- Statement of Changes in Beneficial Ownership (4)
2010年4月21日 - 12:14AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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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(f) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Baker Edward Y
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2. Issuer Name
and
Ticker or Trading Symbol
GREATER CHINA FUND INC
[
GCH
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
15 ARTINGER COURT
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3. Date of Earliest Transaction
(MM/DD/YYYY)
4/16/2010
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(Street)
TORONTO, A6 M3B 1J9
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common stock
(1)
(2)
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4/16/2010
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4/16/2010
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X
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701
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A
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$11.04
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2806
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Rights (right to buy)
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$11.04
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4/16/2010
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4/16/2010
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X
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2105
(3)
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(4)
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4/16/2010
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Common Stock
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701
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$0
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0
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D
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Explanation of Responses:
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(
1)
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Pursuant to a rights offering (the Rights Offering), The Greater China Fund, Inc. (the Fund) issued to its stockholders of record as of the close of business on March 23, 2010 (the Record Date), one right for every share of common stock held on the Record Date. Each right gave the holder the right to purchase one share of common stock for every three rights held (subject to round-up) at a subscription price of $11.04 per share (the Subscription Price). The shares of common stock shown on this Form 4 include the number of shares of common stock acquired pursuant to the exercise of the reporting person's rights.
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(
2)
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Rights holders who were shareholders on the Record Date and who fully exercised the rights they obtained in the primary subscription were entitled to an over-subscription privilege in which they could subscribe for additional shares of common stock at the Subscription Price. The shares of common stock shown on this Form 4 exclude the number of shares of common stock acquired, if any, pursuant to the over-subscription privilege to which the reporting person was entitled under the Rights Offering, which amount is still not determinable as of this date.
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(
3)
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Reflects the number of rights awarded pro rata by the Fund to its shareholders pursuant to the Rights Offering, which was an exempt transaction under Rule 16a-9 of the Securities Exchange Act, as amended. Pursuant to the terms of the Rights Offering, rights holders are entitled to purchase one share of the Fund's common stock for every three rights held (subject to round up).
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(
4)
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Rights holders were permitted to exercise rights at any time during the subscription period, which commenced on March 23, 2010 and which expired at 5:00 p.m., New York City time, on April 16, 2010.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Baker Edward Y
15 ARTINGER COURT
TORONTO, A6 M3B 1J9
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X
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Signatures
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/s/Deborah A. Docs, POA for Edward Y Baker
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4/20/2010
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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Aberdeen Greater China Fund, (NYSE:GCH)
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