-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, NQ6WG68iCVPcEpVGHnR2MnFT02g8VCqHlj5Bb1EEQI/098kaTEYhwsJgP7aevGZA gXq2QUQihgu2vNh0Fl8DQw== 0001104659-07-086084.txt : 20071129 0001104659-07-086084.hdr.sgml : 20071129 20071129164543 ACCESSION NUMBER: 0001104659-07-086084 CONFORMED SUBMISSION TYPE: N-Q PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20070930 FILED AS OF DATE: 20071129 DATE AS OF CHANGE: 20071129 EFFECTIVENESS DATE: 20071129 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Morgan Stanley China A Share Fund, Inc. CENTRAL INDEX KEY: 0001368493 IRS NUMBER: 000000000 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: N-Q SEC ACT: 1940 Act SEC FILE NUMBER: 811-21926 FILM NUMBER: 071275390 BUSINESS ADDRESS: STREET 1: 1221 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10020 BUSINESS PHONE: 212-903-7600 MAIL ADDRESS: STREET 1: 1221 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10020 N-Q 1 a07-29823_11nq.htm N-Q

[Annotated Form N-Q]

 

 

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

 

 

 

 

 

 

 

FORM N-Q

 

 

QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED

MANAGEMENT INVESTMENT COMPANY

 

Investment Company Act file number

811-21926

 

MORGAN STANLEY CHINA A SHARE FUND, INC.

(Exact name of registrant as specified in charter) CIK: 0001368493

522 FIFTH AVENUE, NEW YORK, NY

10036

(Address of principal executive offices)

(Zip code)

RONALD E. ROBISON
522 FIFTH AVENUE, NEW YORK, NY 10036

(Name and address of agent for service)

 

 

 

Registrant’s telephone number, including area code:

1-800-231-2608

 

 

Date of fiscal year end:

12/31

 

 

Date of reporting period:

9/30/07

 

 



 

Item 1.  Schedule of Investments.

 

The Fund’s schedule of investment as of the close of the reporting period prepared pursuant to Rule 12-12 Regulation S-X is as follows:

 



 

Morgan Stanley China A Share Fund, Inc.

Portfolio of Investments

Third Quarter Report

September 30, 2007 (unaudited)

 

 

 

 

 

Value

 

 

 

Shares

 

(000)

 

COMMON STOCKS (99.1%)

 

 

 

 

 

(Unless Otherwise Noted)

 

 

 

 

 

Airlines (6.2%)

 

 

 

 

 

Air China Ltd.

 

20,631,947

 

64,842

 

Beverages (1.1%)

 

 

 

 

 

Kweichow Moutai Co., Ltd.

 

573,938

 

11,505

 

Commercial Banks (17.2%)

 

 

 

 

 

Bank of China Ltd.

 

29,732,000

 

23,489

 

China Merchants Bank Co., Ltd.

 

13,190,296

 

67,251

 

Huaxia Bank Co., Ltd.

 

14,344,819

 

37,820

 

Shanghai Pudong Development Bank

 

7,180,287

 

50,221

 

 

 

 

 

178,781

 

Electrical Equipment (0.9%)

 

 

 

 

 

Neo-Neon Holdings Ltd.

 

(a)6,970,000

 

9,056

 

Machinery (13.4%)

 

 

 

 

 

China International Containers Co., Ltd.

 

5,123,918

 

11,007

 

China State Shipbuilding Co., Ltd.

 

786,934

 

28,725

 

Guangxi Liugong Machinery

 

6,075,000

 

31,969

 

Shanghai Zhenhua Port Machinery Co.

 

6,667,600

 

26,631

 

Zhengzhou Yutong Bus Co.

 

8,899,288

 

40,252

 

 

 

 

 

138,584

 

Marine (6.3%)

 

 

 

 

 

China COSCO Holdings Co., Ltd.

 

20,898,000

 

65,324

 

Metals & Mining (19.8%)

 

 

 

 

 

Angang Steel Co., Ltd.

 

5,274,392

 

25,296

 

Baoshan Iron & Steel Co., Ltd.

 

8,467,400

 

20,520

 

Jiaozuo Wanfang Aluminum Manufacturing Co., Ltd.

 

10,260,456

 

77,096

 

Maanshan Iron & Steel

 

20,366,616

 

36,467

 

Wuhan Iron & Steel Co., Ltd.

