI) Markets Country Fund | 183,119 |
Reported balance
After 2019-02-14 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2019-02-14 · Sale · Disposed 125,738 · Balance 183,119 F1: This Form 4 is filed jointly by City of London Investment Group, PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM") (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. F2: These securities are beneficially owned by Emerging (BMI) Markets Country Fund. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectBy: Emerging Markets Free Fund | 69,109 |
Reported balance
After 2019-02-14 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2019-02-14 · Sale · Disposed 47,454 · Balance 69,109 F1: This Form 4 is filed jointly by City of London Investment Group, PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM") (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. F3: These securities are beneficially owned by Emerging Markets Free Fund. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectBy: Emerging Markets Global Fund | 148,241 |
Reported balance
After 2019-02-14 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2019-02-14 · Sale · Disposed 101,789 · Balance 148,241 F1: This Form 4 is filed jointly by City of London Investment Group, PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM") (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. F4: These securities are beneficially owned by Emerging Markets Global Fund. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectBy: Emerging Markets Investable Fund | 101,995 |
Reported balance
After 2019-02-14 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2019-02-14 · Sale · Disposed 70,034 · Balance 101,995 F1: This Form 4 is filed jointly by City of London Investment Group, PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM") (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. F5: These securities are beneficially owned by Emerging Markets Investable Fund. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectBy: Global Emerging Markets Fund | 242,546 |
Reported balance
After 2019-02-14 transaction · row 5
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 5 · 2019-02-14 · Sale · Disposed 166,544 · Balance 242,546 F1: This Form 4 is filed jointly by City of London Investment Group, PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM") (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. F6: These securities are beneficially owned by Global Emerging Markets Fund. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectBy: The Emerging World Fund | 99,646 |
Reported balance
After 2019-02-14 transaction · row 6
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 6 · 2019-02-14 · Sale · Disposed 68,421 · Balance 99,646 F1: This Form 4 is filed jointly by City of London Investment Group, PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM") (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. F7: These securities are beneficially owned by The Emerging World Fund. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectBy: Emerging Free Markets Country Fund | 118,535 |
Reported balance
After 2019-02-14 transaction · row 7
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 7 · 2019-02-14 · Sale · Disposed 81,392 · Balance 118,535 F1: This Form 4 is filed jointly by City of London Investment Group, PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM") (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. F8: These securities are beneficially owned by Emerging Free Markets Country Fund. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectBy: Emerging Markets Country Fund | 180,856 |
Reported balance
After 2019-02-14 transaction · row 8
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 8 · 2019-02-14 · Sale · Disposed 124,185 · Balance 180,856 F1: This Form 4 is filed jointly by City of London Investment Group, PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM") (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. F9: These securities are beneficially owned by Emerging Markets Country Fund. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectBy: Investable Emerging Markets Country Fund | 27,664 |
Reported balance
After 2019-02-14 transaction · row 9
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 9 · 2019-02-14 · Sale · Disposed 18,994 · Balance 27,664 F1: This Form 4 is filed jointly by City of London Investment Group, PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM") (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. F10: These securities are beneficially owned by Investable Emerging Markets Country Fund. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectBy: The EM Plus CEF Fund | 24,959 |
Reported balance
After 2019-02-14 transaction · row 10
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 10 · 2019-02-14 · Sale · Disposed 17,137 · Balance 24,959 F1: This Form 4 is filed jointly by City of London Investment Group, PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM") (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. F11: These securities are beneficially owned by The EM Plus CEF Fund. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectBy: The EM Special Situations CEF Focused Fund | 6,900 |
Reported balance
After 2019-02-14 transaction · row 11
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 11 · 2019-02-14 · Sale · Disposed 4,737 · Balance 6,900 F1: This Form 4 is filed jointly by City of London Investment Group, PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM") (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. F12: These securities are beneficially owned by EM Special Situations CEF Focused Fund. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectBy: unaffiliated third-party segregated accounts | 1,367,039 |
Reported balance
After 2019-02-14 transaction · row 12
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 12 · 2019-02-14 · Sale · Disposed 938,677 · Balance 1,367,039 F1: This Form 4 is filed jointly by City of London Investment Group, PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM") (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. F13: These securities are beneficially owned by unaffiliated third-party segregated accounts. |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 4 is filed jointly by City of London Investment Group, PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM") (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.
F2: These securities are beneficially owned by Emerging (BMI) Markets Country Fund.
F3: These securities are beneficially owned by Emerging Markets Free Fund.
F4: These securities are beneficially owned by Emerging Markets Global Fund.
F5: These securities are beneficially owned by Emerging Markets Investable Fund.
F6: These securities are beneficially owned by Global Emerging Markets Fund.
F7: These securities are beneficially owned by The Emerging World Fund.
F8: These securities are beneficially owned by Emerging Free Markets Country Fund.
F9: These securities are beneficially owned by Emerging Markets Country Fund.
F10: These securities are beneficially owned by Investable Emerging Markets Country Fund.
F11: These securities are beneficially owned by The EM Plus CEF Fund.
F12: These securities are beneficially owned by EM Special Situations CEF Focused Fund.
F13: These securities are beneficially owned by unaffiliated third-party segregated accounts.
KOREA FUND INC
Report date September 19, 2018 · Filed September 20, 2018
Jointly reported with CITY OF LONDON INVESTMENT GROUP PLC
Section 16 reporting ended · disclosed 2018-09-20. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to unaffiliated third-party segregated accounts | 804,691 |
Reported balance
After 2018-09-19 transaction · row 11
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 11 · 2018-09-19 · Sale · Disposed 900 · Balance 804,691 F11: These securities are beneficially owned by 10 unaffiliated third-party segregated accounts. F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13: As 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 10 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 238,070 |
Reported balance
Holding disclosure · report date 2018-09-19 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 238,070 F1: These securities are beneficially owned by Emerging (BMI) Markets Country Fund. F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13: As 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 10 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 63,805 |
Reported balance
Holding disclosure · report date 2018-09-19 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 63,805 F2: These securities are beneficially owned by Emerging Markets Free Fund. F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13: As 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 10 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 163,103 |
Reported balance
Holding disclosure · report date 2018-09-19 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 163,103 F3: These securities are beneficially owned by Emerging Markets Global Fund. F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13: As 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 10 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 129,462 |
Reported balance
Holding disclosure · report date 2018-09-19 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 129,462 F4: These securities are beneficially owned by Emerging Markets Investable Fund. F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13: As 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 10 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 105,424 |
Reported balance
Holding disclosure · report date 2018-09-19 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 105,424 F5: These securities are beneficially owned by Global Emerging Markets Fund. F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13: As 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 10 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 122,221 |
Reported balance
Holding disclosure · report date 2018-09-19 · row 7
Holding and transaction disclosures are not merged.
1 source rowRow 7 · Balance 122,221 F7: These securities are beneficially owned by Emerging Free Markets Country Fund. F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13: As 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 10 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 186,578 |
Reported balance
Holding disclosure · report date 2018-09-19 · row 8
Holding and transaction disclosures are not merged.
1 source rowRow 8 · Balance 186,578 F8: These securities are beneficially owned by Emerging Markets Country Fund. F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13: As 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 10 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 24,022 |
Reported balance
Holding disclosure · report date 2018-09-19 · row 9
Holding and transaction disclosures are not merged.
1 source rowRow 9 · Balance 24,022 F9: These securities are beneficially owned by Investable Emerging Markets Country Fund. F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13: As 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 10 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 21,647 |
Reported balance
Holding disclosure · report date 2018-09-19 · row 10
Holding and transaction disclosures are not merged.
1 source rowRow 10 · Balance 21,647 F10: These securities are beneficially owned by The EM Plus CEF Fund. F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13: As 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 10 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a Dublin, Ireland-listed open-ended investment company | 96,019 |
Reported balance
Holding disclosure · report date 2018-09-19 · row 6
Holding and transaction disclosures are not merged.
1 source rowRow 6 · Balance 96,019 F6: These securities are beneficially owned by The Emerging World Fund. F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13: As 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 10 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
Filing footnotes · ownership attribution and instrument terms
F1: These securities are beneficially owned by Emerging (BMI) Markets Country Fund.
F2: These securities are beneficially owned by Emerging Markets Free Fund.
F3: These securities are beneficially owned by Emerging Markets Global Fund.
F4: These securities are beneficially owned by Emerging Markets Investable Fund.
F5: These securities are beneficially owned by Global Emerging Markets Fund.
F6: These securities are beneficially owned by The Emerging World Fund.
F7: These securities are beneficially owned by Emerging Free Markets Country Fund.
F8: These securities are beneficially owned by Emerging Markets Country Fund.
F9: These securities are beneficially owned by Investable Emerging Markets Country Fund.
F10: These securities are beneficially owned by The EM Plus CEF Fund.
F11: These securities are beneficially owned by 10 unaffiliated third-party segregated accounts.
F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer.
F13: As 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 10 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities.
LATIN AMERICAN DISCOVERY FUND, INC.
Report date September 19, 2018 · Filed September 20, 2018
Jointly reported with CITY OF LONDON INVESTMENT GROUP PLC
Section 16 reporting ended · disclosed 2018-09-20. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 167,112 |
Reported balance
After 2018-09-19 transaction · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · 2018-09-19 · Sale · Disposed 25,000 · Balance 167,112 F3: These securities are beneficially owned by Emerging Markets Global Fund. F10: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F11: As 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 6 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 205,061 |
Reported balance
Holding disclosure · report date 2018-09-19 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 205,061 F1: These securities are beneficially owned by Emerging (BMI) Markets Country Fund. F10: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F11: As 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 6 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 107,179 |
Reported balance
Holding disclosure · report date 2018-09-19 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 107,179 F2: These securities are beneficially owned by Emerging Markets Free Fund. F10: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F11: As 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 6 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 182,597 |
Reported balance
Holding disclosure · report date 2018-09-19 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 182,597 F4: These securities are beneficially owned by Emerging Markets Investable Fund. F10: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F11: As 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 6 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 185,197 |
Reported balance
Holding disclosure · report date 2018-09-19 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 185,197 F5: These securities are beneficially owned by Global Emerging Markets Fund. F10: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F11: As 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 6 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 140,002 |
Reported balance
Holding disclosure · report date 2018-09-19 · row 7
Holding and transaction disclosures are not merged.
1 source rowRow 7 · Balance 140,002 F7: These securities are beneficially owned by Emerging Free Markets Country Fund. F10: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F11: As 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 6 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 201,273 |
Reported balance
Holding disclosure · report date 2018-09-19 · row 8
Holding and transaction disclosures are not merged.
1 source rowRow 8 · Balance 201,273 F8: These securities are beneficially owned by Emerging Markets Country Fund. F10: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F11: As 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 6 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a Dublin, Ireland-listed open-ended investment company | 159,658 |
Reported balance
Holding disclosure · report date 2018-09-19 · row 6
Holding and transaction disclosures are not merged.
1 source rowRow 6 · Balance 159,658 F6: These securities are beneficially owned by The Emerging World Fund. F10: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F11: As 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 6 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to unaffiliated third-party segregated accounts | 753,201 |
Reported balance
Holding disclosure · report date 2018-09-19 · row 9
Holding and transaction disclosures are not merged.
1 source rowRow 9 · Balance 753,201 F9: These securities are beneficially owned by 6 unaffiliated third-party segregated accounts. F10: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F11: As 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 6 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
Filing footnotes · ownership attribution and instrument terms
F1: These securities are beneficially owned by Emerging (BMI) Markets Country Fund.
F2: These securities are beneficially owned by Emerging Markets Free Fund.
F3: These securities are beneficially owned by Emerging Markets Global Fund.
F4: These securities are beneficially owned by Emerging Markets Investable Fund.
F5: These securities are beneficially owned by Global Emerging Markets Fund.
F6: These securities are beneficially owned by The Emerging World Fund.
