|Security||CHN / China Fund, Inc. (169373107)|
|Institutional Owners||43 (4 N-Q Owners)|
|Institutional Shares||14,401,761 (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.
|CITY OF LONDON INVESTMENT MANAGEMENT CO LTD||3,919,903||4,190,605||6.91||80,044||90,789||13.42|
|Starboard Investment Trust (see advisory)|
|LADENBURG THALMANN FINANCIAL SERVICES INC||368||368||0.00||7||8||14.29|
|IAT REINSURANCE CO LTD.||68,399||68,399||0.00||1,392||1,481||6.39|
|PNC FINANCIAL SERVICES GROUP, INC.||3,759||3,759||0.00||76||81||6.58|
|Stratos Wealth Partners, LTD.||86||2|
|FIRST WILSHIRE SECURITIES MANAGEMENT INC||71,790||70,712||-1.50||1,461||1,531||4.79|
|WHITTIER TRUST CO||2,336||2,336||0.00||48||51||6.25|
|Goss Wealth Management LLC||299||0||-100.00||5,555||0||-100.00|
|Advisor Group, Inc.||2,062||0||-100.00||34||0||-100.00|
|Deschutes Portfolio Strategy, LLC||247,935||235,435||-5.04||5,045||5,097||1.03|
|UBS Group AG||11,479||11,023||-3.97||233||239||2.58|
|BANK OF AMERICA CORP /DE/||4,300||2,771||-35.56||88||60||-31.82|
|CITY OF LONDON INVESTMENT GROUP PLC||4,190,605||4,335,711||3.46|
|Virtus Investment Advisers, Inc.||11,037||0|
|Perigon Wealth Management, LLC||139||0||-100.00||3||0||-100.00|
|Stevens First Principles Investment Advisors||3,840||3,840||0.00||78||83||6.41|
|SEI INVESTMENTS CO||20||0|
|Shaker Financial Services, LLC||26,811||580|
|Edge Wealth Management LLC||580||580||0.00||12||13||8.33|
|Commonwealth Equity Services, Llc.||22,461||486|
|Virtus Opportunities Trust (see advisory)|
|WELLS FARGO & COMPANY/MN||1,130,095||1,045,446||-7.49|
|Versant Capital Management, Inc||180||3|
|EDMOND DE ROTHSCHILD HOLDING S.A.||5,000||5,000||0.00||102||108||5.88|
|1607 Capital Partners, LLC||445,120||439,376||-1.29||9,058||9,512||5.01|
|DOLIVER CAPITAL ADVISORS, INC.||25,970||19,550||-24.72||528||423||-19.89|
|BRONFMAN E.L. ROTHSCHILD, L.P.||706||706||0.00||14||15||7.14|
|Karpus Management, Inc.||270,174||267,202||-1.10||5,498||5,785||5.22|
|IFP Advisors, Inc||1,967||664||-66.24||40||14||-65.00|
|Special Opportunities Fund, Inc. (see advisory)|
|RAYMOND JAMES & ASSOCIATES||51,774||46,351||-10.47||1,054||1,004||-4.74|
|Thomas J. Herzfeld Advisors, Inc.||13,537||14,537||7.39||275||315||14.55|
|Rydex Series Funds (see advisory)|
|Commonwealth Equity Services, Inc||22,757||22,781||0.11||425||464||9.18|
|LAZARD ASSET MANAGEMENT LLC||2,407,711||2,133,471||-11.39|
|Gramercy Funds Management LLC||143,586||186,086||29.60||2,922||4,029||37.89|
|Standard Life Aberdeen Plc||568,834||460,899||-18.97||11,576||9,985||-13.74|
|BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC||698||598||-14.33||14||12||-14.29|
|Bulldog Investors, LLC||351,363||700,385||99.33||7,150||15,163||112.07|
|Tower Research Capital LLC (TRC)||108||109||0.93||2||2||0.00|
|ROYAL BANK OF CANADA||14,800||16,741||13.11||301||362||20.27|
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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