 

19,414,675

 

45,704

 

 

 

 

 

205,083

 

Oil, Gas & Consumable Fuels (17.6%)

 

 

 

 

 

Anhui Hengyuan Coal Industry & Electricity Power Co., Ltd.,

 

4,620,082

 

34,979

 

China Coal Energy Co.

 

(a)12,464,000

 

37,037

 

China Shenhua Energy Co.

 

1,633,000

 

9,810

 

Henan Shen Huo Coal Industry & Electricity Power Co., Ltd.

 

4,734,912

 

41,514

 

Shanxi Xishan Coal And Electricity Power Co., Ltd.

 

6,212,000

 

59,165

 

 

 

 

 

182,505

 

Real Estate (3.6%)

 

 

 

 

 

China Merchants Property Development Co., Ltd.

 

3,454,908

 

36,362

 

Sino-Ocean Land Holdings Ltd.

 

(a)887,000

 

1,255

 

 

 

 

 

37,617

 

Road & Rail (4.3%)

 

 

 

 

 

Daqin Railway Co., Ltd.

 

13,042,000

 

44,255

 

Specialty Retail (2.0%)

 

 

 

 

 

GOME Electrical Appliances Holdings Ltd.

 

10,435,000

 

20,484

 

Transportation Infrastructure (6.7%)

 

 

 

 

 

Guangzhou Baiyun International Airport Co., Ltd.

 

8,393,618

 

21,258

 

Jiangxi Ganyue Expressway Co., Ltd.

 

9,992,999

 

24,323

 

Shenzhen Chiwan Wharf Holdings Ltd.

 

6,163,974

 

24,496

 

 

 

 

 

70,077

 

 



 

TOTAL COMMON STOCKS (Cost $351,978)

 

 

 

1,028,113

 

 

 

Face

 

 

 

 

 

Amount

 

 

 

 

 

(000)

 

 

 

CORPORATE BOND (0.0%)

 

 

 

 

 

Oil, Gas & Consumable Fuels (0.0%)

 

 

 

 

 

Anhui Hengyuan Coal Industry & Electricity Power Co., Ltd.,

 

 

 

 

 

1.50%, 9/24/12

 

$

(b)4,620

 

615

 

 

 

Shares

 

 

 

SHORT-TERM INVESTMENT (0.5%)

 

 

 

 

 

Investment Company (0.5%)

 

 

 

 

 

Morgan Stanley Institutional Liquidity

 

 

 

 

 

Money Market Portfolio

 

 

 

 

 

— Institutional Class (Cost $4,948)

 

(c)4,947,643

 

4,948

 

TOTAL INVESTMENTS + (99.6%) (Cost $356,926)

 

 

 

1,033,676

 

OTHER ASSETS IN EXCESS OF LIABILITIES (0.4%)

 

 

 

3,756

 

NET ASSETS (100%)

 

 

 

$

1,037,432

 

 

(a)

Non-income producing security.

(b)

Step Bond — Coupon rate increases in increments to maturity. Rate disclosed is as of September 30, 2007. Maturity date disclosed is the ultimate maturity date.

(c)

The Fund invests in the Institutional Class of the Morgan Stanley Institutional Liquidity Money Market Portfolio (the “Liquidity Fund”), an open-end management investment company managed by the Adviser. Investment Advisory fees paid by the Fund are reduced by an amount equal to its pro-rata share of the advisory and administration fees paid by the Liquidity Fund. For the nine months ended September 30, 2007, advisory fees paid were reduced by $2,000 relating to the Fund’s investment in the Liquidity Fund. For the same period, income distributions earned by the Fund are recorded as interest from affiliates and totaled $93,000. During the nine months ended September 30, 2007, cost of purchases and sales in the Liquidity Fund were $51,103,000 and $46,155,000, respectively.

+

At September 30, 2007, the U.S. Federal income tax cost basis of investments was approximately $356,926,000 and, accordingly, net unrealized appreciation for U.S. Federal income tax purposes was $676,750,000 of which $677,890,000 related to appreciated securities and $1,140,000 related to depreciated securities.

 



 

Item 2.  Controls and Procedures.

 

(a) The Fund’s principal executive officer and principal financial officer have concluded that the Fund’s disclosure controls and procedures are sufficient to ensure that information required to be disclosed by the Fund in this Form N-Q was recorded, processed, summarized and reported within the time periods specified in the Securities and Exchange Commission’s rules and forms, based upon such officers’ evaluation of these controls and procedures as of a date within 90 days of the filing date of the report.