F7: These securities are beneficially owned by Emerging Free Markets Country Fund.
F8: These securities are beneficially owned by Emerging Markets Country Fund.
F9: These securities are beneficially owned by 6 unaffiliated third-party segregated accounts.
F10: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer.
F11: As 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 6 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities.
MEXICO EQUITY & INCOME FUND INC
Report date September 19, 2018 · Filed September 20, 2018
Jointly reported with CITY OF LONDON INVESTMENT GROUP PLC
Section 16 reporting ended · disclosed 2018-09-20. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 190,041 |
Reported balance
After 2018-09-19 transaction · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · 2018-09-19 · Sale · Disposed 17,500 · Balance 190,041 F3: These securities are beneficially owned by Emerging Markets Global Fund. F13: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14: As 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 10 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 216,493 |
Reported balance
Holding disclosure · report date 2018-09-19 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 216,493 F1: These securities are beneficially owned by Emerging (BMI) Markets Country Fund. F13: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14: As 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 10 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 123,783 |
Reported balance
Holding disclosure · report date 2018-09-19 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 123,783 F2: These securities are beneficially owned by Emerging Markets Free Fund. F13: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14: As 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 10 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 192,951 |
Reported balance
Holding disclosure · report date 2018-09-19 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 192,951 F4: These securities are beneficially owned by Emerging Markets Investable Fund. F13: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14: As 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 10 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 201,819 |
Reported balance
Holding disclosure · report date 2018-09-19 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 201,819 F5: These securities are beneficially owned by Global Emerging Markets Fund. F13: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14: As 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 10 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 213,297 |
Reported balance
Holding disclosure · report date 2018-09-19 · row 7
Holding and transaction disclosures are not merged.
1 source rowRow 7 · Balance 213,297 F7: These securities are beneficially owned by Emerging Free Markets Country Fund. F13: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14: As 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 10 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 219,076 |
Reported balance
Holding disclosure · report date 2018-09-19 · row 8
Holding and transaction disclosures are not merged.
1 source rowRow 8 · Balance 219,076 F8: These securities are beneficially owned by Emerging Markets Country Fund. F13: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14: As 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 10 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 69,811 |
Reported balance
Holding disclosure · report date 2018-09-19 · row 9
Holding and transaction disclosures are not merged.
1 source rowRow 9 · Balance 69,811 F9: These securities are beneficially owned by Investable Emerging Markets Country Fund. F13: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14: As 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 10 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 60,174 |
Reported balance
Holding disclosure · report date 2018-09-19 · row 10
Holding and transaction disclosures are not merged.
1 source rowRow 10 · Balance 60,174 F10: These securities are beneficially owned by The EM Plus CEF Fund. F13: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14: As 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 10 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 10,746 |
Reported balance
Holding disclosure · report date 2018-09-19 · row 11
Holding and transaction disclosures are not merged.
1 source rowRow 11 · Balance 10,746 F11: These securities are beneficially owned EM Special Situations CEF Focused Fund. F13: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14: As 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 10 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a Dublin, Ireland-listed open-ended investment company | 85,565 |
Reported balance
Holding disclosure · report date 2018-09-19 · row 6
Holding and transaction disclosures are not merged.
1 source rowRow 6 · Balance 85,565 F6: These securities are beneficially owned by The Emerging World Fund. F13: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14: As 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 10 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to unaffiliated third-party segregated accounts | 1,319,950 |
Reported balance
Holding disclosure · report date 2018-09-19 · row 12
Holding and transaction disclosures are not merged.
1 source rowRow 12 · Balance 1,319,950 F12: These securities are beneficially owned by 10 unaffiliated third-party segregated accounts. F13: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14: As 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 10 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
Filing footnotes · ownership attribution and instrument terms
F1: These securities are beneficially owned by Emerging (BMI) Markets Country Fund.
F2: These securities are beneficially owned by Emerging Markets Free Fund.
F3: These securities are beneficially owned by Emerging Markets Global Fund.
F4: These securities are beneficially owned by Emerging Markets Investable Fund.
F5: These securities are beneficially owned by Global Emerging Markets Fund.
F6: These securities are beneficially owned by The Emerging World Fund.
F7: These securities are beneficially owned by Emerging Free Markets Country Fund.
F8: These securities are beneficially owned by Emerging Markets Country Fund.
F9: These securities are beneficially owned by Investable Emerging Markets Country Fund.
F10: These securities are beneficially owned by The EM Plus CEF Fund.
F11: These securities are beneficially owned EM Special Situations CEF Focused Fund.
F12: These securities are beneficially owned by 10 unaffiliated third-party segregated accounts.
F13: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer.
F14: As 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 10 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities.
MORGAN STANLEY EMERGING MARKETS FUND INC
Report date May 30, 2018 · Filed June 01, 2018
Jointly reported with CITY OF LONDON INVESTMENT GROUP PLC
Section 16 reporting ended · disclosed 2018-06-01. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to unaffiliated third-party segregated accounts | 1,361,263 |
Reported balance
After 2018-05-30 transaction · row 11
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 11 · 2018-05-30 · Sale · Disposed 125,000 · Balance 1,361,263 F11: These securities are beneficially owned by 11 unaffiliated third-party segregated accounts. F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13: Each of City of London Group PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM"), which is controlled by CLIG and is the investment adviser to the funds listed above and the 11 unaffiliated third-party segregated accounts, hereby disclaims beneficial ownership of the reported securities and this report should not be deemed an admission of beneficial ownership of such securities for purposes of Section 16 or for any other purposes. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 336,578 |
Reported balance
Holding disclosure · report date 2018-05-30 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 336,578 F1: These securities are beneficially owned by Emerging (BMI) Markets Country Fund. F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13: Each of City of London Group PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM"), which is controlled by CLIG and is the investment adviser to the funds listed above and the 11 unaffiliated third-party segregated accounts, hereby disclaims beneficial ownership of the reported securities and this report should not be deemed an admission of beneficial ownership of such securities for purposes of Section 16 or for any other purposes. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 96,867 |
Reported balance
Holding disclosure · report date 2018-05-30 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 96,867 F2: These securities are beneficially owned by Emerging Markets Free Fund. F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13: Each of City of London Group PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM"), which is controlled by CLIG and is the investment adviser to the funds listed above and the 11 unaffiliated third-party segregated accounts, hereby disclaims beneficial ownership of the reported securities and this report should not be deemed an admission of beneficial ownership of such securities for purposes of Section 16 or for any other purposes. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 248,636 |
Reported balance
Holding disclosure · report date 2018-05-30 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 248,636 F3: These securities are beneficially owned by Emerging Markets Global Fund. F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13: Each of City of London Group PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM"), which is controlled by CLIG and is the investment adviser to the funds listed above and the 11 unaffiliated third-party segregated accounts, hereby disclaims beneficial ownership of the reported securities and this report should not be deemed an admission of beneficial ownership of such securities for purposes of Section 16 or for any other purposes. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 178,920 |
Reported balance
Holding disclosure · report date 2018-05-30 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 178,920 F4: These securities are beneficially owned by Emerging Markets Investable Fund. F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13: Each of City of London Group PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM"), which is controlled by CLIG and is the investment adviser to the funds listed above and the 11 unaffiliated third-party segregated accounts, hereby disclaims beneficial ownership of the reported securities and this report should not be deemed an admission of beneficial ownership of such securities for purposes of Section 16 or for any other purposes. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 347,754 |
Reported balance
Holding disclosure · report date 2018-05-30 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 347,754 F5: These securities are beneficially owned by Global Emerging Markets Fund. F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13: Each of City of London Group PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM"), which is controlled by CLIG and is the investment adviser to the funds listed above and the 11 unaffiliated third-party segregated accounts, hereby disclaims beneficial ownership of the reported securities and this report should not be deemed an admission of beneficial ownership of such securities for purposes of Section 16 or for any other purposes. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 214,761 |
Reported balance
Holding disclosure · report date 2018-05-30 · row 7
Holding and transaction disclosures are not merged.
1 source rowRow 7 · Balance 214,761 F7: These securities are beneficially owned by Emerging Free Markets Country Fund. F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13: Each of City of London Group PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM"), which is controlled by CLIG and is the investment adviser to the funds listed above and the 11 unaffiliated third-party segregated accounts, hereby disclaims beneficial ownership of the reported securities and this report should not be deemed an admission of beneficial ownership of such securities for purposes of Section 16 or for any other purposes. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 352,296 |
Reported balance
Holding disclosure · report date 2018-05-30 · row 8
Holding and transaction disclosures are not merged.
1 source rowRow 8 · Balance 352,296 F8: These securities are beneficially owned by Emerging Markets Country Fund. F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13: Each of City of London Group PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM"), which is controlled by CLIG and is the investment adviser to the funds listed above and the 11 unaffiliated third-party segregated accounts, hereby disclaims beneficial ownership of the reported securities and this report should not be deemed an admission of beneficial ownership of such securities for purposes of Section 16 or for any other purposes. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 52,009 |
Reported balance
Holding disclosure · report date 2018-05-30 · row 9
Holding and transaction disclosures are not merged.
1 source rowRow 9 · Balance 52,009 F9: These securities are beneficially owned by The EM Plus CEF Fund. F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13: Each of City of London Group PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM"), which is controlled by CLIG and is the investment adviser to the funds listed above and the 11 unaffiliated third-party segregated accounts, hereby disclaims beneficial ownership of the reported securities and this report should not be deemed an admission of beneficial ownership of such securities for purposes of Section 16 or for any other purposes. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 85,518 |
Reported balance
Holding disclosure · report date 2018-05-30 · row 10
Holding and transaction disclosures are not merged.
1 source rowRow 10 · Balance 85,518 F10: These securities are beneficially owned by EM Special Situations CEF Focused Fund. F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13: Each of City of London Group PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM"), which is controlled by CLIG and is the investment adviser to the funds listed above and the 11 unaffiliated third-party segregated accounts, hereby disclaims beneficial ownership of the reported securities and this report should not be deemed an admission of beneficial ownership of such securities for purposes of Section 16 or for any other purposes. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a Dublin, Ireland-listed open-ended investment company | 147,570 |
Reported balance
Holding disclosure · report date 2018-05-30 · row 6
Holding and transaction disclosures are not merged.
1 source rowRow 6 · Balance 147,570 F6: These securities are beneficially owned by The Emerging World Fund. F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13: Each of City of London Group PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM"), which is controlled by CLIG and is the investment adviser to the funds listed above and the 11 unaffiliated third-party segregated accounts, hereby disclaims beneficial ownership of the reported securities and this report should not be deemed an admission of beneficial ownership of such securities for purposes of Section 16 or for any other purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: These securities are beneficially owned by Emerging (BMI) Markets Country Fund.
F2: These securities are beneficially owned by Emerging Markets Free Fund.
F3: These securities are beneficially owned by Emerging Markets Global Fund.
F4: These securities are beneficially owned by Emerging Markets Investable Fund.
F5: These securities are beneficially owned by Global Emerging Markets Fund.
F6: These securities are beneficially owned by The Emerging World Fund.
F7: These securities are beneficially owned by Emerging Free Markets Country Fund.
F8: These securities are beneficially owned by Emerging Markets Country Fund.
F9: These securities are beneficially owned by The EM Plus CEF Fund.
F10: These securities are beneficially owned by EM Special Situations CEF Focused Fund.
F11: These securities are beneficially owned by 11 unaffiliated third-party segregated accounts.
F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer.
F13: Each of City of London Group PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM"), which is controlled by CLIG and is the investment adviser to the funds listed above and the 11 unaffiliated third-party segregated accounts, hereby disclaims beneficial ownership of the reported securities and this report should not be deemed an admission of beneficial ownership of such securities for purposes of Section 16 or for any other purposes.
MORGAN STANLEY INDIA INVESTMENT FUND, INC.
