0001236835-14-000133.txt : 20140303 0001236835-14-000133.hdr.sgml : 20140303 20140303160730 ACCESSION NUMBER: 0001236835-14-000133 CONFORMED SUBMISSION TYPE: NSAR-B PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20131231 FILED AS OF DATE: 20140303 DATE AS OF CHANGE: 20140303 EFFECTIVENESS DATE: 20140303 FILER: COMPANY DATA: COMPANY CONFORMED NAME: MORGAN STANLEY ASIA-PACIFIC FUND, INC. CENTRAL INDEX KEY: 0000919808 IRS NUMBER: 000000000 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: NSAR-B SEC ACT: 1940 Act SEC FILE NUMBER: 811-08388 FILM NUMBER: 14660379 BUSINESS ADDRESS: STREET 1: MORGAN STANLEY ASIA-PACIFIC FUND, INC. STREET 2: 522 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10036 BUSINESS PHONE: 6175578742 MAIL ADDRESS: STREET 1: MORGAN STANLEY ASIA-PACIFIC FUND, INC. STREET 2: 522 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10036 FORMER COMPANY: FORMER CONFORMED NAME: MORGAN STANLEY ASIA PACIFIC FUND INC DATE OF NAME CHANGE: 20070518 FORMER COMPANY: FORMER CONFORMED NAME: MORGAN STANLEY DEAN WITTER ASIA PACIFIC FUND INC DATE OF NAME CHANGE: 20000504 FORMER COMPANY: FORMER CONFORMED NAME: MORGAN STANLEY ASIA PACIFIC FUND INC DATE OF NAME CHANGE: 19940505 NSAR-B 1 mgglanswer.fil MGGL ANSWER FILE PAGE 1 000 B000000 12/31/2013 000 C000000 0000919808 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 6.1 000 J000000 A 001 A000000 MORGAN STANLEY ASIA PACIFIC FUND, INC. 001 B000000 811-08388 001 C000000 2122966963 002 A000000 522 FIFTH AVENUE 002 B000000 NEW YORK 002 C000000 NY 002 D010000 10036 003 000000 N 004 000000 N 005 000000 N 006 000000 N 007 A000000 N 007 B000000 0 007 C010100 1 008 A000001 MORGAN STANLEY INVESTMENT MANAGEMENT INC. 008 B000001 A 008 C000001 801-15757 008 D010001 NEW YORK 008 D020001 NY 008 D030001 10036 008 A000002 MORGAN STANLEY INVESTMENT MANAGEMENT LIMITED 008 B000002 S 008 C000002 801-26847 008 D010002 LONDON 008 D050002 UNITED KINGDOM 008 D060002 E14 4QA 008 A000003 MORGAN STANLEY INVESTMENT MANAGEMENT COMPANY 008 B000003 S 008 C000003 801-62173 008 D010003 SINGAPORE 008 D050003 SINGAPORE 008 D060003 049481 010 A000001 MORGAN STANLEY INVESTMENT MANAGEMENT INC. 010 B000001 801-15757 010 C010001 NEW YORK 010 C020001 NY 010 C030001 10036 012 A000001 COMPUTERSHARE TRUST COMPANY, N.A. 012 B000001 85-05003 012 C010001 COLLEGE STATION 012 C020001 TX 012 C030001 77845 PAGE 2 013 A000001 ERNST & YOUNG LLP 013 B010001 BOSTON 013 B020001 MA 013 B030001 02116 014 A000001 BTMU CAPITAL CORPORATION 014 B000001 8-00000 014 A000002 BTMU LEASING & FINANCE 014 B000002 8-00000 014 A000003 BANK MORGAN STANLEY AG 014 B000003 8-00000 014 A000004 BANK OF TOKYO - MITSUBISHI UFJ LTD. 014 B000004 8-00000 014 A000005 BETTER ALTERNATIVE TRADING SYSTEM 014 B000005 8-00000 014 A000006 BLOCK INTEREST DISCOVERY SERVICE 014 B000006 8-00000 014 A000007 H.C. SECURITIES AND INVESTMENTS 014 B000007 8-00000 014 A000008 HTI VALORI MOBILIARE S.A. 014 B000008 8-00000 014 A000009 KABU.COM SECURITIES 014 B000009 8-00000 014 A000010 MITSUBISHI UFJ MORGAN STANLEY SECURITIES CO. 014 B000010 8-00000 014 A000011 MITSUBISHI UFJ SECURITIES CO. LTD. 014 B000011 8-00000 014 A000012 MITSUBISHI UFJ SECURITIES HOLDINGS 014 B000012 8-00000 014 A000013 MITSUBISHI UFJ SECURITIES INTERNATIONAL PLC 014 B000013 8-00000 014 A000014 MITSUBISHI UFJ TRUST & BANKING CORP. 014 B000014 8-00000 014 A000015 MITSUBISHI UFJ TRUST INTERNATIONAL 014 B000015 8-00000 014 A000016 MORGAN STANLEY & CO. LLC 014 B000016 8-15869 014 A000017 MORGAN STANLEY & CO. INTERNATIONAL PLC 014 B000017 8-00000 014 A000018 