0001003715-11-000179.txt : 20110330 0001003715-11-000179.hdr.sgml : 20110330 20110330095637 ACCESSION NUMBER: 0001003715-11-000179 CONFORMED SUBMISSION TYPE: NSAR-A PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20110131 FILED AS OF DATE: 20110330 DATE AS OF CHANGE: 20110330 EFFECTIVENESS DATE: 20110330 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ALLIANCEBERNSTEIN GREATER CHINA 97 FUND INC CENTRAL INDEX KEY: 0001038457 IRS NUMBER: 000000000 FISCAL YEAR END: 0731 FILING VALUES: FORM TYPE: NSAR-A SEC ACT: 1940 Act SEC FILE NUMBER: 811-08201 FILM NUMBER: 11720599 BUSINESS ADDRESS: STREET 1: ALLIANCEBERNSTEIN LP STREET 2: 1345 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10105 BUSINESS PHONE: 2129691000 MAIL ADDRESS: STREET 1: ALLIANCEBERNSTEIN L P STREET 2: 1345 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10105 FORMER COMPANY: FORMER CONFORMED NAME: ALLIANCE GREATER CHINA 97 FUND INC DATE OF NAME CHANGE: 19970506 0001038457 S000010075 ALLIANCEBERNSTEIN GREATER CHINA 97 FUND INC C000027892 Class A GCHAX C000027893 Class B GCHBX C000027894 Class C GCHCX C000027895 Advisor Class GCHYX NSAR-A 1 answer.fil ANSWER FILE PAGE 1 000 A000000 01/31/2011 000 C000000 0001038457 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 6.1 000 J000000 A 001 A000000 ALLIANCEBERNSTEIN GREATER CHINA '97 FUND, INC 001 B000000 811-08201 001 C000000 2128237243 002 A000000 1345 AVENUE OF THE AMERICAS 002 B000000 NEW YORK 002 C000000 NY 002 D010000 10105 003 000000 N 004 000000 N 005 000000 N 006 000000 N 007 A000000 N 007 B000000 0 007 C010100 1 007 C010200 2 007 C010300 3 007 C010400 4 007 C010500 5 007 C010600 6 007 C010700 7 007 C010800 8 007 C010900 9 007 C011000 10 008 A000001 ALLIANCEBERNSTEIN L.P. 008 B000001 A 008 C000001 801-56720 008 D010001 NEW YORK 008 D020001 NY 008 D030001 10105 010 A000001 ALLIANCEBERNSTEIN 010 C010001 NEW YORK 010 C020001 NY 010 C030001 10105 011 A000001 ALLIANCEBERNSTEIN INVESTMENTS,INC. 011 B000001 8-30851 011 C010001 NEW YORK 011 C020001 NY 011 C030001 10105 012 A000001 ALLIANCEBERNSTEIN INVESTOR SERVICES,INC. 012 B000001 84-001187 012 C010001 SAN ANTONIO 012 C020001 TX PAGE 2 012 C030001 78278 013 A000001 ERNST & YOUNG LLP 013 B010001 NEW YORK 013 B020001 NY 013 B030001 10036 014 A000001 SANFORD C. 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NSAR                                                                                                EXHIBIT 77C


ALLIANCEBERNSTEIN GREATER CHINA ’97 FUND, INC.
811-08201

RESULTS OF SHAREHOLDERS MEETING-
(unaudited)


The Annual Meeting of Stockholders of the AllianceBernstein Greater China ’97 Fund, Inc. (the “Fund”) was held on November 5, 2010, and adjourned until December 16, 2010 and January 5, 2011.  At the December 16, 2010 Meeting, with respect to the first item of business, the election of Directors for the Fund, the required number of outstanding shares were voted in favor of the proposal, and the proposal was approved.  At the January 5, 2011 Meeting, with respect to the fourth item of business, to amend and restate the Fund’s Charter, with respect to the fifth item of business, changes to the fundamental policy regarding commodities, and with respect to the sixth item of business, to reclassify the fundamental investment objective of the Fund as non-fundamental, an insufficient number of required outstanding shares were voted in favor of the proposals and, therefore the proposals were not approved.  A description of each proposal and number of shares voted at the Meeting are as follows (the proposal numbers shown below correspond to the proposal numbers in the Fund’s proxy statement):


1. The election of the Directors, each such Director to serve a term of an indefinite duration and until his or her successor is duly elected and qualifies.