Report date March 12, 2018 · Filed March 14, 2018
Jointly reported with CITY OF LONDON INVESTMENT GROUP PLC
Section 16 reporting ended · disclosed 2018-03-14. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to unaffiliated third-party segregated accounts | 1,426,323 |
Last balance in matching sequence
After 2018-03-13 transaction · row 12
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 11 · 2018-03-12 · Sale · Disposed 32,044 · Balance 1,436,323 F11: These securities are beneficially owned by 12 unaffiliated third-party segregated accounts. F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13: Each of City of London Group PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM"), which is controlled by CLIG and is the investment adviser to the funds listed above and the 12 unaffiliated third-party segregated accounts, hereby disclaims beneficial ownership of the reported securities and this report should not be deemed an admission of beneficial ownership of such securities for purposes of Section 16 or for any other purposes. Row 12 · 2018-03-13 · Sale · Disposed 10,000 · Balance 1,426,323 F11: These securities are beneficially owned by 12 unaffiliated third-party segregated accounts. F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13: Each of City of London Group PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM"), which is controlled by CLIG and is the investment adviser to the funds listed above and the 12 unaffiliated third-party segregated accounts, hereby disclaims beneficial ownership of the reported securities and this report should not be deemed an admission of beneficial ownership of such securities for purposes of Section 16 or for any other purposes. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 377,731 |
Reported balance
Holding disclosure · report date 2018-03-12 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 377,731 F1: These securities are beneficially owned by Emerging (BMI) Markets Country Fund. F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13: Each of City of London Group PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM"), which is controlled by CLIG and is the investment adviser to the funds listed above and the 12 unaffiliated third-party segregated accounts, hereby disclaims beneficial ownership of the reported securities and this report should not be deemed an admission of beneficial ownership of such securities for purposes of Section 16 or for any other purposes. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 112,372 |
Reported balance
Holding disclosure · report date 2018-03-12 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 112,372 F2: These securities are beneficially owned by Emerging Markets Free Fund. F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13: Each of City of London Group PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM"), which is controlled by CLIG and is the investment adviser to the funds listed above and the 12 unaffiliated third-party segregated accounts, hereby disclaims beneficial ownership of the reported securities and this report should not be deemed an admission of beneficial ownership of such securities for purposes of Section 16 or for any other purposes. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 309,814 |
Reported balance
Holding disclosure · report date 2018-03-12 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 309,814 F3: These securities are beneficially owned by Emerging Markets Global Fund. F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13: Each of City of London Group PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM"), which is controlled by CLIG and is the investment adviser to the funds listed above and the 12 unaffiliated third-party segregated accounts, hereby disclaims beneficial ownership of the reported securities and this report should not be deemed an admission of beneficial ownership of such securities for purposes of Section 16 or for any other purposes. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 240,165 |
Reported balance
Holding disclosure · report date 2018-03-12 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 240,165 F4: These securities are beneficially owned by Emerging Markets Investable Fund. F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13: Each of City of London Group PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM"), which is controlled by CLIG and is the investment adviser to the funds listed above and the 12 unaffiliated third-party segregated accounts, hereby disclaims beneficial ownership of the reported securities and this report should not be deemed an admission of beneficial ownership of such securities for purposes of Section 16 or for any other purposes. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 234,879 |
Reported balance
Holding disclosure · report date 2018-03-12 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 234,879 F5: These securities are beneficially owned by Global Emerging Markets Fund. F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13: Each of City of London Group PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM"), which is controlled by CLIG and is the investment adviser to the funds listed above and the 12 unaffiliated third-party segregated accounts, hereby disclaims beneficial ownership of the reported securities and this report should not be deemed an admission of beneficial ownership of such securities for purposes of Section 16 or for any other purposes. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 214,662 |
Reported balance
Holding disclosure · report date 2018-03-12 · row 7
Holding and transaction disclosures are not merged.
1 source rowRow 7 · Balance 214,662 F7: These securities are beneficially owned by Emerging Free Markets Country Fund. F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13: Each of City of London Group PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM"), which is controlled by CLIG and is the investment adviser to the funds listed above and the 12 unaffiliated third-party segregated accounts, hereby disclaims beneficial ownership of the reported securities and this report should not be deemed an admission of beneficial ownership of such securities for purposes of Section 16 or for any other purposes. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 347,411 |
Reported balance
Holding disclosure · report date 2018-03-12 · row 8
Holding and transaction disclosures are not merged.
1 source rowRow 8 · Balance 347,411 F8: These securities are beneficially owned by Emerging Markets Country Fund. F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13: Each of City of London Group PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM"), which is controlled by CLIG and is the investment adviser to the funds listed above and the 12 unaffiliated third-party segregated accounts, hereby disclaims beneficial ownership of the reported securities and this report should not be deemed an admission of beneficial ownership of such securities for purposes of Section 16 or for any other purposes. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 61,941 |
Reported balance
Holding disclosure · report date 2018-03-12 · row 9
Holding and transaction disclosures are not merged.
1 source rowRow 9 · Balance 61,941 F9: These securities are beneficially owned by Investable Emerging Markets Country Fund. F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13: Each of City of London Group PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM"), which is controlled by CLIG and is the investment adviser to the funds listed above and the 12 unaffiliated third-party segregated accounts, hereby disclaims beneficial ownership of the reported securities and this report should not be deemed an admission of beneficial ownership of such securities for purposes of Section 16 or for any other purposes. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 28,263 |
Reported balance
Holding disclosure · report date 2018-03-12 · row 10
Holding and transaction disclosures are not merged.
1 source rowRow 10 · Balance 28,263 F10: These securities are beneficially owned by The EM Plus CEF Fund. F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13: Each of City of London Group PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM"), which is controlled by CLIG and is the investment adviser to the funds listed above and the 12 unaffiliated third-party segregated accounts, hereby disclaims beneficial ownership of the reported securities and this report should not be deemed an admission of beneficial ownership of such securities for purposes of Section 16 or for any other purposes. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a Dublin, Ireland-listed open-ended investment company | 176,790 |
Reported balance
Holding disclosure · report date 2018-03-12 · row 6
Holding and transaction disclosures are not merged.
1 source rowRow 6 · Balance 176,790 F6: These securities are beneficially owned by The Emerging World Fund. F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13: Each of City of London Group PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM"), which is controlled by CLIG and is the investment adviser to the funds listed above and the 12 unaffiliated third-party segregated accounts, hereby disclaims beneficial ownership of the reported securities and this report should not be deemed an admission of beneficial ownership of such securities for purposes of Section 16 or for any other purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: These securities are beneficially owned by Emerging (BMI) Markets Country Fund.
F2: These securities are beneficially owned by Emerging Markets Free Fund.
F3: These securities are beneficially owned by Emerging Markets Global Fund.
F4: These securities are beneficially owned by Emerging Markets Investable Fund.
F5: These securities are beneficially owned by Global Emerging Markets Fund.
F6: These securities are beneficially owned by The Emerging World Fund.
F7: These securities are beneficially owned by Emerging Free Markets Country Fund.
F8: These securities are beneficially owned by Emerging Markets Country Fund.
F9: These securities are beneficially owned by Investable Emerging Markets Country Fund.
F10: These securities are beneficially owned by The EM Plus CEF Fund.
F11: These securities are beneficially owned by 12 unaffiliated third-party segregated accounts.
F12: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer.
F13: Each of City of London Group PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM"), which is controlled by CLIG and is the investment adviser to the funds listed above and the 12 unaffiliated third-party segregated accounts, hereby disclaims beneficial ownership of the reported securities and this report should not be deemed an admission of beneficial ownership of such securities for purposes of Section 16 or for any other purposes.
TEMPLETON DRAGON FUND INC
Report date September 17, 2018 · Filed September 19, 2018
Jointly reported with CITY OF LONDON INVESTMENT GROUP PLC
Section 16 reporting ended · disclosed 2018-09-19. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 433,897 |
Reported balance
After 2018-09-17 transaction · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · 2018-09-17 · Sale · Disposed 57,844 · Balance 433,897 F4: These securities are beneficially owned by Emerging Markets Investable Fund. F13: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14: As 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 13 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 388,524 |
Reported balance
After 2018-09-18 transaction · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · 2018-09-18 · Sale · Disposed 45,373 · Balance 388,524 F4: These securities are beneficially owned by Emerging Markets Investable Fund. F13: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14: As 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 13 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 881,211 |
Reported balance
After 2018-09-17 transaction · row 9
Holding and transaction disclosures are not merged.
1 source rowRow 9 · 2018-09-17 · Sale · Disposed 77,125 · Balance 881,211 F8: These securities are beneficially owned by Emerging Markets Country Fund. F13: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14: As 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 13 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 805,589 |
Reported balance
After 2018-09-18 transaction · row 10
Holding and transaction disclosures are not merged.
1 source rowRow 10 · 2018-09-18 · Sale · Disposed 75,622 · Balance 805,589 F8: These securities are beneficially owned by Emerging Markets Country Fund. F13: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14: As 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 13 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 144,282 |
Reported balance
After 2018-09-18 transaction · row 11
Holding and transaction disclosures are not merged.
1 source rowRow 11 · 2018-09-18 · Sale · Disposed 15,124 · Balance 144,282 F9: These securities are beneficially owned by Investable Emerging Markets Country Fund. F13: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14: As 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 13 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 944,874 |
Reported balance
Holding disclosure · report date 2018-09-17 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 944,874 F1: These securities are beneficially owned by Emerging (BMI) Markets Country Fund. F13: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14: As 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 13 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 338,032 |
Reported balance
Holding disclosure · report date 2018-09-17 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 338,032 F2: These securities are beneficially owned by Emerging Markets Free Fund. F13: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14: As 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 13 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 796,525 |
Reported balance
Holding disclosure · report date 2018-09-17 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 796,525 F3: These securities are beneficially owned by Emerging Markets Global Fund. F13: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14: As 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 13 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 897,652 |
Reported balance
Holding disclosure · report date 2018-09-17 · row 6
Holding and transaction disclosures are not merged.
1 source rowRow 6 · Balance 897,652 F5: These securities are beneficially owned by Global Emerging Markets Fund. F13: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14: As 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 13 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 766,137 |
Reported balance
Holding disclosure · report date 2018-09-17 · row 8
Holding and transaction disclosures are not merged.
1 source rowRow 8 · Balance 766,137 F7: These securities are beneficially owned by Emerging Free Markets Country Fund. F13: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14: As 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 13 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 168,267 |
Reported balance
Holding disclosure · report date 2018-09-17 · row 12
Holding and transaction disclosures are not merged.
1 source rowRow 12 · Balance 168,267 F10: These securities are beneficially owned by The EM Plus CEF Fund. F13: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14: As 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 13 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 160,212 |
Reported balance
Holding disclosure · report date 2018-09-17 · row 13
Holding and transaction disclosures are not merged.
1 source rowRow 13 · Balance 160,212 F11: These securities are beneficially owned by EM Special Situations CEF Focused Fund. F13: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14: As 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 13 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a Dublin, Ireland-listed open-ended investment company | 283,373 |
Reported balance
Holding disclosure · report date 2018-09-17 · row 7
Holding and transaction disclosures are not merged.
1 source rowRow 7 · Balance 283,373 F6: These securities are beneficially owned by The Emerging World Fund. F13: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14: As 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 13 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to unaffiliated third-party segregated accounts | 3,948,588 |
Reported balance
Holding disclosure · report date 2018-09-17 · row 14
Holding and transaction disclosures are not merged.
1 source rowRow 14 · Balance 3,948,588 F12: These securities are beneficially owned by 13 unaffiliated third-party segregated accounts. F13: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14: As 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 13 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. |
Filing footnotes · ownership attribution and instrument terms
F1: These securities are beneficially owned by Emerging (BMI) Markets Country Fund.
F2: These securities are beneficially owned by Emerging Markets Free Fund.
F3: These securities are beneficially owned by Emerging Markets Global Fund.
