UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
CURRENT REPORT
PURSUANT TO SECTION 13 OR 15(d) OF THE
SECURITIES EXCHANGE ACT OF 1934
January 7, 2010
Date of Report (Date of Earliest Event Reported)
The China Fund, Inc.
(Exact Name of Registrant as Specified in Its Charter)
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Maryland
(State or Other Jurisdiction of Incorporation)
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811-05749
(Commission
File Number)
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000000000
(IRS Employer
Identification Number) |
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c/o State Street Bank and Trust Company
2 Avenue de Lafayette,
P.O. Box 5049, Boston, Massachusetts
(Address of Principal Executive Offices)
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02206-5049
(Zip Code) |
1(888) 246-2255
(Registrant’s Telephone Number, Including Area Code)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the
filing obligation of the Registrant under any of the following provisions:
o Written communications pursuant to Rule 425 under the Securities Act
o Soliciting material pursuant to Rule 14a-12 under the Exchange Act
o Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act
o Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act
TABLE OF CONTENTS
Item 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.
Section (b)
Paul F. Hahesy resigned as Chief Compliance
Officer of the Registrant on December 31, 2009.
Section (c)(1)
Mr. William R. Royer was appointed Chief Compliance Officer of the Registrant on January 1, 2010.
Section (c)(2)
Mr. Royer is 44 years of age. Prior to his appointment as Chief Compliance Officer, Mr. Royer had not held any other positions or offices with the Registrant. No arrangements or understandings exist between Mr. Royer and the Registrant except the arrangements or understandings related to Mr. Royer as acting solely in his capacity as Chief Compliance Officer. No family relationships
exist between Mr. Royer and any director, officer or any other person nominated or chosen by the Registrant to become a director or officer.
Mr. Royer’s business experience during the past five years is as follows: Managing Director, Alternative Investments and Chief Compliance Officer Services, Foreside Compliance Services, LLC (November 2009 -present); Acting General Counsel, Baring Asset Management, Inc. (December 2007 — May 2008) and General Counsel and Member, Grantham, Mayo, Van Otterloo & Co., LLC
(February 1995 — March 2005).
Mr. Royer has not engaged in any transactions or proposed transactions since the beginning of the Registrant’s last fiscal year in which the Registrant was or is to be a participant and the amount involved exceeds $120,000, and in which any related person had or will have a direct or indirect material interest.
Section (c)(3)
There is no material plan, contract or arrangement (whether or not written) to which Mr.
Royer is a party or in which he participates that is entered into or material amendment in
connection with his appointment as Chief Compliance Officer or any grant or award to Mr. Royer or modification
thereto, under any such plan, contract or arrangement in connection with such appointment.