MORGAN STANLEY AUSTRALIA LIMITED 014 B000018 8-00000 014 A000019 MORGAN STANLEY AUSTRALIA SECURITIES LIMITED 014 B000019 8-00000 014 A000020 MORGAN STANLEY ASIA LIMITED 014 B000020 8-00000 014 A000021 MORGAN STANLEY ASIA (SINGAPORE) PTE 014 B000021 8-00000 014 A000022 MORGAN STANLEY ASIA (SINGAPORE) SECURITIES PT 014 B000022 8-00000 014 A000023 MORGAN STANLEY CANADA LIMITED 014 B000023 8-00000 014 A000024 MORGAN STANLEY CAPITAL SERVICES LLC PAGE 3 014 B000024 8-00000 014 A000025 MORGAN STANLEY C.T.V.M. S.A. 014 B000025 8-00000 014 A000026 MORGAN STANLEY DISTRIBUTION, INC. 014 B000026 8-44766 014 A000027 MORGAN STANLEY FUTURES (HONG KONG) LIMITED 014 B000027 8-00000 014 A000028 MORGAN STANLEY HONG KONG SECURITIES LIMITED 014 B000028 8-00000 014 A000029 MORGAN STANLEY HUAXIN SECURITIES COMPANY LIMI 014 B000029 8-00000 014 A000030 MORGAN STANLEY INDIA COMPANY PRIVATE LTD. 014 B000030 8-00000 014 A000031 MORGAN STANLEY INDIA FINANCIAL SERVICES PRIVA 014 B000031 8-00000 014 A000032 MORGAN STANLEY MARKET PRODUCTS INC. 014 B000032 8-37795 014 A000033 MORGAN STANLEY MENKUL DEGERLER A.S. 014 B000033 8-00000 014 A000034 MORGAN STANLEY MUFG SECURITIES 014 B000034 8-00000 014 A000035 MORGAN STANLEY MUFG SECURITIES CO., LTD. 014 B000035 8-00000 014 A000036 MORGAN STANLEY SECURITIES LIMITED 014 B000036 8-00000 014 A000037 MORGAN STANLEY SMITH BARNEY AUSTRALIA PTY LTD 014 B000037 8-00000 014 A000038 MORGAN STANLEY SMITH BARNEY FINANCING, LLC 014 B000038 8-00000 014 A000039 MORGAN STANLEY SMITH BARNEY LLC 014 B000039 8-68191 014 A000040 MORGAN STANLEY TAIWAN LIMITED 014 B000040 8-00000 014 A000041 MORGAN STANLEY, S.V. S.A. 014 B000041 8-00000 014 A000042 MS SECURITIES SERVICES INC. 014 B000042 8-26804 014 A000043 MUNICENTER 014 B000043 8-00000 014 A000044 OLIVETREE SECURITIES LTD. 014 B000044 8-00000 014 A000045 OOO MORGAN STANLEY BANK 014 B000045 8-00000 014 A000046 PRIME DEALER SERVICES CORP. 014 B000046 8-47025 014 A000047 RMB MORGAN STANLEY 014 B000047 8-00000 014 A000048 TOKYO CREDIT SERVICES 014 B000048 8-00000 014 A000049 UNIONBANC INVESTMENT SERVICES 014 B000049 8-30706 PAGE 4 014 A000050 UNIONBANCAL CORPORATION 014 B000050 8-00000 015 A000001 STATE STREET BANK AND TRUST COMPANY 015 B000001 C 015 C010001 BOSTON 015 C020001 MA 015 C030001 02111 015 E010001 X 018 000000 Y 019 A000000 Y 019 B000000 91 019 C000000 MSINSTLRET 020 A000001 CREDIT LYONNAIS SECURITIES 020 B000001 36-2495346 020 C000001 89 020 A000002 MORGAN STANLEY 020 B000002 13-2655998 020 C000002 60 020 A000003 DAIWA SECURITIES AMERICA, INC. 020 B000003 13-5680329 020 C000003 43 020 A000004 MERRILL LYNCH 020 B000004 98-0186363 020 C000004 40 020 A000005 JP MORGAN CHASE & CO. 020 B000005 13-2624428 020 C000005 33 020 A000006 CREDIT SUISSE 020 B000006 13-5659485 020 C000006 32 020 A000007 MIZUHO SECURITIES USA, INC. 020 B000007 36-2880742 020 C000007 27 020 A000008 GOLDMAN SACHS & CO. 020 B000008 13-5108880 020 C000008 26 020 A000009 DEUTSCHE BANK AG 020 B000009 13-2944988 020 C000009 26 020 A000010 UBS AG 020 B000010 13-3203169 020 C000010 26 021 000000 498 022 A000001 STATE STREET BANK & TRUST CO. 022 B000001 04-1867445 022 C000001 60305 022 D000001 58228 022 A000002 GOLDMAN SACHS & CO. 022 B000002 13-5108880 022 C000002 746 022 D000002 0 PAGE 5 022 A000003 DEUTSCHE BANK AG 022 B000003 13-2944988 022 C000003 349 022 D000003 0 023 C000000 61400 023 D000000 58228 024 000000 Y 025 A000001 MIZUHO SECURITIES USA, INC. 025 B000001 36-2880742 025 C000001 E 025 D000001 6475 025 A000002 DAIWA SECURITIES AMERICA, INC. 025 B000002 13-5680329 025 C000002 