F4: These securities are beneficially owned by Emerging Markets Investable Fund.
F5: These securities are beneficially owned by Global Emerging Markets Fund.
F6: These securities are beneficially owned by The Emerging World Fund.
F7: These securities are beneficially owned by Emerging Free Markets Country Fund.
F8: These securities are beneficially owned by Emerging Markets Country Fund.
F9: These securities are beneficially owned by Investable Emerging Markets Country Fund.
F10: These securities are beneficially owned by The EM Plus CEF Fund.
F11: These securities are beneficially owned by EM Special Situations CEF Focused Fund.
F12: These securities are beneficially owned by 13 unaffiliated third-party segregated accounts.
F13: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer.
F14: As 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 13 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities.
THAI FUND, INC.
Report date December 20, 2017 · Filed December 22, 2017
Jointly reported with CITY OF LONDON INVESTMENT GROUP PLC
Section 16 reporting ended · disclosed 2017-12-22. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a Dublin, Ireland-listed open-ended investment company | 87,806 |
Reported balance
After 2017-12-20 transaction · row 5
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 5 · 2017-12-20 · Sale · Disposed 50,000 · Balance 87,806 F5: These securities are beneficially owned by The Emerging World Fund. F11: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F12: Each of City of London Group PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM"), which is controlled by CLIG and is the investment adviser to the funds listed above and the 9 unaffiliated third-party segregated accounts, hereby disclaims beneficial ownership of the reported securities and this report should not be deemed an admission of beneficial ownership of such securities for purposes of Section 16 or for any other purposes. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to unaffiliated third-party segregated accounts | 1,133,913 |
Last balance in matching sequence
After 2017-12-21 transaction · row 11
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 10 · 2017-12-20 · Sale · Disposed 25,000 · Balance 1,148,915 F10: These securities are beneficially owned by 9 unaffiliated third-party segregated accounts. F11: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F12: Each of City of London Group PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM"), which is controlled by CLIG and is the investment adviser to the funds listed above and the 9 unaffiliated third-party segregated accounts, hereby disclaims beneficial ownership of the reported securities and this report should not be deemed an admission of beneficial ownership of such securities for purposes of Section 16 or for any other purposes. Row 11 · 2017-12-21 · Sale · Disposed 15,002 · Balance 1,133,913 F10: These securities are beneficially owned by 9 unaffiliated third-party segregated accounts. F11: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F12: Each of City of London Group PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM"), which is controlled by CLIG and is the investment adviser to the funds listed above and the 9 unaffiliated third-party segregated accounts, hereby disclaims beneficial ownership of the reported securities and this report should not be deemed an admission of beneficial ownership of such securities for purposes of Section 16 or for any other purposes. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 375,023 |
Reported balance
Holding disclosure · report date 2017-12-20 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 375,023 F1: These securities are beneficially owned by Emerging (BMI) Markets Country Fund. F11: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F12: Each of City of London Group PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM"), which is controlled by CLIG and is the investment adviser to the funds listed above and the 9 unaffiliated third-party segregated accounts, hereby disclaims beneficial ownership of the reported securities and this report should not be deemed an admission of beneficial ownership of such securities for purposes of Section 16 or for any other purposes. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 109,475 |
Reported balance
Holding disclosure · report date 2017-12-20 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 109,475 F2: These securities are beneficially owned by Emerging Markets Free Fund. F11: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F12: Each of City of London Group PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM"), which is controlled by CLIG and is the investment adviser to the funds listed above and the 9 unaffiliated third-party segregated accounts, hereby disclaims beneficial ownership of the reported securities and this report should not be deemed an admission of beneficial ownership of such securities for purposes of Section 16 or for any other purposes. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 275,139 |
Reported balance
Holding disclosure · report date 2017-12-20 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 275,139 F3: These securities are beneficially owned by Emerging Markets Global Fund. F11: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F12: Each of City of London Group PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM"), which is controlled by CLIG and is the investment adviser to the funds listed above and the 9 unaffiliated third-party segregated accounts, hereby disclaims beneficial ownership of the reported securities and this report should not be deemed an admission of beneficial ownership of such securities for purposes of Section 16 or for any other purposes. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 250,985 |
Reported balance
Holding disclosure · report date 2017-12-20 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 250,985 F4: These securities are beneficially owned by Global Emerging Markets Fund. F11: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F12: Each of City of London Group PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM"), which is controlled by CLIG and is the investment adviser to the funds listed above and the 9 unaffiliated third-party segregated accounts, hereby disclaims beneficial ownership of the reported securities and this report should not be deemed an admission of beneficial ownership of such securities for purposes of Section 16 or for any other purposes. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 169,802 |
Reported balance
Holding disclosure · report date 2017-12-20 · row 6
Holding and transaction disclosures are not merged.
1 source rowRow 6 · Balance 169,802 F6: These securities are beneficially owned by Emerging Free Markets Country Fund. F11: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F12: Each of City of London Group PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM"), which is controlled by CLIG and is the investment adviser to the funds listed above and the 9 unaffiliated third-party segregated accounts, hereby disclaims beneficial ownership of the reported securities and this report should not be deemed an admission of beneficial ownership of such securities for purposes of Section 16 or for any other purposes. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 238,275 |
Reported balance
Holding disclosure · report date 2017-12-20 · row 7
Holding and transaction disclosures are not merged.
1 source rowRow 7 · Balance 238,275 F7: These securities are beneficially owned by Emerging Markets Country Fund. F11: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F12: Each of City of London Group PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM"), which is controlled by CLIG and is the investment adviser to the funds listed above and the 9 unaffiliated third-party segregated accounts, hereby disclaims beneficial ownership of the reported securities and this report should not be deemed an admission of beneficial ownership of such securities for purposes of Section 16 or for any other purposes. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 32,481 |
Reported balance
Holding disclosure · report date 2017-12-20 · row 8
Holding and transaction disclosures are not merged.
1 source rowRow 8 · Balance 32,481 F8: These securities are beneficially owned by Investable Emerging Markets Country Fund. F11: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F12: Each of City of London Group PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM"), which is controlled by CLIG and is the investment adviser to the funds listed above and the 9 unaffiliated third-party segregated accounts, hereby disclaims beneficial ownership of the reported securities and this report should not be deemed an admission of beneficial ownership of such securities for purposes of Section 16 or for any other purposes. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 43,448 |
Reported balance
Holding disclosure · report date 2017-12-20 · row 9
Holding and transaction disclosures are not merged.
1 source rowRow 9 · Balance 43,448 F9: These securities are beneficially owned by The EM Plus CEF Fund. F11: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F12: Each of City of London Group PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM"), which is controlled by CLIG and is the investment adviser to the funds listed above and the 9 unaffiliated third-party segregated accounts, hereby disclaims beneficial ownership of the reported securities and this report should not be deemed an admission of beneficial ownership of such securities for purposes of Section 16 or for any other purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: These securities are beneficially owned by Emerging (BMI) Markets Country Fund.
F2: These securities are beneficially owned by Emerging Markets Free Fund.
F3: These securities are beneficially owned by Emerging Markets Global Fund.
F4: These securities are beneficially owned by Global Emerging Markets Fund.
F5: These securities are beneficially owned by The Emerging World Fund.
F6: These securities are beneficially owned by Emerging Free Markets Country Fund.
F7: These securities are beneficially owned by Emerging Markets Country Fund.
F8: These securities are beneficially owned by Investable Emerging Markets Country Fund.
F9: These securities are beneficially owned by The EM Plus CEF Fund.
F10: These securities are beneficially owned by 9 unaffiliated third-party segregated accounts.
F11: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer.
F12: Each of City of London Group PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM"), which is controlled by CLIG and is the investment adviser to the funds listed above and the 9 unaffiliated third-party segregated accounts, hereby disclaims beneficial ownership of the reported securities and this report should not be deemed an admission of beneficial ownership of such securities for purposes of Section 16 or for any other purposes.
abrdn Emerging Markets ex-China Fund, Inc.
Report date June 27, 2018 · Filed June 29, 2018
Jointly reported with CITY OF LONDON INVESTMENT GROUP PLC
Section 16 reporting ended · disclosed 2018-06-29. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 1,132,098 |
Reported balance
After 2018-06-27 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2018-06-27 · Sale · Disposed 895,107 · Balance 1,132,098 F1: These securities are beneficially owned by Emerging (BMI) Markets Country Fund. F13: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14: Each of City of London Group PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM"), which is controlled by CLIG and is the investment adviser to the funds listed above and the 14 unaffiliated third-party segregated accounts, hereby disclaims beneficial ownership of the reported securities and this report should not be deemed an admission of beneficial ownership of such securities for purposes of Section 16 or for any other purposes. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 474,875 |
Reported balance
After 2018-06-27 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2018-06-27 · Sale · Disposed 375,465 · Balance 474,875 F2: These securities are beneficially owned by Emerging Markets Free Fund. F13: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14: Each of City of London Group PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM"), which is controlled by CLIG and is the investment adviser to the funds listed above and the 14 unaffiliated third-party segregated accounts, hereby disclaims beneficial ownership of the reported securities and this report should not be deemed an admission of beneficial ownership of such securities for purposes of Section 16 or for any other purposes. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 990,566 |
Reported balance
After 2018-06-27 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2018-06-27 · Sale · Disposed 783,204 · Balance 990,566 F3: These securities are beneficially owned by Emerging Markets Global Fund. F13: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14: Each of City of London Group PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM"), which is controlled by CLIG and is the investment adviser to the funds listed above and the 14 unaffiliated third-party segregated accounts, hereby disclaims beneficial ownership of the reported securities and this report should not be deemed an admission of beneficial ownership of such securities for purposes of Section 16 or for any other purposes. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 688,249 |
Reported balance
After 2018-06-27 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2018-06-27 · Sale · Disposed 544,173 · Balance 688,249 F4: These securities are beneficially owned by Emerging Markets Investable Fund. F13: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14: Each of City of London Group PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM"), which is controlled by CLIG and is the investment adviser to the funds listed above and the 14 unaffiliated third-party segregated accounts, hereby disclaims beneficial ownership of the reported securities and this report should not be deemed an admission of beneficial ownership of such securities for purposes of Section 16 or for any other purposes. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 996,046 |
Reported balance
After 2018-06-27 transaction · row 5
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 5 · 2018-06-27 · Sale · Disposed 787,537 · Balance 996,046 F5: These securities are beneficially owned by Global Emerging Markets Fund. F13: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14: Each of City of London Group PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM"), which is controlled by CLIG and is the investment adviser to the funds listed above and the 14 unaffiliated third-party segregated accounts, hereby disclaims beneficial ownership of the reported securities and this report should not be deemed an admission of beneficial ownership of such securities for purposes of Section 16 or for any other purposes. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 841,151 |
Reported balance
After 2018-06-27 transaction · row 7
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 7 · 2018-06-27 · Sale · Disposed 665,066 · Balance 841,151 F7: These securities are beneficially owned by Emerging (Free) Markets Country Fund. F13: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14: Each of City of London Group PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM"), which is controlled by CLIG and is the investment adviser to the funds listed above and the 14 unaffiliated third-party segregated accounts, hereby disclaims beneficial ownership of the reported securities and this report should not be deemed an admission of beneficial ownership of such securities for purposes of Section 16 or for any other purposes. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 1,086,085 |
Reported balance
After 2018-06-27 transaction · row 8
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 8 · 2018-06-27 · Sale · Disposed 858,726 · Balance 1,086,085 F8: These securities are beneficially owned by Emerging Markets Country Fund. F13: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14: Each of City of London Group PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM"), which is controlled by CLIG and is the investment adviser to the funds listed above and the 14 unaffiliated third-party segregated accounts, hereby disclaims beneficial ownership of the reported securities and this report should not be deemed an admission of beneficial ownership of such securities for purposes of Section 16 or for any other purposes. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 274,374 |
Reported balance
After 2018-06-27 transaction · row 9
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 9 · 2018-06-27 · Sale · Disposed 216,937 · Balance 274,374 F9: These securities are beneficially owned by Investable Emerging Markets Country Fund. F13: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14: Each of City of London Group PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM"), which is controlled by CLIG and is the investment adviser to the funds listed above and the 14 unaffiliated third-party segregated accounts, hereby disclaims beneficial ownership of the reported securities and this report should not be deemed an admission of beneficial ownership of such securities for purposes of Section 16 or for any other purposes. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 225,096 |
Reported balance
After 2018-06-27 transaction · row 10
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 10 · 2018-06-27 · Sale · Disposed 177,975 · Balance 225,096 F10: These securities are beneficially owned by The EM Plus CEF Fund. F13: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14: Each of City of London Group PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM"), which is controlled by CLIG and is the investment adviser to the funds listed above and the 14 unaffiliated third-party segregated accounts, hereby disclaims beneficial ownership of the reported securities and this report should not be deemed an admission of beneficial ownership of such securities for purposes of Section 16 or for any other purposes. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a private investment fund | 300,880 |
Reported balance
After 2018-06-27 transaction · row 11
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 11 · 2018-06-27 · Sale · Disposed 237,894 · Balance 300,880 F11: These securities are beneficially owned by EM Special Situations CEF Focused Fund. F13: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14: Each of City of London Group PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM"), which is controlled by CLIG and is the investment adviser to the funds listed above and the 14 unaffiliated third-party segregated accounts, hereby disclaims beneficial ownership of the reported securities and this report should not be deemed an admission of beneficial ownership of such securities for purposes of Section 16 or for any other purposes. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to a Dublin, Ireland-listed open-ended investment company | 540,755 |
Reported balance
After 2018-06-27 transaction · row 6
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 6 · 2018-06-27 · Sale · Disposed 427,555 · Balance 540,755 F6: These securities are beneficially owned by The World Markets Umbrella Fund. F13: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14: Each of City of London Group PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM"), which is controlled by CLIG and is the investment adviser to the funds listed above and the 14 unaffiliated third-party segregated accounts, hereby disclaims beneficial ownership of the reported securities and this report should not be deemed an admission of beneficial ownership of such securities for purposes of Section 16 or for any other purposes. |
| Common Stock, par value $.01 per shareSEC Table I · non-derivative | IndirectAs investment adviser to unaffiliated third-party segregated accounts | 6,611,774 |
Reported balance
After 2018-06-27 transaction · row 12
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 12 · 2018-06-27 · Sale · Disposed 5,227,679 · Balance 6,611,774 F12: These securities are beneficially owned by 14 unaffiliated third-party segregated accounts. F13: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14: Each of City of London Group PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM"), which is controlled by CLIG and is the investment adviser to the funds listed above and the 14 unaffiliated third-party segregated accounts, hereby disclaims beneficial ownership of the reported securities and this report should not be deemed an admission of beneficial ownership of such securities for purposes of Section 16 or for any other purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: These securities are beneficially owned by Emerging (BMI) Markets Country Fund.
