Welcome to our dedicated page for China Fund SEC filings (Ticker: CHN), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
The SEC filings page for The China Fund, Inc. (CHN) brings together the Fund's regulatory documents filed with the U.S. Securities and Exchange Commission. As a registered closed-end management investment company organized in Maryland, CHN discloses key information about its investment objective, policies, governance, and structural changes through forms such as annual and quarterly reports, proxy statements, current reports on Form 8-K, and exchange-related filings.
For investors analyzing CHN, several categories of filings are particularly important. The Fund's proxy materials, including its definitive proxy statement on Form DEF 14A, explain the proposal to liquidate and dissolve the Fund pursuant to a Plan of Liquidation and Dissolution. These documents describe the Board's reasoning, including considerations such as the Fund's size, expense ratio pressures, investor demand for more liquid competitor products, the Fund's persistent discount to net asset value, performance, and prevailing geopolitical and market conditions. They also outline the mechanics of the liquidation, the expected treatment of stockholders, and the anticipated tax implications of liquidating distributions.
Current reports on Form 8-K provide timely disclosure of material events. For CHN, Form 8-K filings document the Board's approval of the Plan of Liquidation and Dissolution and the subsequent stockholder vote approving liquidation and dissolution. These filings summarize the key terms of the Plan and confirm that, once the Fund commences liquidating its portfolio, it will no longer pursue its stated investment objective or engage in normal business activities except as necessary to wind up its affairs, pay liabilities, and distribute remaining assets to stockholders.
The Fund's delisting from the New York Stock Exchange is reflected in a Form 25 (25-NSE) filed by the exchange, which identifies The China Fund, Inc. as the issuer and its common stock as the class of securities removed from listing and registration under Section 12(b) of the Securities Exchange Act of 1934. This filing is a key document for understanding CHN's trading status and the regulatory steps associated with its removal from the exchange in connection with the liquidation.
On this filings page, AI-powered summaries can help interpret lengthy and technical documents by highlighting the main points of CHN's proxy statements, 8-Ks, and exchange filings. This can include clarifying the Fund's China-focused investment mandate as described in its disclosures, outlining the Board's rationale for liquidation, and explaining what the delisting and liquidation mean for stockholders. Real-time updates from EDGAR ensure that new filings, such as additional current reports or final liquidation-related documents, are incorporated as they become available, while tools focused on regulatory content make it easier to navigate the Fund's historical record as a listed, and now liquidating, closed-end fund.
Lazard Asset Management LLC reports it beneficially owns 819,965 shares of China Fund Inc/The, representing 8.5% of the equity class. The filing shows Lazard has sole voting and sole dispositive power over these shares, indicating it controls how the shares are voted and sold. The Schedule 13G/A includes a certification that the securities were not acquired to change or influence control of the issuer. The disclosure identifies the reporting entity and the issuer but does not describe trades, acquisition timing beyond the required event date, or additional strategic intent.
City of London Investment Management Company Limited reports beneficial ownership of 3,590,288 shares of China Fund, Inc., representing 37.4% of the class. The filing states CLIM has sole voting and sole dispositive power over all reported shares.
The shares are owned directly by various City of London Funds and by segregated accounts for which CLIM exercises discretionary authority; one segregated account is identified as having the right to receive dividends or proceeds on more than 5% of the reported shares. CLIM describes itself as a U.K.-organized investment adviser specializing in closed-end funds and certifies the holdings are held in the ordinary course of business and not to effect a change in control.
Allspring Global Investments Holdings, LLC filed Amendment No. 5 to Schedule 13G reporting its ownership in China Fund Inc. (NYSE: CHN) as of 30 June 2025. The parent holding company reports beneficial ownership of 748,320 common shares, representing 7.8 % of the fund’s outstanding shares.
The filing states that Allspring has sole voting and dispositive power over the entire position and no shared powers. Shares are held in the ordinary course of business on behalf of underlying advisory clients; the firm affirms it is not attempting to influence control of the issuer. Because the position exceeds the 5 % threshold, Allspring must continue to update its 13G filings. Signature by Senior Compliance Manager Jennifer Grunberg was dated 9 July 2025.
The China Fund, Inc. (NYSE: CHN) filed an 8-K announcing that its Board of Directors has unanimously approved a Plan of Liquidation and Dissolution. The proposal will be submitted to stockholders for a vote at a forthcoming Special Meeting. A proxy statement detailing the Plan will be filed with the SEC and mailed to all holders of record. If approved, the Plan would end the Fund’s operations and ultimately distribute the Fund’s net assets to shareholders in cash. No timetable, distribution methodology, or estimated liquidation value is provided in the filing, and there is no indication of expected tax treatment or record date at this stage.
The Fund also furnished a related press release (Exhibit 99.1) dated June 20 2025. Aside from the liquidation proposal, no financial statements, earnings data, or major transactions are disclosed in this report. Stockholders should monitor the forthcoming proxy for detailed terms, key dates, and any potential impact on net asset value (NAV) and trading discount.