-----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, HG+ZwXtMB9h7xvU2ZXQOHbdsAw8B/vkL8jw2agF70bulw1HJAtwSAozegB9Ps4E0 v4yYqGotleIEyQr2SUpPEw== 0001072613-06-002229.txt : 20061108 0001072613-06-002229.hdr.sgml : 20061108 20061108114751 ACCESSION NUMBER: 0001072613-06-002229 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20061031 FILED AS OF DATE: 20061108 DATE AS OF CHANGE: 20061108 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: KOREA FUND INC CENTRAL INDEX KEY: 0000748691 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 133226146 STATE OF INCORPORATION: MD FISCAL YEAR END: 0630 BUSINESS ADDRESS: STREET 1: 345 PARK AVE STREET 2: C/O DEUTSCHE ASSET MANAGEMENT CITY: NEW YORK STATE: NY ZIP: 10154 BUSINESS PHONE: 617-295-3986 MAIL ADDRESS: STREET 1: DEUTSCHE ASSET MANAGEMENT STREET 2: TWO INTERNATIONAL FUND CITY: BOSTON STATE: MA ZIP: 02110 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CITY OF LONDON INVESTMENT MANAGEMENT CO LTD CENTRAL INDEX KEY: 0001034546 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 811-04058 FILM NUMBER: 061196209 BUSINESS ADDRESS: STREET 1: 10 EAST CHEAP CITY: LONDON STATE: X0 ZIP: 00000 BUSINESS PHONE: 4417171107 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CITY OF LONDON INVESTMENT GROUP PLC CENTRAL INDEX KEY: 0001018138 STATE OF INCORPORATION: X0 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 811-04058 FILM NUMBER: 061196210 BUSINESS ADDRESS: STREET 1: 10 EASTCHEAP STREET 2: LONDON ENGLAND EC3MLAJ CITY: LONDON BUSINESS PHONE: 011441717110771 MAIL ADDRESS: STREET 1: 10 EASTCHEAP STREET 2: LONDON ENLAND EC3MLAJ CITY: LONDON FORMER NAME: FORMER CONFORMED NAME: OLLIFF & PARTNERS PLC DATE OF NAME CHANGE: 19960705 4/A 1 pro_14722bex.xml X0202 4/A 2006-10-31 2006-05-31 0 0000748691 KOREA FUND INC KF 0001018138 CITY OF LONDON INVESTMENT GROUP PLC 10 EASTCHEAP LONDON X0 EC3M ILX UNITED KINGDOM 0 0 1 1 Joint Filer 0001034546 CITY OF LONDON INVESTMENT MANAGEMENT CO LTD 0 0 0 1 Joint Filer Common Stock, par value $.01 per share 2006-10-26 4 P 0 14100 38.0000 A 0 D Common Stock, par value $.01 per share 2006-10-27 4 P 0 5000 38.0000 A 0 D Common Stock, par value $.01 per share 2006-10-30 4 P 0 15000 37.6779 A 0 D Common Stock, par value $.01 per share 2006-10-31 4 P 0 50000 38.0000 A 0 D Common Stock, par value $.01 per share 2006-11-01 4 P 0 20000 38.0745 A 0 D Common Stock, par value $.01 per share 2006-11-02 4 P 0 14500 38.3170 A 0 D Common Stock, par value $.01 per share 2006-11-03 4 P 0 10000 38.5382 A 2778633 D Common Stock, par value $.01 per share 2006-06-07 4 P 0 2500 35.6075 A 0 D Common Stock, par value $.01 per share 2006-06-08 4 P 0 4000 33.5199 A 0 D Common Stock, par value $.01 per share 2006-06-09 4 P 0 500 34.3750 A 402591 D Common Stock, par value $.01 per share 2006-06-07 4 P 0 1600 35.6075 A 808834 D Common Stock, par value $.01 per share 2006-06-07 4 P 0 900 35.6075 A 0 D Common Stock, par value $.01 per share 2006-06-08 4 P 0 3000 33.5199 A 0 D Common Stock, par value $.01 per share 2006-06-09 4 P 0 1000 34.3750 A 152836 D Common Stock, par value $.01 per share 2006-11-03 4 S 0 673980 38.9695 D 667064 D Common Stock, par value $.01 per share 2006-11-03 4 S 0 673980 38.9695 D 667064 D Common Stock, par value $.01 per share 2006-07-05 4 S 0 630 35.8615 A 0 D Common Stock, par value $.01 per share 2006-07-11 4 S 0 275 36.1600 A 0 D Common Stock, par value $.01 per share 2006-10-13 4 S 0 40 36.7000 A 945 D These securities are beneficially owned by the segregated accounts for which CLIM provides investment advisory services.These securities are beneficially owned by The Emerging World Fund. These securities are beneficially owned by The Emerging World Fund. These securities are beneficially owned by Free Emerging Markets Country Fund. These securities are beneficially owned by GFM (Institutional) Emerging Markets Country Fund. These securities are beneficially owned by Investable Emerging Market Country Fund These securities are beneficially owned by Emerging Markets Country Fund These securities are beneficially owned by GLOBAL EMERGING MARKET COUNTRY FUND CAYMAN Neither City of London Investment Group PLC ("CLIG") nor City of London Investment Management Company Limited ("CLIM") are the beneficial owners of any shares of KF as the term "beneficial owner" is defined in Rule 16a-1(a)(2). CLIG is the parent holding company of CLIM, which provides investment advisory services to the funds listed in notes 1 through 7 below. This filing shall not be deemed an admission by any of the listed funds that they are subject to reporting under Section 16(a). This Form is Part Two of Two Parts. By: /s/ Barry M. Olliff 2006-06-11 EX-99.1 2 joint-filer_14722.txt JOINT FILER INFORMATION EXHIBIT 99 ---------- JOINT