Sec Form 13G Filing - CITY OF LONDON INVESTMENT GROUP PLC filing for MEXICO EQUITY & INCOME FD INC (MXE) - 2020-02-12

Mexico Equity and Income Fund, Inc.

592834105

The principal executive offices of the Fund are located at:

The Mexico Equity and Income Fund, Inc.

c/o U.S. Bancorp Funds Services, LLC

615 East Michigan St

Milwaukee, WI 53202

 

 

This statement is being filed by City of London Investment Group PLC (“CLIG”) and City of London Investment Management Company Limited (“CLIM,” and together with CLIG, the “Reporting Persons”).

 

The principal business of CLIG is serving as the parent holding company for the City of London group of companies, including CLIM.

 

CLIM is primarily an emerging markets 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 CLIG.  CLIM is principally engaged in the business of providing investment advisory services to various public and private investment funds, including Emerging (BMI) Markets Country Fund (“BMI”), a private investment fund organized as a Delaware business trust, Emerging Markets Free Fund (“CF”), a private investment fund organized as a Delaware business trust, Emerging Markets Global Fund (“CG”), a private investment fund organized as a Delaware business trust, Emerging Markets Investable Fund (“CI”), a private investment fund organized as a Delaware business trust, Global Emerging Markets Fund (“EUREKA”), a private investment fund organized as a Delaware business trust, The Emerging World Fund (“EWF”), a Dublin, Ireland-listed open-ended investment company, Emerging Free Markets Country Fund (“FREE”), a private investment fund organized as a Delaware business trust, Emerging Markets Country Fund (“GBL”), a private investment fund organized as a Delaware business trust, Investable Emerging Markets Country Fund (“INV”), a private investment fund organized as a Delaware business trust, The EM Plus CEF Fund (“PLUS”), 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”).

 

BMI, CF, CG, CI, EUREKA, EWF, FREE, GBL, INV and PLUS 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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Address for CLIG and CLIM:

77 Gracechurch

London EC3V 0AS

England

 

Common Stock, par value $.001 per share

 

592834105

 

(a)

☐

Broker or dealer registered under Section 15 of the Act (15 U.S.C. 78o).

 

(b)

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Bank as defined in Section 3(a)(6) of the Act (15 U.S.C. 78c).

 

(c)

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Insurance company as defined in Section 3(a)(19) of the Act (15 U.S.C. 78c).

 

(d)

☐

Investment company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).

 

(e)

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An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E) (for CLIM);

 

(f)

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An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);

 

(g)

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A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G) (for CLIG);

 

(h)

☐

A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);

 

(i)

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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 of 1940 (15 U.S.C. 80a-3);