F2: These securities are beneficially owned by Emerging Markets Free Fund.
F3: These securities are beneficially owned by Emerging Markets Global Fund.
F4: These securities are beneficially owned by Emerging Markets Investable Fund.
F5: These securities are beneficially owned by Global Emerging Markets Fund.
F6: These securities are beneficially owned by The World Markets Umbrella Fund.
F7: These securities are beneficially owned by Emerging (Free) Markets Country Fund.
F8: These securities are beneficially owned by Emerging Markets Country Fund.
F9: These securities are beneficially owned by Investable Emerging Markets Country Fund.
F10: These securities are beneficially owned by The EM Plus CEF Fund.
F11: These securities are beneficially owned by EM Special Situations CEF Focused Fund.
F12: These securities are beneficially owned by 14 unaffiliated third-party segregated accounts.
F13: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer.
F14: Each of City of London Group PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM"), which is controlled by CLIG and is the investment adviser to the funds listed above and the 14 unaffiliated third-party segregated accounts, hereby disclaims beneficial ownership of the reported securities and this report should not be deemed an admission of beneficial ownership of such securities for purposes of Section 16 or for any other purposes.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| June 27, 2018 Filed Jun 29, 2018 20:06 UTC | abrdn Emerging Markets ex-China Fund, Inc. AEF · Entity 5686 | SaleCommon Stock, par value $.01 per share | 216,937 | $7.90 | $1,713,845.69 |
DisclosureSEC source: 0001072613-18-000399 · aemeif-4_18217.xml · nonDerivative · entry 9 CITY OF LONDON INVESTMENT GROUP PLC · CIK 0001018138 · 10% owner CITY OF LONDON INVESTMENT MANAGEMENT CO LTD · CIK 0001034546 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · As investment adviser to a private investment fund Disclosed balance after: 274,374 F9 · security: These securities are beneficially owned by Investable Emerging Markets Country Fund. F13 · balance_after: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14 · ownership.nature: Each of City of London Group PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM"), which is controlled by CLIG and is the investment adviser to the funds listed above and the 14 unaffiliated third-party segregated accounts, hereby disclaims beneficial ownership of the reported securities and this report should not be deemed an admission of beneficial ownership of such securities for purposes of Section 16 or for any other purposes. Read SEC document |
| June 27, 2018 Filed Jun 29, 2018 20:06 UTC | abrdn Emerging Markets ex-China Fund, Inc. AEF · Entity 5686 | SaleCommon Stock, par value $.01 per share | 858,726 | $7.90 | $6,784,107.15 |
DisclosureSEC source: 0001072613-18-000399 · aemeif-4_18217.xml · nonDerivative · entry 8 CITY OF LONDON INVESTMENT GROUP PLC · CIK 0001018138 · 10% owner CITY OF LONDON INVESTMENT MANAGEMENT CO LTD · CIK 0001034546 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · As investment adviser to a private investment fund Disclosed balance after: 1,086,085 F8 · security: These securities are beneficially owned by Emerging Markets Country Fund. F13 · balance_after: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14 · ownership.nature: Each of City of London Group PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM"), which is controlled by CLIG and is the investment adviser to the funds listed above and the 14 unaffiliated third-party segregated accounts, hereby disclaims beneficial ownership of the reported securities and this report should not be deemed an admission of beneficial ownership of such securities for purposes of Section 16 or for any other purposes. Read SEC document |
| June 27, 2018 Filed Jun 29, 2018 20:06 UTC | abrdn Emerging Markets ex-China Fund, Inc. AEF · Entity 5686 | SaleCommon Stock, par value $.01 per share | 665,066 | $7.90 | $5,254,154.41 |
DisclosureSEC source: 0001072613-18-000399 · aemeif-4_18217.xml · nonDerivative · entry 7 CITY OF LONDON INVESTMENT GROUP PLC · CIK 0001018138 · 10% owner CITY OF LONDON INVESTMENT MANAGEMENT CO LTD · CIK 0001034546 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · As investment adviser to a private investment fund Disclosed balance after: 841,151 F7 · security: These securities are beneficially owned by Emerging (Free) Markets Country Fund. F13 · balance_after: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14 · ownership.nature: Each of City of London Group PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM"), which is controlled by CLIG and is the investment adviser to the funds listed above and the 14 unaffiliated third-party segregated accounts, hereby disclaims beneficial ownership of the reported securities and this report should not be deemed an admission of beneficial ownership of such securities for purposes of Section 16 or for any other purposes. Read SEC document |
| June 27, 2018 Filed Jun 29, 2018 20:06 UTC | abrdn Emerging Markets ex-China Fund, Inc. AEF · Entity 5686 | SaleCommon Stock, par value $.01 per share | 427,555 | $7.90 | $3,377,770.01 |
DisclosureSEC source: 0001072613-18-000399 · aemeif-4_18217.xml · nonDerivative · entry 6 CITY OF LONDON INVESTMENT GROUP PLC · CIK 0001018138 · 10% owner CITY OF LONDON INVESTMENT MANAGEMENT CO LTD · CIK 0001034546 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · As investment adviser to a Dublin, Ireland-listed open-ended investment company Disclosed balance after: 540,755 F6 · security: These securities are beneficially owned by The World Markets Umbrella Fund. F13 · balance_after: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14 · ownership.nature: Each of City of London Group PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM"), which is controlled by CLIG and is the investment adviser to the funds listed above and the 14 unaffiliated third-party segregated accounts, hereby disclaims beneficial ownership of the reported securities and this report should not be deemed an admission of beneficial ownership of such securities for purposes of Section 16 or for any other purposes. Read SEC document |
| June 27, 2018 Filed Jun 29, 2018 20:06 UTC | abrdn Emerging Markets ex-China Fund, Inc. AEF · Entity 5686 | SaleCommon Stock, par value $.01 per share | 787,537 | $7.90 | $6,221,699.81 |
DisclosureSEC source: 0001072613-18-000399 · aemeif-4_18217.xml · nonDerivative · entry 5 CITY OF LONDON INVESTMENT GROUP PLC · CIK 0001018138 · 10% owner CITY OF LONDON INVESTMENT MANAGEMENT CO LTD · CIK 0001034546 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · As investment adviser to a private investment fund Disclosed balance after: 996,046 F5 · security: These securities are beneficially owned by Global Emerging Markets Fund. F13 · balance_after: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14 · ownership.nature: Each of City of London Group PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM"), which is controlled by CLIG and is the investment adviser to the funds listed above and the 14 unaffiliated third-party segregated accounts, hereby disclaims beneficial ownership of the reported securities and this report should not be deemed an admission of beneficial ownership of such securities for purposes of Section 16 or for any other purposes. Read SEC document |
| June 27, 2018 Filed Jun 29, 2018 20:06 UTC | abrdn Emerging Markets ex-China Fund, Inc. AEF · Entity 5686 | SaleCommon Stock, par value $.01 per share | 544,173 | $7.90 | $4,299,075.53 |
DisclosureSEC source: 0001072613-18-000399 · aemeif-4_18217.xml · nonDerivative · entry 4 CITY OF LONDON INVESTMENT GROUP PLC · CIK 0001018138 · 10% owner CITY OF LONDON INVESTMENT MANAGEMENT CO LTD · CIK 0001034546 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · As investment adviser to a private investment fund Disclosed balance after: 688,249 F4 · security: These securities are beneficially owned by Emerging Markets Investable Fund. F13 · balance_after: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14 · ownership.nature: Each of City of London Group PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM"), which is controlled by CLIG and is the investment adviser to the funds listed above and the 14 unaffiliated third-party segregated accounts, hereby disclaims beneficial ownership of the reported securities and this report should not be deemed an admission of beneficial ownership of such securities for purposes of Section 16 or for any other purposes. Read SEC document |
| June 27, 2018 Filed Jun 29, 2018 20:06 UTC | abrdn Emerging Markets ex-China Fund, Inc. AEF · Entity 5686 | SaleCommon Stock, par value $.01 per share | 783,204 | $7.90 | $6,187,468.24 |
DisclosureSEC source: 0001072613-18-000399 · aemeif-4_18217.xml · nonDerivative · entry 3 CITY OF LONDON INVESTMENT GROUP PLC · CIK 0001018138 · 10% owner CITY OF LONDON INVESTMENT MANAGEMENT CO LTD · CIK 0001034546 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · As investment adviser to a private investment fund Disclosed balance after: 990,566 F3 · security: These securities are beneficially owned by Emerging Markets Global Fund. F13 · balance_after: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14 · ownership.nature: Each of City of London Group PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM"), which is controlled by CLIG and is the investment adviser to the funds listed above and the 14 unaffiliated third-party segregated accounts, hereby disclaims beneficial ownership of the reported securities and this report should not be deemed an admission of beneficial ownership of such securities for purposes of Section 16 or for any other purposes. Read SEC document |
| June 27, 2018 Filed Jun 29, 2018 20:06 UTC | abrdn Emerging Markets ex-China Fund, Inc. AEF · Entity 5686 | SaleCommon Stock, par value $.01 per share | 375,465 | $7.90 | $2,966,248.59 |
DisclosureSEC source: 0001072613-18-000399 · aemeif-4_18217.xml · nonDerivative · entry 2 CITY OF LONDON INVESTMENT GROUP PLC · CIK 0001018138 · 10% owner CITY OF LONDON INVESTMENT MANAGEMENT CO LTD · CIK 0001034546 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · As investment adviser to a private investment fund Disclosed balance after: 474,875 F2 · security: These securities are beneficially owned by Emerging Markets Free Fund. F13 · balance_after: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14 · ownership.nature: Each of City of London Group PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM"), which is controlled by CLIG and is the investment adviser to the funds listed above and the 14 unaffiliated third-party segregated accounts, hereby disclaims beneficial ownership of the reported securities and this report should not be deemed an admission of beneficial ownership of such securities for purposes of Section 16 or for any other purposes. Read SEC document |
| June 27, 2018 Filed Jun 29, 2018 20:06 UTC | abrdn Emerging Markets ex-China Fund, Inc. AEF · Entity 5686 | SaleCommon Stock, par value $.01 per share | 895,107 | $7.90 | $7,071,524.32 |
DisclosureSEC source: 0001072613-18-000399 · aemeif-4_18217.xml · nonDerivative · entry 1 CITY OF LONDON INVESTMENT GROUP PLC · CIK 0001018138 · 10% owner CITY OF LONDON INVESTMENT MANAGEMENT CO LTD · CIK 0001034546 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · As investment adviser to a private investment fund Disclosed balance after: 1,132,098 F1 · security: These securities are beneficially owned by Emerging (BMI) Markets Country Fund. F13 · balance_after: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14 · ownership.nature: Each of City of London Group PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM"), which is controlled by CLIG and is the investment adviser to the funds listed above and the 14 unaffiliated third-party segregated accounts, hereby disclaims beneficial ownership of the reported securities and this report should not be deemed an admission of beneficial ownership of such securities for purposes of Section 16 or for any other purposes. Read SEC document |