FILER INFORMATION ----------------------- Name: City of London Investment Management Company Limited - ---- Address: 10 Eastcheap - ------- London EC3M ILX, England Designated Filer: City of London Investment Group PLC - ---------------- Issuer and Ticker Symbol: Korea Fund, Inc. ("KF") - ------------------------ Date of Event Requiring Statement: November 7, 2006 - --------------------------------- Signature: City of London Investment Management Company Limited - --------- By: /s/ Barry Olliff --------------------------------- Name: Barry Olliff, Chief Investment Officer JOINT FILER INFORMATION ----------------------- Name: City of London Investment Management Company Limited - ---- Address: 10 Eastcheap - ------- London EC3M ILX, England Designated Filer: Segregated accounts for which CLIM provides investment - ---------------- advisory services. Issuer and Ticker Symbol: Korea Fund, Inc. ("KF") - ------------------------ Date of Event Requiring Statement: November 7, 2006 - --------------------------------- Signature: City of London Investment Management Company Limited - --------- By: /s/ Barry Olliff --------------------------------- Name: Barry Olliff, Chief Investment Officer JOINT FILER INFORMATION ----------------------- Name: City of London Investment Management Company Limited - ---- Address: 10 Eastcheap - ------- London EC3M ILX, England Designated Filer: The Emerging World Fund. - ---------------- Issuer and Ticker Symbol: Korea Fund, Inc. ("KF") - ------------------------ Date of Event Requiring Statement: November 7, 2006 - --------------------------------- Signature: City of London Investment Management Company Limited - --------- By: /s/ Barry Olliff --------------------------------- Name: Barry Olliff, Chief Investment Officer JOINT FILER INFORMATION ----------------------- Name: City of London Investment Management Company Limited - ---- Address: 10 Eastcheap - ------- London EC3M ILX, England Designated Filer: Free Emerging Markets Country Fund. - ---------------- Issuer and Ticker Symbol: Korea Fund, Inc. ("KF") - ------------------------ Date of Event Requiring Statement: November 7, 2006 - --------------------------------- Signature: City of London Investment Management Company Limited - --------- By: /s/ Barry Olliff --------------------------------- Name: Barry Olliff, Chief Investment Officer JOINT FILER INFORMATION ----------------------- Name: City of London Investment Management Company Limited - ---- Address: 10 Eastcheap - ------- London EC3M ILX, England Designated Filer: GFM (Institutional) Emerging Markets Country Fund. - ---------------- Issuer and Ticker Symbol: Korea Fund, Inc. ("KF") - ------------------------ Date of Event Requiring Statement: November 7, 2006 - --------------------------------- Signature: City of London Investment Management Company Limited - --------- By: /s/ Barry Olliff --------------------------------- Name: Barry Olliff, Chief Investment Officer JOINT FILER INFORMATION ----------------------- Name: City of London Investment Management Company Limited - ---- Address: 10 Eastcheap - ------- London EC3M ILX, England Designated Filer: Investable Emerging Market Country Fund - ---------------- Issuer and Ticker Symbol: Korea Fund, Inc. ("KF") - ------------------------ Date of Event Requiring Statement: November 7, 2006 - --------------------------------- Signature: City of London Investment Management Company Limited - --------- By: /s/ Barry Olliff --------------------------------- Name: Barry Olliff, Chief Investment Officer JOINT FILER INFORMATION ----------------------- Name: City of London Investment Management Company Limited - ---- Address: 10 Eastcheap - ------- London EC3M ILX, England Designated Filer: Emerging Markets Country Fund - ---------------- Issuer and Ticker Symbol: Korea Fund, Inc. ("KF") - ------------------------ Date of Event Requiring Statement: November 7, 2006 - --------------------------------- Signature: City of London Investment Management Company Limited - --------- By: /s/ Barry Olliff --------------------------------- Name: Barry Olliff, Chief Investment Officer JOINT FILER INFORMATION ----------------------- Name: City of London Investment Management Company Limited - ---- Address: 10 Eastcheap - ------- London EC3M ILX, England Designated Filer: Global Emerging Markets Country Fund Cayman - ---------------- Issuer and Ticker Symbol: Korea Fund, Inc. ("KF") - ------------------------ Date of Event Requiring Statement: November 7, 2006 - --------------------------------- Signature: City of London Investment Management Company Limited - --------- By: /s/ Barry Olliff --------------------------------- Name: Barry Olliff, Chief Investment Officer -----END PRIVACY-ENHANCED MESSAGE-----