Amended Statement of Ownership (sc 13g/a)
February 12 2021 - 3:08PM
Edgar (US Regulatory)
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C. 20549
SCHEDULE
13G
Under
the Securities Exchange Act of 1934
(Amendment
No. 1 )*
The New Germany Fund, Inc.
(Name
of Issuer)
Common
Stock
(Title
of Class of Securities)
644465106
(CUSIP
Number)
December
31, 2020
(Date
of Event Which Requires Filing of This Statement)
Check the appropriate box to designate the rule pursuant to which
this Schedule is filed:
☒ Rule 13d-1(b)
☐ Rule 13d-1(c)
☐ Rule 13d-1(d)
*
The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to
the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided
in a prior cover page.
The
information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section
18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act
but shall be subject to all other provisions of the Act (however, see the Notes).
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CUSIP
No. 644465106
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13G
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Page
2 of 6 Pages
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1
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NAME
OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
City of London Investment Management Company Limited, a company
incorporated under the laws of England and Wales
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2
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CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP
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(a)
☐
(b)
☐
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3
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SEC
USE ONLY
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4
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CITIZENSHIP
OR PLACE OF ORGANIZATION
England
and Wales
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NUMBER
OF
SHARES
BENEFICIALLY
OWNED BY EACH
REPORTING
PERSON WITH
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5
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SOLE
VOTING POWER
943,642
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6
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SHARED
VOTING POWER
0
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7
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SOLE
DISPOSITIVE POWER
943,642
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8
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SHARED
DISPOSITIVE POWER
0
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9
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AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
943,642
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10
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CHECK
BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
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☐
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11
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PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
6.1%
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12
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TYPE
OF REPORTING PERSON
IA
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CUSIP
No. 644465106
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13G
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Page
3 of 6 Pages
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Item
1(a).
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Name
of Issuer:
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The New Germany Fund, Inc.
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Item
1(b).
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Address
of Issuer's Principal Executive Offices:
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The principal executive offices of the Fund are located
at:
875 3rd Avenue
New York, NY 10022
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Item
2(a).
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Name
of Person Filing:
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This statement is being filed by City of London Investment Management Company Limited (“CLIM” or the “Reporting Person”).
CLIM is a fund manager, which specializes in investing in closed-end investment companies and is a registered investment adviser under
Section 203 of the Investment Advisers Act of 1940. CLIM is controlled by City of London Investment Group plc (“CLIG”), which
is listed on the London Stock Exchange. However, in accordance with SEC Release No. 34-39538 (January 12, 1998), effective informational
barriers have been established between CLIM and CLIG such that voting and investment power over the subject securities is exercised by
CLIM independently of CLIG, and, accordingly, attribution of beneficial ownership is not required between CLIM and CLIG.
CLIM is principally engaged in the business of providing investment advisory services to various public and private investment funds,
including CA International Equity CEF Fund (“CARDINAL”), a private investment fund organized as a Delaware business trust,
HA International Equity CEF Fund (“HAWK”), a private investment fund organized as a Delaware business trust, CA All World
ex US Equity CEF Fund (“MACAW”), a private investment fund organized as a Delaware business trust, International Equity CEF
Fund (“PHOENIX”), a private investment fund organized as a Delaware business trust, and unaffiliated third-party segregated
accounts over which CLIM exercises discretionary voting and investment authority (the “Segregated Accounts”).
CARDINAL, HAWK, MACAW, and PHOENIX are collectively referred to herein as the “City of London Funds.”
The Shares to which this Schedule 13G relates are owned directly by the City of London Funds and the Segregated Accounts.
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CUSIP
No. 644465106
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13G
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Page
4 of 6 Pages
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Item
2(b).
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Address
of Principal Business Office or, if none, Residence:
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77
Gracechurch Street
London EC3V 0AS
England
England and Wales
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Item
2(d).
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Title
of Class of Securities:
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Common Stock, par value $.001 per share
644465106
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Item
3.
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If This Statement is Filed Pursuant to Rule 13d-1(b), or 13d-2(b)
or (c), Check Whether the Person Filing is a:
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(a)
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☐
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Broker
or dealer registered under Section 15 of the Act (15 U.S.C. 78o);
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(b)
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☐
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Bank
as defined in Section 3(a)(6) of the Act (15 U.S.C. 78c);
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(c)
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☐
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Insurance
company as defined in Section 3(a)(19) of the Act (15 U.S.C. 78c);
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(d)
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☐
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Investment
company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8);
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(e)
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☒
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An
investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E);
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(f)
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☐
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An
employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F);
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(g)
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☐
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A
parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G);
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(h)
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☐
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A
savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
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(i)
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☐
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A
church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act
(15 U.S.C. 80a-3);
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(j)
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☐
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Group,
in accordance with Rule 13d-1(b)(1)(ii)(J).
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CUSIP
No. 644465106
|
13G
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Page
5 of 6 Pages
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(a)
Amount beneficially owned:
943,642
(b)
Percent of Class:
6.1%
(c)
Number of shares as to which such person has:
(i) Sole power to vote or direct the
vote: 943,642
(ii) Shared power to vote or direct the vote:
0
(iii) Sole power to dispose or to direct the disposition
of: 943,642
(iv) Shared power to dispose or
to direct the disposition of: 0
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Item
5.
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Ownership
of Five Percent or Less of a Class.
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Not applicable.
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Item
6.
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Ownership
of More than Five Percent on Behalf of Another Person.
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Not applicable.
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Item
7.
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Identification
and Classification of the Subsidiary Which Acquired the Security being Reported on by the Parent Holding Company.
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Not
applicable.
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Item
8.
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Identification
and Classification of Members of the Group.
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Not
applicable.
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Item
9.
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Notice
of Dissolution of Group.
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Not
applicable.
By signing below I certify that, to the best of my knowledge and
belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and
are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were
not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.
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CUSIP
No. 644465106
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13G
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Page
6 of 6 Pages
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SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief,
I certify that the information set forth in this statement is true, complete and correct.
Dated: February 12, 2021
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CITY
OF LONDON INVESTMENT MANAGEMENT COMPANY LIMITED
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By:
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/s/ Jocelyn Inger
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Name: Jocelyn
Inger
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Title: Chief Compliance Officer-US
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