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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 2270 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned at End of Issuer's Fiscal Year (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
KE SHIFENG HEARTLAND(ICC), CITIGROUP TOWER, 16TH FL NO 33 HUA YUAN SHI QIAO RD, PUDONG DISTR SHANGHAI, F4 200120 |
 |  |  Vice President |  |
/s/ Shifeng Ke | 11/09/2011 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Shifeng Ke was formerly a portfolio manager of The China Fund, Inc. Mr. Ke is also joint owner of Heartland Capital Management Limited ("HCML"). Martin Currie Ltd and HCML had formerly established MC China Ltd ("MCCL") as a joint venture company to provide investment management or investment advisory services to the range of China investment products managed by Martin Currie Inc. MCCL had appointed Martin Currie Investment Management Ltd ("MCIM"), or its affiliates, as investment manager of Martin Currie Inc.'s China investment products. HCML had formerly seconded Shifeng Ke to MCIM, or its affiliates, on a fulltime basis with the same roles and responsibilities as if he were a full time employee, including the duties of portfolio management for The China Fund, Inc. |