SecurityCHN / China Fund, Inc. (169373107)
Institutional Owners43 (4 N-Q Owners)
Institutional Shares14,401,761 (ex. N-Q)
Institutional Value$ 148,902,000 USD (ex. N-Q)

Institutional Stock Ownership and Shareholders

China Fund, Inc. (NYSE:CHN) has 43 institutional investors and shareholders that have filed 13D/G or 13F forms with the Securities Exchange Commission (SEC). These institutions hold a total of 14,401,761 shares. Largest shareholders include City Of London Investment Group Plc, City Of London Investment Management Co Ltd, Lazard Asset Management Llc, Wells Fargo & Company/mn, Bulldog Investors, LLC, Standard Life Aberdeen Plc, 1607 Capital Partners, LLC, Karpus Management, Inc., Deschutes Portfolio Strategy, LLC, and Gramercy Funds Management LLC.

China Fund, Inc. (NYSE:CHN) ownership summary shows current positions in the company by institutions and funds, as well as latest changes in position size. Major shareholders can include individual investors, mutual funds, hedge funds, or institutions. The Schedule 13D indicates that the investor holds more than 5% of the company and intends to actively pursue a change in business strategy. Schedule 13G indicates a passive investment of over 5%. Green rows indicate new positions. Red rows indicate closed positions. Click the link icon to see the full transaction history.

File DateFormInvestor Opt Prev
Prev Value
Current Value
2018-02-09 13F-HR CITY OF LONDON INVESTMENT MANAGEMENT CO LTD 3,919,903 4,190,605 6.91 80,044 90,789 13.42
2018-03-01 N-Q Starboard Investment Trust (see advisory)
2018-02-14 13F-HR LADENBURG THALMANN FINANCIAL SERVICES INC 368 368 0.00 7 8 14.29
2018-02-12 13F-HR CITIGROUP INC 207 207 0.00 4 4 0.00
2018-02-08 13F-HR IAT REINSURANCE CO LTD. 68,399 68,399 0.00 1,392 1,481 6.39
2018-02-09 13F-HR PNC FINANCIAL SERVICES GROUP, INC. 3,759 3,759 0.00 76 81 6.58
2018-02-09 13F-HR Stratos Wealth Partners, LTD. 86 2
2018-02-14 13F-HR FIRST WILSHIRE SECURITIES MANAGEMENT INC 71,790 70,712 -1.50 1,461 1,531 4.79
2018-02-07 13F-HR WHITTIER TRUST CO 2,336 2,336 0.00 48 51 6.25
2017-11-13 13F-HR Goss Wealth Management LLC 299 0 -100.00 5,555 0 -100.00
2017-11-03 13F-HR/A-1 Advisor Group, Inc. 2,062 0 -100.00 34 0 -100.00
2018-01-30 13F-HR Deschutes Portfolio Strategy, LLC 247,935 235,435 -5.04 5,045 5,097 1.03
2018-02-14 13F-HR UBS Group AG 11,479 11,023 -3.97 233 239 2.58
2018-02-14 13F-HR BANK OF AMERICA CORP /DE/ 4,300 2,771 -35.56 88 60 -31.82
2018-04-03 SC 13D/A CITY OF LONDON INVESTMENT GROUP PLC 4,190,605 4,335,711 3.46
2018-02-14 13F-HR CSS LLC/IL 30,574 24,103 -21.17 622 522 -16.08
2018-02-14 13F-HR Virtus Investment Advisers, Inc. 11,037 0
2018-02-14 13F-HR Perigon Wealth Management, LLC 139 0 -100.00 3 0 -100.00
2018-02-09 13F-HR Stevens First Principles Investment Advisors 3,840 3,840 0.00 78 83 6.41
2018-02-08 13F-HR SEI INVESTMENTS CO 20 0
2018-02-06 13F-HR Shaker Financial Services, LLC 26,811 580
2018-04-05 13F-HR Edge Wealth Management LLC 580 580 0.00 12 13 8.33
2018-02-12 13F-HR Commonwealth Equity Services, Llc. 22,461 486
2018-02-28 N-Q Virtus Opportunities Trust (see advisory)
2018-02-14 13F-HR BARCLAYS PLC 2,496 2,496 0.00 51 54 5.88
2018-02-14 13F-HR MORGAN STANLEY 27,782 28,919 4.09 565 625 10.62
2018-01-29 SC 13G/A WELLS FARGO & COMPANY/MN 1,130,095 1,045,446 -7.49
2018-04-19 13F-HR Versant Capital Management, Inc 180 3
2018-02-14 13F-HR EDMOND DE ROTHSCHILD HOLDING S.A. 5,000 5,000 0.00 102 108 5.88
2018-02-14 13F-HR 1607 Capital Partners, LLC 445,120 439,376 -1.29 9,058 9,512 5.01
2018-02-12 13F-HR DOLIVER CAPITAL ADVISORS, INC. 25,970 19,550 -24.72 528 423 -19.89
2018-02-07 13F-HR BRONFMAN E.L. ROTHSCHILD, L.P. 706 706 0.00 14 15 7.14
2018-02-14 13F-HR Karpus Management, Inc. 270,174 267,202 -1.10 5,498 5,785 5.22
2018-01-24 13F-HR IFP Advisors, Inc 1,967 664 -66.24 40 14 -65.00
2017-11-21 N-Q Special Opportunities Fund, Inc. (see advisory)
2018-02-14 13F-HR RAYMOND JAMES & ASSOCIATES 51,774 46,351 -10.47 1,054 1,004 -4.74
2018-02-14 13F-HR Thomas J. Herzfeld Advisors, Inc. 13,537 14,537 7.39 275 315 14.55
2017-11-29 N-Q Rydex Series Funds (see advisory)
2018-02-16 13F-HR/A-1 Commonwealth Equity Services, Inc 22,757 22,781 0.11 425 464 9.18
2018-02-08 SC 13G/A LAZARD ASSET MANAGEMENT LLC 2,407,711 2,133,471 -11.39
2018-02-05 13F-HR Gramercy Funds Management LLC 143,586 186,086 29.60 2,922 4,029 37.89
2018-02-12 13F-HR Standard Life Aberdeen Plc 568,834 460,899 -18.97 11,576 9,985 -13.74
2018-01-30 13F-HR BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC 698 598 -14.33 14 12 -14.29
2018-02-14 13F-HR Bulldog Investors, LLC 351,363 700,385 99.33 7,150 15,163 112.07
2018-02-09 13F-HR Tower Research Capital LLC (TRC) 108 109 0.93 2 2 0.00
2018-02-14 13F-HR ROYAL BANK OF CANADA 14,800 16,741 13.11 301 362 20.27