 
Voted For
Withheld Authority
John H. Dobkin
2,629,756
182,823
Michael J. Downey
2,630,365
182,214
William H. Foulk, Jr.
2,630,364
182,215
D. James Guzy
2,630,164
182,415
Nancy P. Jacklin
2,633,531
179,048
Robert M. Keith
2,631,915
180,664
Garry L. Moody
2,631,915
180,664
Marshall C. Turner, Jr.
2,630,165
182,414
Earl D. Weiner
2,630,170
182,414

4. Approve the amendment and restatement of the Fund’s Charter, which will repeal in its entirety all of the currently existing charter provisions and substitute in lieu thereof the new provisions set forth in the Form of Articles of Amendment and Restatement attached to the Proxy Statement as Appendix C.

Voted For
Voted Against
Abstained
Broker Non-Votes
 
1,755,086
112,615
133.466
954,641


5. Approve the amendment of the Fund’s fundamental policy regarding commodities.

Voted For
Voted Against
Abstained
Broker Non-Votes
1,786,825
112,750
101,592
954,641


6. Approve the reclassification of the Fund’s fundamental investment objective as non-fundamental.

Voted For
Voted Against
Abstained
Broker Non-Votes
 
1,754,083
125,258
121,826
954,641

 
 EX-99.77O RULE 10F-3 3 rule10f377o.htm RULE 10F-3 rule10f377o.htm
NSAR
              
Exhibit 77O
  
AllianceBernstein Greater China '97 Fund, Inc.
              
811-08201
  
                   
       
AB Funds
          
                   
                   
      Portfolio
Security
Date Purchased *
Shares Purchased
Price per Share (Local Currency) / (US $)
Underwriting Concession **
 (Local Currency) /
(US $)
Shares Purchased by AB including the Funds
Total Shares Offered
% of Offering Purchased by AB including the Funds ***
Purchased From ^
                   
                 
Deutsche Bank
AB Greater China
AIA Group Ltd.
10/29/2010
217,200
19.68 HKD / $2.54
3.06 HKD / $0.394
80,000,000
8,083,230,800
0.99%
Deutsche Bank
                   
                   
                   
                   
                   
                   
* With respect to the transactions, the issuer (including the operations of any predecessors) had been in business for a period of at least three years, and the securities purchased were (1) part of an Eligible Rule 144A Offering , (2) purchased prior to the end of the first day on which any sales were made, at a price not more than the price paid by each other purchaser of securities in the offering or in any concurrent offering of the securities if not offered for subscription upon exercise of rights or, if so offered, purchased on or before the fourth day preceding the day on which the rights offering terminated, and (3) offered pursuant to an underwriting or similar agreement under which the underwriters were committed to purchase all of the securities offered, except those purchased by others pursuant to a rights offering, if the underwriters purchased any of the securities.
  
                   
** The commission, spread or profit received or to be received by the principal underwriters was determined by the appropriate officers of the Adviser to be reasonable and fair compared to the commission, spread or profit received by other such persons in connection with the underwriting of similar securities sold during a comparable period of time.
  
                   
*** Aggregate purchases by all AB buy-side clients, including the Fund, did not exceed  25% of the total of:
  
(i) the principal amount of the Offering of such class sold by the underwriters or members of the selling syndicate to qualified institutional buyers, plus (ii) the principal amount of the Offering of such class in any concurrent public Offering.
  
                   
^ Sanford C. Bernstein & Co., LLC ("SCB&Co."), an affiliated broker-dealer of the Fund, was a co-manager of the underwriting syndicate for this transaction and was allocated 0.26% of the Offering.  Other members of the underwriting syndicate for the Offering were as follows: Bank of America Merril Lynch, Barclays Bank plc, CIMB Securities, Citigroup Global Markets Ltd., Credit Suisse, Deustsche Bank AG, Goldman Sachs LLC, ICBC International Capital ltd., JPMorgan Securities Ltd., Morgan Stanley & Co. International plc, UBS AG, BNP Paribas Capital Ltd., BOCI Asia Ltd., CCB International Capital Ltd., Daiwa Capital Markets HK Ltd., DBS Asia Capital Ltd., Macquarie Capital Securities Ltd., Nomura International ltd., Standard Chartered Securities Ltd., ABCI Securities Co. Ltd., ANZ Banking Goup Ltd., ING Bank NV, KBW Ltd., Lloyds TSB Bank plc, Loop Capital Markets LLC, Mizuho Securities Asia Ltd., National Australia Bank, Natixis HK, Piper Jaffray Asia Securities Ltd., PNC Capital Markets LLC, RBC Dominion Securities inc., Royal Bank of Scotland plc, Samuel A Ramirez & Co. Inc., Societe Generale, Bank of Nova Scotia, Wells Fargo Securities LLC, Williams Capital group LP, UniCredit Bank AG.