| June 26, 2018 Filed Jun 27, 2018 20:04 UTC | TEMPLETON DRAGON FUND INC TDF · Entity 6058 | PurchaseCommon Stock, par value $.01 per share | 4,214 | $21.36 | $90,011.04 |
DisclosureSEC source: 0001072613-18-000396 · templeton-4_18217.xml · nonDerivative · entry 12 CITY OF LONDON INVESTMENT GROUP PLC · CIK 0001018138 · 10% owner CITY OF LONDON INVESTMENT MANAGEMENT CO LTD · CIK 0001034546 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · As investment adviser to unaffiliated third-party segregated accounts Disclosed balance after: 3,744,421 F12 · security: These securities are beneficially owned by 13 unaffiliated third-party segregated accounts. F13 · balance_after: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14 · ownership.nature: As 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 13 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. Read SEC document |
| June 26, 2018 Filed Jun 27, 2018 20:04 UTC | TEMPLETON DRAGON FUND INC TDF · Entity 6058 | PurchaseCommon Stock, par value $.01 per share | 2,107 | $21.36 | $45,005.52 |
DisclosureSEC source: 0001072613-18-000396 · templeton-4_18217.xml · nonDerivative · entry 11 CITY OF LONDON INVESTMENT GROUP PLC · CIK 0001018138 · 10% owner CITY OF LONDON INVESTMENT MANAGEMENT CO LTD · CIK 0001034546 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · As investment adviser to a private investment fund Disclosed balance after: 150,787 F11 · security: These securities are beneficially owned by EM Special Situations CEF Focused Fund. F13 · balance_after: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14 · ownership.nature: As 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 13 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. Read SEC document |
| June 26, 2018 Filed Jun 27, 2018 20:04 UTC | TEMPLETON DRAGON FUND INC TDF · Entity 6058 | PurchaseCommon Stock, par value $.01 per share | 2,107 | $21.36 | $45,005.52 |
DisclosureSEC source: 0001072613-18-000396 · templeton-4_18217.xml · nonDerivative · entry 10 CITY OF LONDON INVESTMENT GROUP PLC · CIK 0001018138 · 10% owner CITY OF LONDON INVESTMENT MANAGEMENT CO LTD · CIK 0001034546 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · As investment adviser to a private investment fund Disclosed balance after: 162,142 F10 · security: These securities are beneficially owned by The EM Plus CEF Fund. F13 · balance_after: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14 · ownership.nature: As 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 13 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. Read SEC document |
| June 26, 2018 Filed Jun 27, 2018 20:04 UTC | TEMPLETON DRAGON FUND INC TDF · Entity 6058 | PurchaseCommon Stock, par value $.01 per share | 11,939 | $21.36 | $255,017.04 |
DisclosureSEC source: 0001072613-18-000396 · templeton-4_18217.xml · nonDerivative · entry 5 CITY OF LONDON INVESTMENT GROUP PLC · CIK 0001018138 · 10% owner CITY OF LONDON INVESTMENT MANAGEMENT CO LTD · CIK 0001034546 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · As investment adviser to a private investment fund Disclosed balance after: 868,668 F5 · security: These securities are beneficially owned by Global Emerging Markets Fund. F13 · balance_after: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14 · ownership.nature: As 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 13 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. Read SEC document |
| June 25, 2018 Filed Jun 26, 2018 20:02 UTC | TEMPLETON DRAGON FUND INC TDF · Entity 6058 | PurchaseCommon Stock, par value $.01 per share | 1,600 | $21.39 | $34,224.00 |
DisclosureSEC source: 0001072613-18-000395 · templeton-4_18217.xml · nonDerivative · entry 12 CITY OF LONDON INVESTMENT GROUP PLC · CIK 0001018138 · 10% owner CITY OF LONDON INVESTMENT MANAGEMENT CO LTD · CIK 0001034546 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · As investment adviser to unaffiliated third-party segregated accounts Disclosed balance after: 3,740,207 F12 · security: These securities are beneficially owned by 13 unaffiliated third-party segregated accounts. F13 · balance_after: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14 · ownership.nature: As 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 13 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. Read SEC document |
| June 25, 2018 Filed Jun 26, 2018 20:02 UTC | TEMPLETON DRAGON FUND INC TDF · Entity 6058 | PurchaseCommon Stock, par value $.01 per share | 14,400 | $21.39 | $308,016.00 |
DisclosureSEC source: 0001072613-18-000395 · templeton-4_18217.xml · nonDerivative · entry 7 CITY OF LONDON INVESTMENT GROUP PLC · CIK 0001018138 · 10% owner CITY OF LONDON INVESTMENT MANAGEMENT CO LTD · CIK 0001034546 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · As investment adviser to a private investment fund Disclosed balance after: 622,735 F7 · security: These securities are beneficially owned by Emerging Free Markets Country Fund. F13 · balance_after: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14 · ownership.nature: As 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 13 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. Read SEC document |
| June 22, 2018 Filed Jun 25, 2018 20:08 UTC | TAIWAN FUND INC TWN · Entity 5350 | SaleCommon Stock, par value $.01 per share | 1,704 | $20.50 | $34,932.00 |
DisclosureSEC source: 0001072613-18-000394 · taiwan-4_18217.xml · nonDerivative · entry 11 CITY OF LONDON INVESTMENT GROUP PLC · CIK 0001018138 · 10% owner CITY OF LONDON INVESTMENT MANAGEMENT CO LTD · CIK 0001034546 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · As investment adviser to unaffiliated third-party segregated accounts Disclosed balance after: 1,489,413 F11 · security: These securities are beneficially owned by 10 unaffiliated third-party segregated accounts. F12 · balance_after: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13 · ownership.nature: As 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 10 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. Read SEC document |
| June 20, 2018 Filed Jun 22, 2018 13:36 UTC | KOREA FUND INC KF · Entity 6087 | SaleCommon Stock, par value $.01 per share | 1,200 | $38.80 | $46,560.00 |
DisclosureSEC source: 0001072613-18-000390 · koreafund-4_18217.xml · nonDerivative · entry 11 CITY OF LONDON INVESTMENT GROUP PLC · CIK 0001018138 · 10% owner CITY OF LONDON INVESTMENT MANAGEMENT CO LTD · CIK 0001034546 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · As investment adviser to unaffiliated third-party segregated accounts Disclosed balance after: 837,635 F11 · security: These securities are beneficially owned by 10 unaffiliated third-party segregated accounts. F12 · balance_after: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13 · ownership.nature: As 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 10 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. Read SEC document |
| June 20, 2018 Filed Jun 22, 2018 13:36 UTC | TEMPLETON DRAGON FUND INC TDF · Entity 6058 | PurchaseCommon Stock, par value $.01 per share | 5,000 | $22.00 | $110,000.00 |
DisclosureSEC source: 0001072613-18-000391 · templeton-4_18217.xml · nonDerivative · entry 12 CITY OF LONDON INVESTMENT GROUP PLC · CIK 0001018138 · 10% owner CITY OF LONDON INVESTMENT MANAGEMENT CO LTD · CIK 0001034546 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · As investment adviser to unaffiliated third-party segregated accounts Disclosed balance after: 3,738,607 F12 · security: These securities are beneficially owned by 13 unaffiliated third-party segregated accounts. F13 · balance_after: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14 · ownership.nature: As 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 13 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. Read SEC document |
| June 20, 2018 Filed Jun 22, 2018 13:36 UTC | TEMPLETON DRAGON FUND INC TDF · Entity 6058 | PurchaseCommon Stock, par value $.01 per share | 6,281 | $22.00 | $138,182.00 |
DisclosureSEC source: 0001072613-18-000391 · templeton-4_18217.xml · nonDerivative · entry 7 CITY OF LONDON INVESTMENT GROUP PLC · CIK 0001018138 · 10% owner CITY OF LONDON INVESTMENT MANAGEMENT CO LTD · CIK 0001034546 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · As investment adviser to a private investment fund Disclosed balance after: 608,335 F7 · security: These securities are beneficially owned by Emerging Free Markets Country Fund. F13 · balance_after: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14 · ownership.nature: As 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 13 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. Read SEC document |
| June 18, 2018 Filed Jun 19, 2018 20:27 UTC | KOREA FUND INC KF · Entity 6087 | SaleCommon Stock, par value $.01 per share | 3,116 | $39.01 | $121,555.16 |
DisclosureSEC source: 0001072613-18-000388 · koreafund-4_18217.xml · nonDerivative · entry 4 CITY OF LONDON INVESTMENT GROUP PLC · CIK 0001018138 · 10% owner CITY OF LONDON INVESTMENT MANAGEMENT CO LTD · CIK 0001034546 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · As investment adviser to a private investment fund Disclosed balance after: 129,462 F4 · security: These securities are beneficially owned by Emerging Markets Investable Fund. F12 · balance_after: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13 · ownership.nature: As 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 10 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. Read SEC document |
| June 18, 2018 Filed Jun 19, 2018 20:28 UTC | TAIWAN FUND INC TWN · Entity 5350 | SaleCommon Stock, par value $.01 per share | 10,000 | $20.70 | $207,000.00 |
DisclosureSEC source: 0001072613-18-000389 · taiwan-4_18217.xml · nonDerivative · entry 11 CITY OF LONDON INVESTMENT GROUP PLC · CIK 0001018138 · 10% owner CITY OF LONDON INVESTMENT MANAGEMENT CO LTD · CIK 0001034546 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · As investment adviser to unaffiliated third-party segregated accounts Disclosed balance after: 1,491,117 F11 · security: These securities are beneficially owned by 10 unaffiliated third-party segregated accounts. F12 · balance_after: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13 · ownership.nature: As 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 10 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. Read SEC document |
| June 14, 2018 Filed Jun 15, 2018 20:03 UTC | TAIWAN FUND INC TWN · Entity 5350 | SaleCommon Stock, par value $.01 per share | 25,000 | $21.15 | $528,750.00 |
DisclosureSEC source: 0001072613-18-000386 · taiwan-4_18217.xml · nonDerivative · entry 11 CITY OF LONDON INVESTMENT GROUP PLC · CIK 0001018138 · 10% owner CITY OF LONDON INVESTMENT MANAGEMENT CO LTD · CIK 0001034546 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · As investment adviser to unaffiliated third-party segregated accounts Disclosed balance after: 1,501,117 F11 · security: These securities are beneficially owned by 10 unaffiliated third-party segregated accounts. F12 · balance_after: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13 · ownership.nature: As 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 10 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. Read SEC document |
| June 13, 2018 Filed Jun 14, 2018 20:34 UTC | TEMPLETON DRAGON FUND INC TDF · Entity 6058 | PurchaseCommon Stock, par value $.01 per share | 7,000 | $22.84 | $159,880.00 |
