Security key
169373107
- Type / Class
- Equity / Equity
- Shares outstanding
- 9,640,234
- Total 13F shares
- 5,704,408
- Share change
- +292,046
- Total reported value
- $118,960,583
- Price per share
- $20.82
- Number of holders
- 38
- Value change
- +$6,077,975
- Number of buys
- 11
- Number of sells
- 17
Report period
Q3 2014
Institutions
38
Top holders
10
CHN full security history
Newer quarter: Q4 2014
Previous quarter: Q2 2014
China Fund, Inc. SEC filings
Broader feeds
Reporting periods
Holder history for CUSIP 169373107
Recent filing periods:
Top shareholders of CHN - China Fund Inc/The - Equity (13F + 13D/G + 3/4/5)
Grouped by holder across the latest SEC ownership disclosures. Ownership % is shown only when it is directly reported or safely comparable across share classes.
Methodology: rows are grouped by holder and ranked by the holder's primary source value. — indicates unavailable or non-comparable values; "mixed-class rows" means the latest filing spans non-comparable classes.
| Holder | Source | Role / Reporting | Ownership % | Shares | Holdings Value | 12M Net Δ | As of | Details |
|---|---|---|---|---|---|---|---|---|
| LAZARD ASSET MANAGEMENT LLC |
13F
|
Company |
27%
|
2,578,359
|
$54,583,000 | — | 30 Jun 2014 | |
| CITY OF LONDON INVESTMENT MANAGEMENT CO LTD |
13F
|
Company |
11%
|
1,016,445
|
$21,528,000 | — | 30 Jun 2014 | |
| WELLS FARGO & COMPANY/MN |
13F
|
Company |
5%
|
484,631
|
$10,260,000 | — | 30 Jun 2014 | |
| Karpus Management, Inc. |
13F
|
Company |
3.2%
|
308,630
|
$6,534,000 | — | 30 Jun 2014 | |
| 1607 Capital Partners, LLC |
13F
|
Company |
1.9%
|
187,791
|
$3,976,000 | — | 30 Jun 2014 | |
| FIRST WILSHIRE SECURITIES MANAGEMENT INC |
13F
|
Company |
1.8%
|
173,302
|
$3,669,000 | — | 30 Jun 2014 | |
| CORNERSTONE ADVISORS INC |
13F
|
Company |
1.3%
|
122,390
|
$2,591,000 | — | 30 Jun 2014 | |
| Stevens First Principles Investment Advisors |
13F
|
Company |
1.2%
|
118,979
|
$2,519,000 | — | 30 Jun 2014 | |
| Gramercy Funds Management LLC |
13F
|
Company |
0.75%
|
72,700
|
$1,539,000 | — | 30 Jun 2014 | |
| Kingfisher Capital LLC |
13F
|
Company |
0.57%
|
55,280
|
$1,170,000 | — | 30 Jun 2014 | |
| RAYMOND JAMES & ASSOCIATES |
13F
|
Company |
0.56%
|
53,970
|
$1,143,000 | — | 30 Jun 2014 | |
| MORGAN STANLEY |
13F
|
Company |
0.35%
|
34,150
|
$723,000 | — | 30 Jun 2014 | |
| CSS LLC/IL |
13F
|
Company |
0.34%
|
32,774
|
$694,000 | — | 30 Jun 2014 | |
| ROYAL BANK OF CANADA |
13F
|
Company |
0.33%
|
31,692
|
$671,000 | — | 30 Jun 2014 | |
| UBS AG |
13F
|
Company |
0.32%
|
31,136
|
$659,000 | — | 30 Jun 2014 | |
| WOLVERINE ASSET MANAGEMENT LLC |
13F
|
Company |
0.27%
|
25,659
|
$543,000 | — | 30 Jun 2014 | |
| Commonwealth Equity Services, Inc |
13F
|
Company |
0.24%
|
23,280
|
$493,000 | — | 30 Jun 2014 | |
| BANK OF AMERICA CORP /DE/ |
13F
|
Company |
0.21%
|
20,337
|
$431,000 | — | 30 Jun 2014 | |
| DOLIVER ADVISORS, LP |
13F
|
Company |
0.19%
|
18,017
|
$381,000 | — | 30 Jun 2014 | |
| GOLDMAN SACHS GROUP INC |
13F
|
Company |
0.11%
|
10,828
|
$229,000 | — | 30 Jun 2014 | |
| ADELL HARRIMAN & CARPENTER INC |
13F
|
Company |
0.1%
|
9,900
|
$209,583 | — | 30 Jun 2014 | |
| BNP PARIBAS FINANCIAL MARKETS |
13F
|
Company |
0.09%
|
8,450
|
$178,887 | — | 30 Jun 2014 | |
| Thomas J. Herzfeld Advisors, Inc. |
13F
|
Company |
0.05%
