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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT 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 1474 (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 Following Reported Transaction(s) (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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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
CITY OF LONDON INVESTMENT GROUP PLC 77 GRACECHURCH STREET LONDON, X0 EC3V0AS |
X | |||
CITY OF LONDON INVESTMENT MANAGEMENT CO LTD 77 GRACECHURCH STREET LONDON, X0 EC3V0AS |
X | |||
Reid Julian C/O ANJIE LAROCCA, DEUTSCHE BANK 1251 AVENUE OF THE AMERICAS NEW YORK, NY 10154 |
X | |||
Silver Richard C/O ANJIE LAROCCA, DEUTSCHE ASSET MGMT. 345 PARK AVENUE NEW YORK, NY 10154 |
X |
/s/ Barry M. Olliff, Director - City of London Group PLC | 01/22/2018 | |
**Signature of Reporting Person | Date | |
/s/ Barry M. Olliff, Director - City of London Investment Management Company Limited | 01/22/2018 | |
**Signature of Reporting Person | Date | |
/s/ Julian Reid | 01/22/2018 | |
**Signature of Reporting Person | Date | |
/s/ Richard A. Silver | 01/22/2018 | |
**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) | This Form 4 is filed jointly by City of London Investment Group, PLC ("CLIG"), City of London Investment Management Company Limited ("CLIM"), Julian Reid, and Richard A. Silver (collectively, the "Reporting Persons"). Each of the Reporting Persons is a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. No one direct beneficial owner of the reported securities owns more than 5% of the outstanding securities of the Issuer. |
(2) | These securities are beneficially owned by Emerging (BMI) Markets Country Fund. |
(3) | These securities are beneficially owned by Emerging Markets Free Fund. |
(4) | These securities are beneficially owned by Emerging Markets Global Fund. |
(5) | These securities are beneficially owned by Emerging Markets Investable Fund. |
(6) | These securities are beneficially owned by Global Emerging Markets Fund. |
(7) | These securities are beneficially owned by The Emerging World Fund. |
(8) | These securities are beneficially owned by Emerging Free Markets Country Fund. |
(9) | These securities are beneficially owned by Emerging Markets Country Fund. |
(10) | These securities are beneficially owned by Investable Emerging Markets Country Fund. |
(11) | These securities are beneficially owned by The EM Plus CEF Fund. |
(12) | These securities are beneficially owned by unaffiliated third-party segregated accounts. |