DisclosureSEC source: 0001072613-18-000385 · templeton-4_18217.xml · nonDerivative · entry 12 CITY OF LONDON INVESTMENT GROUP PLC · CIK 0001018138 · 10% owner CITY OF LONDON INVESTMENT MANAGEMENT CO LTD · CIK 0001034546 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · As investment adviser to unaffiliated third-party segregated accounts Disclosed balance after: 3,733,607 F12 · security: These securities are beneficially owned by 13 unaffiliated third-party segregated accounts. F13 · balance_after: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14 · ownership.nature: As 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 13 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. Read SEC document |
| June 13, 2018 Filed Jun 14, 2018 20:34 UTC | TEMPLETON DRAGON FUND INC TDF · Entity 6058 | PurchaseCommon Stock, par value $.01 per share | 8,402 | $22.84 | $191,901.68 |
DisclosureSEC source: 0001072613-18-000385 · templeton-4_18217.xml · nonDerivative · entry 7 CITY OF LONDON INVESTMENT GROUP PLC · CIK 0001018138 · 10% owner CITY OF LONDON INVESTMENT MANAGEMENT CO LTD · CIK 0001034546 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · As investment adviser to a private investment fund Disclosed balance after: 602,054 F7 · security: These securities are beneficially owned by Emerging Free Markets Country Fund. F13 · balance_after: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14 · ownership.nature: As 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 13 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. Read SEC document |
| June 12, 2018 Filed Jun 13, 2018 20:11 UTC | KOREA FUND INC KF · Entity 6087 | SaleCommon Stock, par value $.01 per share | 2,874 | $41.24 | $118,523.76 |
DisclosureSEC source: 0001072613-18-000382 · koreafund-4_18217.xml · nonDerivative · entry 4 CITY OF LONDON INVESTMENT GROUP PLC · CIK 0001018138 · 10% owner CITY OF LONDON INVESTMENT MANAGEMENT CO LTD · CIK 0001034546 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · As investment adviser to a private investment fund Disclosed balance after: 132,578 F4 · security: These securities are beneficially owned by Emerging Markets Investable Fund. F12 · balance_after: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13 · ownership.nature: As 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 10 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. Read SEC document |
| June 12, 2018 Filed Jun 13, 2018 20:12 UTC | TAIWAN FUND INC TWN · Entity 5350 | SaleCommon Stock, par value $.01 per share | 50,000 | $21.50 | $1,075,000.00 |
DisclosureSEC source: 0001072613-18-000383 · taiwan-4_18217.xml · nonDerivative · entry 4 CITY OF LONDON INVESTMENT GROUP PLC · CIK 0001018138 · 10% owner CITY OF LONDON INVESTMENT MANAGEMENT CO LTD · CIK 0001034546 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · As investment adviser to a private investment fund Disclosed balance after: 150,986 F4 · security: These securities are beneficially owned by Emerging Markets Investable Fund. F12 · balance_after: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13 · ownership.nature: As 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 10 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. Read SEC document |
| June 12, 2018 Filed Jun 13, 2018 20:12 UTC | TEMPLETON DRAGON FUND INC TDF · Entity 6058 | PurchaseCommon Stock, par value $.01 per share | 8,155 | $22.87 | $186,504.85 |
DisclosureSEC source: 0001072613-18-000384 · templeton-4_18217.xml · nonDerivative · entry 12 CITY OF LONDON INVESTMENT GROUP PLC · CIK 0001018138 · 10% owner CITY OF LONDON INVESTMENT MANAGEMENT CO LTD · CIK 0001034546 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · As investment adviser to unaffiliated third-party segregated accounts Disclosed balance after: 3,726,607 F12 · security: These securities are beneficially owned by 13 unaffiliated third-party segregated accounts. F13 · balance_after: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14 · ownership.nature: As 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 13 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. Read SEC document |
| June 08, 2018 Filed Jun 11, 2018 20:19 UTC | TAIWAN FUND INC TWN · Entity 5350 | SaleCommon Stock, par value $.01 per share | 36,205 | $21.58 | $781,303.90 |
DisclosureSEC source: 0001072613-18-000379 · taiwan-4_18217.xml · nonDerivative · entry 11 CITY OF LONDON INVESTMENT GROUP PLC · CIK 0001018138 · 10% owner CITY OF LONDON INVESTMENT MANAGEMENT CO LTD · CIK 0001034546 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · As investment adviser to unaffiliated third-party segregated accounts Disclosed balance after: 1,526,117 F11 · security: These securities are beneficially owned by 10 unaffiliated third-party segregated accounts. F12 · balance_after: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13 · ownership.nature: As 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 10 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. Read SEC document |
| June 04, 2018 Filed Jun 5, 2018 16:16 UTC | ASIA PACIFIC FUND INC APB · Entity 162139 | SaleCommon Stock, par value $.01 per share | 64,979 | $14.52 | $943,495.08 |
DisclosureSEC source: 0001072613-18-000376 · asiapacific-4_18217.xml · nonDerivative · entry 11 CITY OF LONDON INVESTMENT GROUP PLC · CIK 0001018138 · 10% owner CITY OF LONDON INVESTMENT MANAGEMENT CO LTD · CIK 0001034546 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · As investment adviser to unaffiliated third-party segregated accounts Disclosed balance after: 2,214,009 F11 · security: These securities are beneficially owned by 12 unaffiliated third-party segregated accounts. F12 · balance_after: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13 · ownership.nature: As 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 12 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. Read SEC document |
| June 01, 2018 Filed Jun 4, 2018 22:18 UTC | abrdn Emerging Markets ex-China Fund, Inc. AEF · Entity 5686 | PurchaseCommon Stock, par value $.01 per share | 35,000 | $8.65 | $302,750.00 |
DisclosureSEC source: 0001072613-18-000373 · aemeif-4_18217.xml · nonDerivative · entry 12 CITY OF LONDON INVESTMENT GROUP PLC · CIK 0001018138 · 10% owner CITY OF LONDON INVESTMENT MANAGEMENT CO LTD · CIK 0001034546 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · As investment adviser to unaffiliated third-party segregated accounts Disclosed balance after: 11,839,453 F12 · security: These securities are beneficially owned by 14 unaffiliated third-party segregated accounts. F13 · balance_after: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14 · ownership.nature: As 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. Read SEC document |
| June 01, 2018 Filed Jun 4, 2018 22:18 UTC | abrdn Emerging Markets ex-China Fund, Inc. AEF · Entity 5686 | PurchaseCommon Stock, par value $.01 per share | 11,455 | $8.65 | $99,085.75 |
DisclosureSEC source: 0001072613-18-000373 · aemeif-4_18217.xml · nonDerivative · entry 8 CITY OF LONDON INVESTMENT GROUP PLC · CIK 0001018138 · 10% owner CITY OF LONDON INVESTMENT MANAGEMENT CO LTD · CIK 0001034546 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · As investment adviser to a private investment fund Disclosed balance after: 1,944,811 F8 · security: These securities are beneficially owned by Emerging Markets Country Fund. F13 · balance_after: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14 · ownership.nature: As 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. Read SEC document |
| May 31, 2018 Filed Jun 1, 2018 20:26 UTC | abrdn Emerging Markets ex-China Fund, Inc. AEF · Entity 5686 | PurchaseCommon Stock, par value $.01 per share | 25,000 | $8.58 | $214,500.00 |
DisclosureSEC source: 0001072613-18-000370 · aemeif-4_18217.xml · nonDerivative · entry 11 CITY OF LONDON INVESTMENT GROUP PLC · CIK 0001018138 · 10% owner CITY OF LONDON INVESTMENT MANAGEMENT CO LTD · CIK 0001034546 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · As investment adviser to a private investment fund Disclosed balance after: 538,774 F11 · security: These securities are beneficially owned by EM Special Situations CEF Focused Fund. F13 · balance_after: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14 · ownership.nature: As 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. Read SEC document |
| May 31, 2018 Filed Jun 1, 2018 20:26 UTC | abrdn Emerging Markets ex-China Fund, Inc. AEF · Entity 5686 | PurchaseCommon Stock, par value $.01 per share | 150,200 | $8.58 | $1,288,716.00 |
DisclosureSEC source: 0001072613-18-000370 · aemeif-4_18217.xml · nonDerivative · entry 8 CITY OF LONDON INVESTMENT GROUP PLC · CIK 0001018138 · 10% owner CITY OF LONDON INVESTMENT MANAGEMENT CO LTD · CIK 0001034546 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · As investment adviser to a private investment fund Disclosed balance after: 1,933,356 F8 · security: These securities are beneficially owned by Emerging Markets Country Fund. F13 · balance_after: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14 · ownership.nature: As 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. Read SEC document |
| May 30, 2018 Filed Jun 1, 2018 16:29 UTC | MORGAN STANLEY EMERGING MARKETS FUND INC MSF · Entity 165053 | SaleCommon Stock, par value $.01 per share | 125,000 | $16.68 | $2,085,000.00 |
DisclosureSEC source: 0001072613-18-000371 · msf-4_18217.xml · nonDerivative · entry 11 CITY OF LONDON INVESTMENT GROUP PLC · CIK 0001018138 · 10% owner CITY OF LONDON INVESTMENT MANAGEMENT CO LTD · CIK 0001034546 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · As investment adviser to unaffiliated third-party segregated accounts Disclosed balance after: 1,361,263 F11 · security: These securities are beneficially owned by 11 unaffiliated third-party segregated accounts. F12 · balance_after: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13 · ownership.nature: Each of City of London Group PLC ("CLIG") and City of London Investment Management Company Limited ("CLIM"), which is controlled by CLIG and is the investment adviser to the funds listed above and the 11 unaffiliated third-party segregated accounts, hereby disclaims beneficial ownership of the reported securities and this report should not be deemed an admission of beneficial ownership of such securities for purposes of Section 16 or for any other purposes. Read SEC document |
| May 29, 2018 Filed May 30, 2018 20:14 UTC | abrdn Emerging Markets ex-China Fund, Inc. AEF · Entity 5686 | PurchaseCommon Stock, par value $.01 per share | 28,375 | $8.49 | $240,903.75 |
DisclosureSEC source: 0001072613-18-000368 · aemeif-4_18182.xml · nonDerivative · entry 11 CITY OF LONDON INVESTMENT GROUP PLC · CIK 0001018138 · 10% owner CITY OF LONDON INVESTMENT MANAGEMENT CO LTD · CIK 0001034546 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · As investment adviser to a private investment fund Disclosed balance after: 513,774 F11 · security: These securities are beneficially owned by EM Special Situations CEF Focused Fund. F13 · balance_after: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14 · ownership.nature: As 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. Read SEC document |
| May 29, 2018 Filed May 30, 2018 20:14 UTC | abrdn Emerging Markets ex-China Fund, Inc. AEF · Entity 5686 | PurchaseCommon Stock, par value $.01 per share | 66,207 | $8.49 | $562,097.43 |
DisclosureSEC source: 0001072613-18-000368 · aemeif-4_18182.xml · nonDerivative · entry 5 CITY OF LONDON INVESTMENT GROUP PLC · CIK 0001018138 · 10% owner CITY OF LONDON INVESTMENT MANAGEMENT CO LTD · CIK 0001034546 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · As investment adviser to a private investment fund Disclosed balance after: 1,783,583 F5 · security: These securities are beneficially owned by Global Emerging Markets Fund. F13 · balance_after: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14 · ownership.nature: As 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. Read SEC document |
