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000 C000000 0000836267
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000 F000000 Y
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000 H000000 N
000 I000000 3.0.a
000 J000000 A
001 A000000 THE R.O.C. TAIWAN FUND
001 B000000 811-5617
001 C000000 2126886840
002 A000000 850 THIRD AVENUE
002 B000000 NEW YORK
002 C000000 NY
002 D010000 10022
003 000000 N
004 000000 N
005 000000 N
006 000000 N
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007 C010800 8
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007 C011000 10
015 B000004 C
018 000000 Y
019 A000000 N
019 B000000 0
020 A000001 CITI SECURITIES CO., LTD.
020 C000001 52
020 A000002 GRAND CATHAY SECURITIES CO., LTD.
020 C000002 43
020 A000003 W.I. CARR (FAR EAST) LTD., TAIWAN BRANCH
020 C000003 40
020 A000004 DAI WA SECURITIES (TAIPEI) LTD.
020 C000004 35
020 A000005 DAFA SECURITIES CO., LTD.
020 C000005 34
020 A000006 CORE PACIFIC SECURITIES CO., LTD.
020 C000006 32
020 A000007 TING-KONG SECURITIES CO., LTD.
020 C000007 31
020 A000008 PRESIDENT SECURITIES CO., LTD.
<PAGE>
020 C000008 29
020 A000009 CENTRAL TRUST OF CHINA
020 C000009 28
020 A000010 POLARIS SECURITIES CO., LTD.
020 C000010 28
021 000000 898
022 A000001 GRAND COMMERCIAL BANK
022 C000001 80200
022 D000001 10118
022 A000002 INTERNATIONAL BILLS FINANCE COMPANY
022 C000002 79782
022 D000002 3144
022 A000003 CHINA UNITED TRUST & INVESTMENT
022 C000003 69373
022 D000003 10189
022 A000004 DAH AN COMMERCIAL BANK
022 C000004 31067
022 D000004 3608
022 A000005 TAIPEI BUSINESS BANK
022 C000005 28813
022 D000005 0
022 A000006 CHINATRUST COMMERCIAL BANKING CORP.
022 C000006 25985
022 D000006 0
022 A000007 HOLLANDSHE BANK-UNIE N.V.
022 C000007 23695
022 D000007 3967
022 A000008 FUBON COMMERCIAL BANK
022 C000008 21039
022 D000008 5420
022 A000009 COSMOS COMMERCIAL BANK
022 C000009 19601
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022 A000010 TAISHIN INTERNATIONAL COMMERCIAL BANK
022 C000010 17910
022 D000010 2641
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025 C000002 E
025 D000002 7299
025 A000003 CAPITAL SECURITIES CORP.
025 C000003 E
025 D000003 3899
025 A000004 TAIWAN INTERNATIONAL SECURITIES CO., LTD.
025 C000004 E
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<PAGE>
025 A000005 NATIONAL SECURITIES CORP.
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SIGNATURE EDWIN C. LAURENSON
TITLE PRINCIPAL ATTORNEY
<TABLE> <S> <C>
<ARTICLE> 6
<S> <C>
<PERIOD-TYPE> 6-MOS
<FISCAL-YEAR-END> DEC-31-1997
<PERIOD-END> JUN-30-1997
<INVESTMENTS-AT-COST> 362,534,072
<INVESTMENTS-AT-VALUE> 484,996,433
<RECEIVABLES> 4,075,367
<ASSETS-OTHER> 13,734,945
<OTHER-ITEMS-ASSETS> 0
<TOTAL-ASSETS> 502,806,745
<PAYABLE-FOR-SECURITIES> 7,798,483
<SENIOR-LONG-TERM-DEBT> 0
<OTHER-ITEMS-LIABILITIES> 2,040,834
<TOTAL-LIABILITIES> 9,839,317
<SENIOR-EQUITY> 0
<PAID-IN-CAPITAL-COMMON> 321,760,739
<SHARES-COMMON-STOCK> 32,939,176
<SHARES-COMMON-PRIOR> 33,815,376
<ACCUMULATED-NII-CURRENT> 4,701,027
<OVERDISTRIBUTION-NII> 0
<ACCUMULATED-NET-GAINS> 15,847,311
<OVERDISTRIBUTION-GAINS> 0
<ACCUM-APPREC-OR-DEPREC> 122,462,361
<NET-ASSETS> 492,967,428
<DIVIDEND-INCOME> 1,292,211
<INTEREST-INCOME> 993,753
<OTHER-INCOME> 0
<EXPENSES-NET> 4,950,372
<NET-INVESTMENT-INCOME> (2,664,408)