|
5,000
|
$106,000 | — | 30 Jun 2014 | |
| PNC FINANCIAL SERVICES GROUP, INC. |
13F
|
Company |
0.05%
|
4,529
|
$96,000 | — | 30 Jun 2014 | |
| MSI Financial Services Inc |
13F
|
Company |
0.02%
|
1,786
|
$38,000 | — | 30 Jun 2014 | |
| BOSTON PRIVATE BANK & TRUST CO |
13F
|
Company |
0.02%
|
1,538
|
$33,000 | — | 30 Jun 2014 | |
| NEW ENGLAND SECURITIES CORP /MA/ |
13F
|
Company |
0.01%
|
1,077
|
$23,000 | — | 30 Jun 2014 | |
| AMERIPRISE FINANCIAL INC |
13F
|
Company |
0.01%
|
1,000
|
$21,000 | — | 30 Jun 2014 | |
| CITIGROUP INC |
13F
|
Company |
0.01%
|
747
|
$16,000 | — | 30 Jun 2014 | |
| Bartlett & Co. LLC |
13F
|
Company |
0.01%
|
628
|
$13,000 | — | 30 Jun 2014 | |
| Edge Wealth Management LLC |
13F
|
Company |
0.01%
|
580
|
$12,000 | — | 30 Jun 2014 | |
| PRIVATE TRUST CO NA |
13F
|
Company |
0.01%
|
502
|
$11,000 | — | 30 Jun 2014 | |
| REILLY FINANCIAL ADVISORS, LLC |
13F
|
Company |
0%
|
470
|
$10,000 | — | 30 Jun 2014 | |
| DEUTSCHE BANK AG\ |
13F
|
Company |
0%
|
341
|
$7,000 | — | 30 Jun 2014 | |
| SAN FRANCISCO SENTRY INVESTMENT GROUP (CA) |
13F
|
Company |
0%
|
294
|
$6,000 | — | 30 Jun 2014 | |
| FIFTH THIRD BANCORP |
13F
|
Company |
0%
|
205
|
$4,000 | — | 30 Jun 2014 | |
| BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC |
13F
|
Company |
0%
|
198
|
$4,000 | — | 30 Jun 2014 | |
| TOCQUEVILLE ASSET MANAGEMENT L.P. |
13F
|
Company |
0%
|
140
|
$3,000 | — | 30 Jun 2014 | |
| B. Riley Wealth Advisors, Inc. |
13F
|
Company |
0%
|
136
|
$2,869 | — | 30 Jun 2014 | |
| Ledyard National Bank |
13F
|
Company |
0%
|
100
|
$2,000 | — | 30 Jun 2014 | |
| Pinnacle Summer Investments, Inc. |
13F
|
Company |
0%
|
65
|
$1,000 | — | 30 Jun 2014 | |
| US BANCORP \DE\ |
13F
|
Company |
0%
|
50
|
$1,000 | — | 30 Jun 2014 |
Institutional Holders of China Fund Inc/The - Equity (CHN) as of Q3 2014
As of 30 Sep 2014,
China Fund Inc/The - Equity (CHN) was held by
38 institutional
shareholders
that filed Form 13F with the SEC.
Together, they reported ownership of
5,704,408 shares.
The largest 10 holders included
LAZARD ASSET MANAGEMENT LLC, CITY OF LONDON INVESTMENT MANAGEMENT CO LTD, WELLS FARGO & COMPANY/MN, Karpus Management, Inc., 1607 Capital Partners, LLC, FIRST WILSHIRE SECURITIES MANAGEMENT INC, Stevens First Principles Investment Advisors, CORNERSTONE ADVISORS INC, RAYMOND JAMES & ASSOCIATES, and Gramercy Funds Management LLC.
This page lists
38
institutional shareholders reporting positions in this security
for the Q3 2014 filing period.
| Investor | Option | Weight % | Change % | Value $ | * Price | Shares | Share Change | Activity | Report Period |
|---|
Compare Q3 2014 vs Q2 2014 Across Filers
Q2 2014 holders
41
Q3 2014 holders
38
Holder diff
-3
| Investor | Q2 2014 Shares | Q3 2014 Shares | Share Diff | Share Chg % | Q2 2014 Value $ | Q3 2014 Value $ | Value Diff $ | Value Chg % |
|---|
Trend: ostatnie 8 kwartałów (+ wybrane okresy porównania).
Quarterly Holders Trend
Quarterly Value Trend
Quarterly Shares Trend
* Reported Price is the price of the security as of the portfolio date. This value is significant in that it is the last known price at which the security was still held.
An asterisk sign (*) next to the price indicates that the price is likely invalid.
An asterisk sign (*) next to the price indicates that the price is likely invalid.