E 025 D000002 7189 025 A000003 NOMURA SECURITIES CO., LTD. 025 B000003 13-2642206 025 C000003 E 025 D000003 5221 026 A000000 N 026 B000000 Y 026 C000000 N 026 D000000 Y 026 E000000 N 026 F000000 N 026 G010000 N 026 G020000 N 026 H000000 N 027 000000 N 028 A010000 0 028 A020000 0 028 A030000 0 028 A040000 0 028 B010000 0 028 B020000 0 028 B030000 0 028 B040000 0 028 C010000 0 028 C020000 0 028 C030000 0 028 C040000 0 028 D010000 0 028 D020000 0 028 D030000 0 028 D040000 0 028 E010000 0 028 E020000 0 028 E030000 0 028 E040000 0 028 F010000 0 028 F020000 0 PAGE 6 028 F030000 0 028 F040000 0 028 G010000 0 028 G020000 0 028 G030000 0 028 G040000 0 028 H000000 0 030 A000000 0 030 B000000 0.00 030 C000000 0.00 031 A000000 0 031 B000000 0 032 000000 0 033 000000 0 035 000000 0 036 B000000 0 038 000000 0 042 A000000 0 042 B000000 0 042 C000000 0 042 D000000 0 042 E000000 0 042 F000000 0 042 G000000 0 042 H000000 0 043 000000 0 044 000000 0 045 000000 Y 046 000000 N 047 000000 Y 048 000000 1.000 048 A010000 0 048 A020000 0.000 048 B010000 0 048 B020000 0.000 048 C010000 0 048 C020000 0.000 048 D010000 0 048 D020000 0.000 048 E010000 0 048 E020000 0.000 048 F010000 0 048 F020000 0.000 048 G010000 0 048 G020000 0.000 048 H010000 0 048 H020000 0.000 048 I010000 0 048 I020000 0.000 048 J010000 0 048 J020000 0.000 PAGE 7 048 K010000 0 048 K020000 0.000 049 000000 N 050 000000 N 051 000000 N 052 000000 N 053 A000000 Y 053 B000000 Y 053 C000000 N 054 A000000 Y 054 B000000 Y 054 C000000 Y 054 D000000 N 054 E000000 N 054 F000000 N 054 G000000 Y 054 H000000 N 054 I000000 N 054 J000000 Y 054 K000000 N 054 L000000 N 054 M000000 Y 054 N000000 N 054 O000000 N 055 A000000 N 055 B000000 N 056 000000 Y 057 000000 N 058 A000000 N 059 000000 Y 060 A000000 Y 060 B000000 Y 061 000000 0 062 A000000 N 062 B000000 0.0 062 C000000 0.0 062 D000000 0.0 062 E000000 0.0 062 F000000 0.0 062 G000000 0.0 062 H000000 0.0 062 I000000 0.0 062 J000000 0.0 062 K000000 0.0 062 L000000 0.0 062 M000000 0.0 062 N000000 0.0 062 O000000 0.0 062 P000000 0.0 062 Q000000 0.0 062 R000000 0.0 PAGE 8 063 A000000 0 063 B000000 0.0 066 A000000 Y 066 B000000 N 066 C000000 Y 066 D000000 N 066 E000000 N 066 F000000 N 066 G000000 N 067 000000 N 068 A000000 N 068 B000000 Y 069 000000 N 070 A010000 Y 070 A020000 N 070 B010000 N 070 B020000 N 070 C010000 N 070 C020000 N 070 D010000 N 070 D020000 N 070 E010000 N 070 E020000 N 070 F010000 N 070 F020000 N 070 G010000 N 070 G020000 N 070 H010000 N 070 H020000 N 070 I010000 N 070 I020000 N 070 J010000 Y 070 J020000 N 070 K010000 Y 070 K020000 Y 070 L010000 Y 070 L020000 Y 070 M010000 Y 070 M020000 Y 070 N010000 Y 070 N020000 N 070 O010000 Y 070 O020000 N 070 P010000 Y 070 P020000 N 070 Q010000 N 070 Q020000 N 070 R010000 N 070 R020000 N 071 A000000 136795 071 B000000 157748 PAGE 9 071 C000000 323723 071 D000000 42 072 A000000 12 072 B000000 0 072 C000000 6953 072 D000000 0 072 E000000 0 072 F000000 3312 072 G000000 265 072 H000000 0 072 I000000 23 072 J000000 404 072 K000000 0 072 L000000 60 072 M000000 8 072 N000000 0 072 O000000 0 072 P000000 0 072 Q000000 0 072 R000000 82 072 S000000 111 072 T000000 0 072 U000000 0 072 V000000 0 072 W000000 144 072 X000000 4409 072 Y000000 167 072 Z000000 2711 072AA000000 7825 072BB000000 0 072CC010000 21053 072CC020000 0 072DD010000 3865 072DD020000 0 072EE000000 0 073 A010000 0.2206 073 A020000 0.0000 073 B000000 0.0000 073 C000000 0.0000 074 A000000 15 074 B000000 0 074 C000000 0 074 D000000 0 074 E000000 0 074 F000000 324259 074 G000000 0 074 H000000 0 074 I000000 8547 074 