KOREA FUND INC compliance officer listed as insider

KOREA FUND INC identifies David Anthony Buttke Jr., its Chief Compliance Officer, as a reporting insider in an initial ownership statement.

Accepted by SEC EDGAR 08/05/2026 - 09:06 AM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

KOREA FUND INC identifies David Anthony Buttke Jr., its Chief Compliance Officer, as a reporting insider in an initial ownership statement. No transactions are reported and no securities of KOREA FUND INC are shown as beneficially owned, indicating there were no reportable holdings for him at the time of this report.

Key Figures

Buy transactions reported: 0 Sell transactions reported: 0 Holding entries: 0

3 metrics

Buy transactions reported 0 Number of buy transactions in this initial insider ownership statement

Sell transactions reported 0 Number of sell transactions in this initial insider ownership statement

Holding entries 0 Reportable holdings for David Anthony Buttke Jr. in KOREA FUND INC securities

Key Terms

reporting person, beneficial ownership, Chief Compliance Officer

3 terms

reporting person regulatory

"Reporting person listed with officer title Chief Compliance Officer"

beneficial ownership regulatory

"Initial statement of beneficial ownership by an insider of KOREA FUND INC"

Beneficial ownership means the person or entity that actually enjoys the benefits of owning shares or other assets — such as receiving dividends, voting rights, or price gains — even if the legal title is held in another name. For investors it matters because knowing who truly controls and profits from a company reveals who can influence decisions, exposes potential conflicts of interest or hidden concentration of power, and affects transparency and risk in the stock.

Chief Compliance Officer regulatory

"Officer title identified as Chief Compliance Officer"

The chief compliance officer is the senior executive responsible for making sure a company follows laws, industry rules and its own internal policies, acting like a safety inspector for legal and ethical risks. Investors care because effective compliance reduces the chance of fines, lawsuits, operational disruption and reputational damage, so the officer’s competence and independence can materially affect future profits and risk exposure.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

Who is identified as the insider in KOREA FUND INC (KF)?

The insider report identifies David Anthony Buttke Jr. as a reporting person and Chief Compliance Officer of KOREA FUND INC. It records his status as an officer subject to insider reporting without listing any securities transactions or holdings for him.

Does the KF insider report show any share ownership for David Anthony Buttke Jr.?

No. The insider report shows no securities of KOREA FUND INC as beneficially owned by David Anthony Buttke Jr. It contains no holding entries and no reported transactions, indicating there were no reportable positions in KF securities for him at that time.

Are any stock transactions reported for the insider in KF?

No stock transactions are reported. The insider statement for KOREA FUND INC shows zero buy, sell, or derivative transactions for David Anthony Buttke Jr., reflecting that only his insider status as Chief Compliance Officer is being disclosed, without any trading activity.

What role does David Anthony Buttke Jr. hold at KOREA FUND INC (KF)?

He is listed as the Chief Compliance Officer of KOREA FUND INC. In this capacity he is treated as a reporting insider, meaning his ownership and trading activity in KF securities must be reported, even though no holdings or trades appear in this initial statement.

What overall activity does this KF insider report cover?

This insider report for KOREA FUND INC records no trading activity and no holdings for Chief Compliance Officer David Anthony Buttke Jr. It simply establishes him as a reporting insider, with all transaction and derivative summary counts shown as zero in the data provided.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0104
Estimated average burden
hours per response:			0.5

1. Name and Address of Reporting Person^*

Buttke David Anthony Jr.

(Last) (First) (Middle)

1111 POLARIS PKWY

(Street)

COLUMBUS OHIO 43240

(City) (State) (Zip)

UNITED STATES

(Country)

2. Date of Event Requiring Statement (Month/Day/Year)
07/30/2026

3. Issuer Name and Ticker or Trading Symbol
KOREA FUND INC [ KF ]

3a. Foreign Trading Symbol

5. If Amendment, Date of Original Filed (Month/Day/Year)

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	Chief Compliance Officer

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

No securities are beneficially owned.

	/s/ David A. Buttke	08/05/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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 Number.
* Form 3: SEC 1473 (03-26)