<REALIZED-GAINS-CURRENT> 82,600,979
<APPREC-INCREASE-CURRENT> 73,538,856
<NET-CHANGE-FROM-OPS> 148,895,090
<EQUALIZATION> 0
<DISTRIBUTIONS-OF-INCOME> 0
<DISTRIBUTIONS-OF-GAINS> 40,259,010
<DISTRIBUTIONS-OTHER> 0
<NUMBER-OF-SHARES-SOLD> 0
<NUMBER-OF-SHARES-REDEEMED> 872,600
<SHARES-REINVESTED> 0
<NET-CHANGE-IN-ASSETS> 98,224,282
<ACCUMULATED-NII-PRIOR> 0
<ACCUMULATED-GAINS-PRIOR> 0
<OVERDISTRIB-NII-PRIOR> (1,869,646)
<OVERDIST-NET-GAINS-PRIOR> (17,259,577)
<GROSS-ADVISORY-FEES> 2,842,442
<INTEREST-EXPENSE> 0
<GROSS-EXPENSE> 4,950,372
<AVERAGE-NET-ASSETS> 473,772,445
<PER-SHARE-NAV-BEGIN> 11.67
<PER-SHARE-NII> (0.08)
<PER-SHARE-GAIN-APPREC> 4.52
<PER-SHARE-DIVIDEND> 0
<PER-SHARE-DISTRIBUTIONS> (1.20)
<RETURNS-OF-CAPITAL> 0
<PER-SHARE-NAV-END> 14.97
<EXPENSE-RATIO> 1.53
<AVG-DEBT-OUTSTANDING> 0
<AVG-DEBT-PER-SHARE> 0
</TABLE>
================================================================================
1997 ANNUAL MEETING OF STOCKHOLDERS
================================================================================
On June 3, 1997, the Fund held an annual meeting to:
1. Elect three trustees,
2. Ratify the appointment of KPMG Peat Marwick as the Fund's independent
accountants for 1997, and
3. Consider whether to convert the Fund from a closed-end investment company
into an open-end investment company. The Fund's Declaration of Trust
required a shareholder vote on this question, because the Fund's shares had
traded at an average discount of more than 10% to its net asset value over
a 12-week-period during the 12 months preceding the annual meeting.
Proxies representing 17,513,068, or 51.79% of the 33,815,376 eligible shares
outstanding, were voted. The results are shown below. The trustees of the Fund
recommended that stockholders vote against the conversion proposal, whose
passage would have required the affirmative vote of a majority of the shares
outstanding. Of the 33,815,376 shares outstanding, less than 12% were voted for
conversion. Management of the Fund expressed its appreciation for the support of
stockholders on this matter.
- --------------------------------------------------------------------------------
For Withheld
- --------------------------------------------------------------------------------
Nominees to the Board of Trustees
Pedro-Pablo Kuczynski 15,345,673 2,167,395
Lin-Yin Kung 15,464,250 2,048,818
Gregory Kuo-Hua Wang 15,465,073 2,047,995
Messrs. Theodore S.S. Cheng, Daniel K.L. Chiang, Raymund A. Kathe, David N.
Laux, and Alfred F. Miossi, whose terms did not expire in 1997, are the
remaining trustees.
- --------------------------------------------------------------------------------
For Against Abstain
- --------------------------------------------------------------------------------
KPMG Peat Marwick as independent
accountants for 1997 17,092,058 59,826 361,184
- --------------------------------------------------------------------------------
For Against Abstain
- --------------------------------------------------------------------------------
Conversion of the Fund from a
closed-end to an open-end
investment company 3,957,731 6,570,427 194,592
Proxies covering 6,790,318 shares, or 38.77% of the shares represented at the
meeting, were not voted on this proposal.
- --------------------------------------------------------------------------------