 

(b)  There were no changes in the Fund’s internal control over financial reporting that occurred during the registrant’s fiscal quarter that has materially affected, or is reasonably likely to materially affect, the Fund’s internal control over financial reporting.

 

Item 3.  Exhibits.

 



 

SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

 

(Registrant)

Morgan Stanley China A Share Fund, Inc.

 

By:

/s/ Ronald E. Robison

 

Name:

Ronald E. Robison

 

Title:

Principal Executive Officer

 

Date:

November 20, 2007

 

 

Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, this report has been signed by the following persons on behalf of the registrant and in the capacities and on the dates indicated.

 

By:

/s/ Ronald E. Robison

 

Name:

Ronald E. Robison

 

Title:

Principal Executive Officer

 

Date:

November 20, 2007

 

 

 

 

By:

/s/ James Garrett

 

Name:

James Garrett

 

Title:

Principal Financial Officer

 

Date:

November 20, 2007

 

 


EX-99.CERT 2 a07-29823_11ex99dcert.htm EX-99.CERT

Exhibit 99.CERT

 

FORM N-Q

 

I, James Garrett, certify that:

 

1.             I have reviewed this report on Form N-Q of Morgan Stanley China ‘A’ Share Fund, Inc.;

 

2.             Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report;

 

3.             Based on my knowledge, the schedules of investments included in this report fairly present in all material respects the investments of the registrant as of the end of the fiscal quarter for which the report is filed;

 

4.             The registrant’s other certifying officer(s) and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Rule 30a-3(c) under the Investment Company Act of 1940) and internal control over financial reporting (as defined in Rule 30a-3(d) under the Investment Company Act of 1940) for the registrant and have:

 

(a)           Designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared;

 

(b)           Designed such internal control over financial reporting, or caused such internal control over financial reporting to be designed under our supervision, to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles;

 

(c)           Evaluated the effectiveness of the registrant’s disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures, as of a date within 90 days prior to the filing date of this report, based on such evaluation; and

 

(d)           Disclosed in this report any change in the registrant’s internal control over financial reporting that occurred during the second fiscal quarter of the period covered by this report that has materially affected, or is reasonably likely to materially affect, the registrant’s internal control over financial reporting; and

 

5.             The registrant’s other certifying officer(s) and I have disclosed to the registrant’s auditors and the audit committee of the registrant’s board of directors (or persons performing the equivalent functions):

 

(a)           All significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the registrant’s ability to record, process, summarize, and report financial information; and

 

(b)           Any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant’s internal control over financial reporting.

 

 

Date: November 20, 2007

 

 

 

 

 

 

/s/ James Garrett

 

 

James Garrett

 

Principal Financial Officer

 



 

FORM N-Q

 

I, Ronald E. Robison, certify that:

 

1.             I have reviewed this report on Form N-Q of Morgan Stanley China ‘A’ Share Fund, Inc.;

 

2.             Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report;

 

3.             Based on my knowledge, the schedules of investments included in this report fairly present in all material respects the investments of the registrant as of the end of the fiscal quarter for which the report is filed;

 

4.             The registrant’s other certifying officer(s) and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Rule 30a-3(c) under the Investment Company Act of 1940) and internal control over financial reporting (as defined in Rule 30a-3(d) under the Investment Company Act of 1940) for the registrant and have:

 

(a)           Designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared;

 

(b)           Designed such internal control over financial reporting, or caused such internal control over financial reporting to be designed under our supervision, to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles;

 

(c)           Evaluated the effectiveness of the registrant’s disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures, as of a date within 90 days prior to the filing date of this report, based on such evaluation; and

 

(d)           Disclosed in this report any change in the registrant’s internal control over financial reporting that occurred during the second fiscal quarter of the period covered by this report that has materially affected, or is reasonably likely to materially affect, the registrant’s internal control over financial reporting; and

 

5.             The registrant’s other certifying officer(s) and I have disclosed to the registrant’s auditors and the audit committee of the registrant’s board of directors (or persons performing the equivalent functions):

 

(a)           All significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the registrant’s ability to record, process, summarize, and report financial information; and

 

(b)           Any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant’s internal control over financial reporting.

 

 

Date: November 20, 2007

 

/s/ Ronald E. Robison

 

 

 

Ronald E. Robison

 

 

 

Principal Executive Officer

 

 


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