| May 29, 2018 Filed May 30, 2018 20:14 UTC | abrdn Emerging Markets ex-China Fund, Inc. AEF · Entity 5686 | PurchaseCommon Stock, par value $.01 per share | 165,518 | $8.49 | $1,405,247.82 |
DisclosureSEC source: 0001072613-18-000368 · aemeif-4_18182.xml · nonDerivative · entry 1 CITY OF LONDON INVESTMENT GROUP PLC · CIK 0001018138 · 10% owner CITY OF LONDON INVESTMENT MANAGEMENT CO LTD · CIK 0001034546 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · As investment adviser to a private investment fund Disclosed balance after: 2,027,205 F1 · security: These securities are beneficially owned by Emerging (BMI) Markets Country Fund. F13 · balance_after: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14 · ownership.nature: As 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. Read SEC document |
| May 25, 2018 Filed May 29, 2018 20:10 UTC | KOREA FUND INC KF · Entity 6087 | SaleCommon Stock, par value $.01 per share | 559 | $41.47 | $23,181.73 |
DisclosureSEC source: 0001072613-18-000359 · koreafund-4_18182.xml · nonDerivative · entry 2 CITY OF LONDON INVESTMENT GROUP PLC · CIK 0001018138 · 10% owner CITY OF LONDON INVESTMENT MANAGEMENT CO LTD · CIK 0001034546 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · As investment adviser to a private investment fund Disclosed balance after: 63,805 F2 · security: These securities are beneficially owned by Emerging Markets Free Fund. F12 · balance_after: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13 · ownership.nature: As 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 10 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. Read SEC document |
| May 23, 2018 Filed May 24, 2018 20:18 UTC | abrdn Emerging Markets ex-China Fund, Inc. AEF · Entity 5686 | PurchaseCommon Stock, par value $.01 per share | 25,600 | $8.66 | $221,696.00 |
DisclosureSEC source: 0001072613-18-000356 · aemeif-4_18182.xml · nonDerivative · entry 11 CITY OF LONDON INVESTMENT GROUP PLC · CIK 0001018138 · 10% owner CITY OF LONDON INVESTMENT MANAGEMENT CO LTD · CIK 0001034546 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · As investment adviser to a private investment fund Disclosed balance after: 485,399 F11 · security: These securities are beneficially owned by EM Special Situations CEF Focused Fund. F13 · balance_after: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14 · ownership.nature: As 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. Read SEC document |
| May 23, 2018 Filed May 24, 2018 16:18 UTC | MORGAN STANLEY EMERGING MARKETS FUND INC MSF · Entity 165053 | SaleCommon Stock, par value $.01 per share | 16,600 | $17.03 | $282,698.00 |
DisclosureSEC source: 0001072613-18-000357 · msf-4_18182.xml · nonDerivative · entry 11 CITY OF LONDON INVESTMENT GROUP PLC · CIK 0001018138 · 10% owner CITY OF LONDON INVESTMENT MANAGEMENT CO LTD · CIK 0001034546 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · As investment adviser to unaffiliated third-party segregated accounts Disclosed balance after: 1,486,263 F11 · security: These securities are beneficially owned by 11 unaffiliated third-party segregated accounts. F12 · balance_after: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13 · ownership.nature: As 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 11 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. Read SEC document |
| May 22, 2018 Filed May 23, 2018 16:15 UTC | MORGAN STANLEY EMERGING MARKETS FUND INC MSF · Entity 165053 | SaleCommon Stock, par value $.01 per share | 1,200 | $17.22 | $20,664.00 |
DisclosureSEC source: 0001072613-18-000355 · msf-4_18182.xml · nonDerivative · entry 11 CITY OF LONDON INVESTMENT GROUP PLC · CIK 0001018138 · 10% owner CITY OF LONDON INVESTMENT MANAGEMENT CO LTD · CIK 0001034546 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · As investment adviser to unaffiliated third-party segregated accounts Disclosed balance after: 1,502,863 F11 · security: These securities are beneficially owned by 11 unaffiliated third-party segregated accounts. F12 · balance_after: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13 · ownership.nature: As 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 11 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. Read SEC document |
| May 21, 2018 Filed May 22, 2018 16:44 UTC | MORGAN STANLEY EMERGING MARKETS FUND INC MSF · Entity 165053 | SaleCommon Stock, par value $.01 per share | 7,400 | $17.22 | $127,428.00 |
DisclosureSEC source: 0001072613-18-000352 · msf-4_18182.xml · nonDerivative · entry 11 CITY OF LONDON INVESTMENT GROUP PLC · CIK 0001018138 · 10% owner CITY OF LONDON INVESTMENT MANAGEMENT CO LTD · CIK 0001034546 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · As investment adviser to unaffiliated third-party segregated accounts Disclosed balance after: 1,504,063 F11 · security: These securities are beneficially owned by 11 unaffiliated third-party segregated accounts. F12 · balance_after: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F13 · ownership.nature: As 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 11 unaffiliated third-party segregated accounts, have voting and dispositive power with respect to all of the reported securities. Read SEC document |
| May 17, 2018 Filed May 18, 2018 20:15 UTC | abrdn Emerging Markets ex-China Fund, Inc. AEF · Entity 5686 | PurchaseCommon Stock, par value $.01 per share | 16,446 | $8.76 | $144,066.96 |
DisclosureSEC source: 0001072613-18-000351 · aemeif-4_18182.xml · nonDerivative · entry 12 CITY OF LONDON INVESTMENT GROUP PLC · CIK 0001018138 · 10% owner CITY OF LONDON INVESTMENT MANAGEMENT CO LTD · CIK 0001034546 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · As investment adviser to unaffiliated third-party segregated accounts Disclosed balance after: 11,804,450 F12 · security: These securities are beneficially owned by 14 unaffiliated third-party segregated accounts. F13 · balance_after: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14 · ownership.nature: As 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. Read SEC document |
| May 17, 2018 Filed May 18, 2018 20:15 UTC | abrdn Emerging Markets ex-China Fund, Inc. AEF · Entity 5686 | PurchaseCommon Stock, par value $.01 per share | 11,110 | $8.76 | $97,323.60 |
DisclosureSEC source: 0001072613-18-000351 · aemeif-4_18182.xml · nonDerivative · entry 11 CITY OF LONDON INVESTMENT GROUP PLC · CIK 0001018138 · 10% owner CITY OF LONDON INVESTMENT MANAGEMENT CO LTD · CIK 0001034546 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · As investment adviser to a private investment fund Disclosed balance after: 459,799 F11 · security: These securities are beneficially owned by EM Special Situations CEF Focused Fund. F13 · balance_after: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14 · ownership.nature: As 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. Read SEC document |
| May 17, 2018 Filed May 18, 2018 20:15 UTC | abrdn Emerging Markets ex-China Fund, Inc. AEF · Entity 5686 | PurchaseCommon Stock, par value $.01 per share | 66,940 | $8.76 | $586,394.40 |
DisclosureSEC source: 0001072613-18-000351 · aemeif-4_18182.xml · nonDerivative · entry 5 CITY OF LONDON INVESTMENT GROUP PLC · CIK 0001018138 · 10% owner CITY OF LONDON INVESTMENT MANAGEMENT CO LTD · CIK 0001034546 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · As investment adviser to a private investment fund Disclosed balance after: 1,717,376 F5 · security: These securities are beneficially owned by Global Emerging Markets Fund. F13 · balance_after: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14 · ownership.nature: As 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. Read SEC document |
| May 16, 2018 Filed May 17, 2018 20:25 UTC | abrdn Emerging Markets ex-China Fund, Inc. AEF · Entity 5686 | PurchaseCommon Stock, par value $.01 per share | 36,400 | $8.87 | $322,868.00 |
DisclosureSEC source: 0001072613-18-000349 · aemeif-4_18182.xml · nonDerivative · entry 12 CITY OF LONDON INVESTMENT GROUP PLC · CIK 0001018138 · 10% owner CITY OF LONDON INVESTMENT MANAGEMENT CO LTD · CIK 0001034546 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · As investment adviser to unaffiliated third-party segregated accounts Disclosed balance after: 11,788,004 F12 · security: These securities are beneficially owned by 14 unaffiliated third-party segregated accounts. F13 · balance_after: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14 · ownership.nature: As 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. Read SEC document |
| May 16, 2018 Filed May 17, 2018 20:25 UTC | abrdn Emerging Markets ex-China Fund, Inc. AEF · Entity 5686 | PurchaseCommon Stock, par value $.01 per share | 31,200 | $8.87 | $276,744.00 |
DisclosureSEC source: 0001072613-18-000349 · aemeif-4_18182.xml · nonDerivative · entry 11 CITY OF LONDON INVESTMENT GROUP PLC · CIK 0001018138 · 10% owner CITY OF LONDON INVESTMENT MANAGEMENT CO LTD · CIK 0001034546 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · As investment adviser to a private investment fund Disclosed balance after: 448,689 F11 · security: These securities are beneficially owned by EM Special Situations CEF Focused Fund. F13 · balance_after: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14 · ownership.nature: As 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. Read SEC document |
| May 16, 2018 Filed May 17, 2018 20:25 UTC | abrdn Emerging Markets ex-China Fund, Inc. AEF · Entity 5686 | PurchaseCommon Stock, par value $.01 per share | 52,000 | $8.87 | $461,240.00 |
DisclosureSEC source: 0001072613-18-000349 · aemeif-4_18182.xml · nonDerivative · entry 8 CITY OF LONDON INVESTMENT GROUP PLC · CIK 0001018138 · 10% owner CITY OF LONDON INVESTMENT MANAGEMENT CO LTD · CIK 0001034546 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · As investment adviser to a private investment fund Disclosed balance after: 1,783,156 F8 · security: These securities are beneficially owned by Emerging Markets Country Fund. F13 · balance_after: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14 · ownership.nature: As 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. Read SEC document |
| May 16, 2018 Filed May 17, 2018 20:25 UTC | abrdn Emerging Markets ex-China Fund, Inc. AEF · Entity 5686 | PurchaseCommon Stock, par value $.01 per share | 52,000 | $8.87 | $461,240.00 |
DisclosureSEC source: 0001072613-18-000349 · aemeif-4_18182.xml · nonDerivative · entry 5 CITY OF LONDON INVESTMENT GROUP PLC · CIK 0001018138 · 10% owner CITY OF LONDON INVESTMENT MANAGEMENT CO LTD · CIK 0001034546 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · As investment adviser to a private investment fund Disclosed balance after: 1,650,436 F5 · security: These securities are beneficially owned by Global Emerging Markets Fund. F13 · balance_after: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14 · ownership.nature: As 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. Read SEC document |
| May 16, 2018 Filed May 17, 2018 20:25 UTC | abrdn Emerging Markets ex-China Fund, Inc. AEF · Entity 5686 | PurchaseCommon Stock, par value $.01 per share | 52,000 | $8.87 | $461,240.00 |
DisclosureSEC source: 0001072613-18-000349 · aemeif-4_18182.xml · nonDerivative · entry 1 CITY OF LONDON INVESTMENT GROUP PLC · CIK 0001018138 · 10% owner CITY OF LONDON INVESTMENT MANAGEMENT CO LTD · CIK 0001034546 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · As investment adviser to a private investment fund Disclosed balance after: 1,861,687 F1 · security: These securities are beneficially owned by Emerging (BMI) Markets Country Fund. F13 · balance_after: No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of Issuer. F14 · ownership.nature: As 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. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.