Form N-Q Advisory - Experimental Feature Here!

We have recently started to include coverage of N-Q filers in our ownership database. N-Q forms are unstructured and difficult for machines to parse into accurate financial data.

However, Because of the large number of these institutions and this difficulty in tracking their positions, they represent a significant, yet hidden, market force. In an effort to widen our ownership coverage and provide greater transparency, we are testing various ways to expose these owners in an accurate manner. This early version of the crawler simply identifies mentions of companies in the N-Q forms.


  • We only list underlying securities (the ordinary shares), even though the actual security held might be a derivative or a related bond issue. For example, although the institution is shown on this security page ( CHN / China Fund, Inc. ), the institution may actually own a related security such as a preferred share or a bond. To find out the exact security, click on the institution link and then follow the link to the actual "N-Q".
  • We only list fund sponsors as institutions, even though the security might be held within a fund operated by the listed institution.. For example, the institution listed in the table as the owner is probably a sponsor of a family of ETFs or mutual funds. If so, then this security is owned by a fund or several funds within the family, and not directly owned by the listed institution. The crawler is not yet able to place these holdings within the individual funds. Atain, you must review the actual filing to see the detail.

These limitations are significant but we believe that the increased transparency outweights the limitations. Future revisions of the crawler will resolve these limitations. Use this information at your own risk!

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CUSIP: 169373107