J000000 184 074 K000000 0 074 L000000 147 PAGE 10 074 M000000 34 074 N000000 333186 074 O000000 101 074 P000000 291 074 Q000000 0 074 R010000 0 074 R020000 0 074 R030000 0 074 R040000 4064 074 S000000 0 074 T000000 328730 074 U010000 17520 074 U020000 0 074 V010000 18.76 074 V020000 0.00 074 W000000 0.0000 074 X000000 147 074 Y000000 0 075 A000000 0 075 B000000 331180 076 000000 16.56 077 A000000 Y 077 B000000 Y 077 C000000 N 077 D000000 N 077 E000000 N 077 F000000 N 077 G000000 N 077 H000000 N 077 I000000 N 077 J000000 N 077 K000000 N 077 L000000 N 077 M000000 N 077 N000000 N 077 O000000 Y 077 P000000 N 077 Q010000 N 077 Q020000 N 077 Q030000 N 078 000000 N 080 A000000 ICI MUTUAL INSURANCE COMPANY 080 C000000 61000 081 A000000 Y 081 B000000 90 082 A000000 N 082 B000000 0 083 A000000 N 083 B000000 0 084 A000000 N 084 B000000 0 PAGE 11 085 A000000 Y 085 B000000 N 086 A010000 0 086 A020000 0 086 B010000 1079 086 B020000 18767 086 C010000 0 086 C020000 0 086 D010000 0 086 D020000 0 086 E010000 0 086 E020000 0 086 F010000 0 086 F020000 0 087 A010000 COMMON STOCK 087 A020000 61744U106 087 A030000 APF 088 A000000 N 088 B000000 N 088 C000000 N 088 D000000 N SIGNATURE STEVE FORRESTER TITLE SUPERVISOR EX-99.77O RULE 10F-3 2 asiapacifictenfthree.txt MGGL 10F - 3 Morgan Stanley Asia-Pacific Fund, Inc. Item 77O- Transactions effected pursuant to Rule 10f-3 Securities Purchased: China Cinda Asset Management Co. Ltd. Purchase/Trade Date: 12/6/2013 Offering Price of Shares: HKD 3.580 Total Amount of Offering: 5,318,840,000 shares Amount Purchased by Fund: 183,000 shares Percentage of Offering Purchased by Fund: 0.003 Percentage of Fund's Total Assets: 0.03 Brokers: BofA Merrill Lynch, Credit Suisse, Goldman Sachs, Morgan Stanley, UBS, BOC International, Standard Chartered, CICC, Jefferies, Cinda International Securities Limited, ICBC, CMS, BOCOM International Purchased from: Merrill Lynch Firm Commitment Underwriting: YES Issuer has over three years of continuous operations*: YES Percent of offering purchased by Fund and all other accounts advised by the adviser is less than 25%: YES The underwriting commission, spread and profit is reasonable and fair compared to the underwritings of similar securities: YES * Muni issuers must also have an investment grade rating from at least one NRSRO; or if less than three years of continuous operations, must have one of the three highest rating categories from at least one NRSRO. Securities Purchased: China Conch Venture Holdings Purchase/Trade Date: 12/13/2013 Offering Price of Shares: HKD 13.560 Total Amount of Offering: 265,000,000 shares Amount Purchased by Fund: 34,000 Percentage of Offering Purchased by Fund: 0.013 Percentage of Fund's Total Assets: 0.02 Brokers: Deutsche Bank Group, Goldman Sachs, HSBC, Morgan Stanley Purchased from: Goldman Sachs Firm Commitment Underwriting: YES Issuer has over three years of continuous operations*: YES Percent of offering purchased by Fund and all other accounts advised by the adviser is less than 25%: YES The underwriting commission, spread and profit is reasonable and fair compared to the underwritings of similar securities: YES * Muni issuers must also have an investment grade rating from at least one NRSRO; or if less than three years of continuous operations, must have one of the three highest rating categories from at least one NRSRO. EX-99.77B ACCT LTTR 3 optionlettermggl.txt OPTION LETTER MGGL Report of Independent Registered Public Accounting Firm To the Stockholders and Board of Directors of Morgan Stanley Asia-Pacific