4//SEC Filing
Hawkins John A 4
Accession 0000067590-10-000355
CIK 0000887546other
Filed
Apr 19, 8:00 PM ET
Accepted
Apr 20, 11:24 AM ET
Size
10.4 KB
Accession
0000067590-10-000355
Insider Transaction Report
Form 4
Hawkins John A
Director
Transactions
- Exercise of In-Money
Common Stock
2010-04-16$11.04/sh+545$6,017→ 2,180 total - Exercise of In-Money
Rights (right to buy)
2010-04-16−1,635→ 0 totalExercise: $11.04Exp: 2010-04-16→ Common Stock (545 underlying)
Footnotes (4)
- [F1]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.
- [F2]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.
- [F3]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).
- [F4]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.
Issuer
GREATER CHINA FUND INC
CIK 0000887546
Entity typeother
Related Parties
1- filerCIK 0001293289
Filing Metadata
- Form type
- 4
- Filed
- Apr 19, 8:00 PM ET
- Accepted
- Apr 20, 11:24 AM ET
- Size
- 10.4 KB