Fund, Inc. In planning and performing our audit of the financial statements of Morgan Stanley Asia-Pacific Fund, Inc. (the "Fund") as of and for the year ended December 31, 2013, in accordance with the standards of the Public Company Accounting Oversight Board (United States), we considered its internal control over financial reporting, including controls over safeguarding securities, as a basis for designing our auditing procedures for the purpose of expressing our opinion on the financial statements and to comply with the requirements of Form N-SAR, but not for the purpose of expressing an opinion on the effectiveness of the Fund's internal control over financial reporting. Accordingly, we express no such opinion. The management of the Fund is responsible for establishing and maintaining effective internal control over financial reporting. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of controls. A company's internal control over financial reporting is a process designed 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. A company's internal control over financial reporting includes those policies and procedures that (1) pertain to the maintenance of records that, in reasonable detail, accurately and fairly reflect the transactions and dispositions of the assets of the company; (2) provide reasonable assurance that transactions are recorded as necessary to permit preparation of financial statements in accordance with generally accepted accounting principles, and that receipts and expenditures of the company are being made only in accordance with authorizations of management and directors of the company; and (3) provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use or disposition of a company's assets that could have a material effect on the financial statements. Because of its inherent limitations, internal control over financial reporting may not prevent or detect misstatements. Also, projections of any evaluation of effectiveness to future periods are subject to the risk that controls may become inadequate because of changes in conditions, or that the degree of compliance with the policies or procedures may deteriorate. A deficiency in internal control over financial reporting exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent or detect misstatements on a timely basis. A material weakness is a deficiency, or a combination of deficiencies, in internal control over financial reporting, such that there is a reasonable possibility that a material misstatement of the company's annual or interim financial statements will not be prevented or detected on a timely basis. Our consideration of the Fund's internal control over financial reporting was for the limited purpose described in the first paragraph and would not necessarily disclose all deficiencies in internal control that might be material weaknesses under standards established by the Public Company Accounting Oversight Board (United States). However, we noted no deficiencies in the Fund's internal control over financial reporting and its operation, including controls over safeguarding securities that we consider to be a material weakness as defined above as of December 31, 2013. This report is intended solely for the information and use of management and the Board of Directors of Morgan Stanley Asia-Pacific Fund, Inc. and the Securities and Exchange Commission and is not intended to be and should not be used by anyone other than these specified parties. /s/ ERNST & YOUNG LLP Boston, Massachusetts February 26, 2014