Security key
47109U104
JAPAN SMALLER CAPITALIZATION FUND INC - Common Stock, par value $0.10 per share (JOF)
CUSIP: 47109U104
Q1 2014 13F Holders as of 31 Mar 2014
- Type / Class
- Equity / Common Stock, par value $0.10 per share
- Shares outstanding
- 28,336,759
- Total 13F shares
- 10,240,425
- Share change
- +386,666
- Total reported value
- $89,738,703
- Price per share
- $8.76
- Number of holders
- 41
- Value change
- +$3,303,927
- Number of buys
- 18
- Number of sells
- 22
Report period
Q1 2014
Institutions
41
Top holders
10
JOF full security history
Newer quarter: Q2 2014
Previous quarter: Q4 2013
JAPAN SMALLER CAPITALIZATION FUND INC SEC filings
Broader feeds
Reporting periods
Holder history for CUSIP 47109U104
Recent filing periods:
Top shareholders of JOF - JAPAN SMALLER CAPITALIZATION FUND INC - Common Stock, par value $0.10 per share (13F + 13D/G + 3/4/5)
Grouped by holder across the latest SEC ownership disclosures. Ownership % is shown only when it is directly reported or safely comparable across share classes.
Methodology: rows are grouped by holder and ranked first by SEC-reported ownership % when it is safely comparable, then by disclosed holdings value. — indicates unavailable or non-comparable values; "mixed-class rows" means the latest filing spans non-comparable classes.
| Holder | Source | Role / Reporting | Ownership % | Shares | Holdings Value | 12M Net Δ | As of | Details |
|---|---|---|---|---|---|---|---|---|
| LAZARD ASSET MANAGEMENT LLC |
13F
|
Company |
11%
|
3,179,854
|
$29,159,000 | — | 31 Dec 2013 | |
| 1607 Capital Partners, LLC |
13F
|
Company |
8.5%
|
2,400,435
|
$22,012,000 | — | 31 Dec 2013 | |
| WELLS FARGO & COMPANY/MN |
13F
|
Company |
5.8%
|
1,629,923
|
$14,946,000 | — | 31 Dec 2013 | |
| MORGAN STANLEY |
13F
|
Company |
1.9%
|
524,808
|
$4,813,000 | — | 31 Dec 2013 | |
| FIRST WILSHIRE SECURITIES MANAGEMENT INC |
13F
|
Company |
1.6%
|
460,659
|
$4,224,000 | — | 31 Dec 2013 | |
| Diversified Trust Co |
13F
|
Company |
1.6%
|
440,900
|
$4,043,000 | — | 31 Dec 2013 | |
| ROYAL BANK OF CANADA |
13F
|
Company |
0.69%
|
196,879
|
$1,805,000 | — | 31 Dec 2013 | |
| SUSQUEHANNA TRUST & INVESTMENT CO |
13F
|
Company |
0.59%
|
167,950
|
$1,540,000 | — | 31 Dec 2013 | |
| Thomas J. Herzfeld Advisors, Inc. |
13F
|
Company |
0.39%
|
111,175
|
$1,019,000 | — | 31 Dec 2013 | |
| Gramercy Funds Management LLC |
13F
|
Company |
0.34%
|
96,800
|
$888,000 | — | 31 Dec 2013 | |
| SG Americas Securities, LLC |
13F
|
Company |
0.32%
|
91,651
|
$840,000 | — | 31 Dec 2013 | |
| Glacier Peak Capital LLC |
13F
|
Company |
0.27%
|
77,763
|
$713,000 | — | 31 Dec 2013 | |
| VALLEY FORGE ASSET MANAGEMENT, LLC |
13F
|
Company |
0.27%
|
76,975
|
$706,000 | — | 31 Dec 2013 | |
| BANK OF AMERICA CORP /DE/ |
13F
|
Company |
0.24%
|
67,153
|
$616,000 | — | 31 Dec 2013 | |
| Platte River Capital LLC |
13F
|
Company |
0.24%
|
67,000
|
$614,000 | — | 31 Dec 2013 | |
| UBS AG |
13F
|
Company |
0.23%
|
64,816
|
$594,000 | — | 31 Dec 2013 | |
| Point View Wealth Management, Inc. |
13F
|
Company |
0.16%
|
45,631
|
$418,000 | — | 31 Dec 2013 | |
| VSR Financial Services, Inc. |
13F
|
Company |
0.16%
|
44,000
|
$403,000 | — | 31 Dec 2013 | |
| SPECTRUM ADVISORY SERVICES INC |
13F
|
Company |
0.14%
|
40,065
|
$367,000 | — | 31 Dec 2013 | |
| BARD ASSOCIATES INC |
13F
|
Company |
0.14%
|
39,957
|
$366,000 | — | 31 Dec 2013 | |
| WFG Advisors, LP |
13F
|
Company |
0.12%
|
34,593
|
$317,000 | — | 31 Dec 2013 | |
| Shaker Financial Services, LLC |
13F
|
Company |
0.12%
|
33,631
|
$308,000 | — | 31 Dec 2013 | |
| Virtu KCG Holdings LLC |
13F
|
Company |
0.11%
|
30,456
|
$279,000 | — | 31 Dec 2013 | |
| CLOUGH CAPITAL PARTNERS L P |
13F
|
Company |
0.09%
|
26,700
|
$245,000 | — | 31 Dec 2013 | |
| CSS LLC/IL |
13F
|
Company |
0.09%
|
25,402
|
$233,000 | — | 31 Dec 2013 | |
| WealthTrust Axiom LLC |
13F
|
Company |
0.07%
|
18,995
|
$174,000 | — | 31 Dec 2013 | |
| BNP PARIBAS FINANCIAL MARKETS |
13F
|
Company |
0.05%
|
15,300
|
$140,301 | — | 31 Dec 2013 | |
| Ancora Advisors LLC |
13F
|
Company |
0.05%
|
14,024
|
$129,000 | — | 31 Dec 2013 | |
| CROFT-LEOMINSTER INC |
13F
|
Company |
0.05%
|
13,200
|
$121,000 | — | 31 Dec 2013 | |
| KIRR MARBACH & CO LLC /IN/ |
13F
|
Company |
0.05%
|
13,175
|
$121,000 | — | 31 Dec 2013 | |
| FNY Managed Accounts LLC |
13F
|
Company |
0.04%
|
10,700
|
$98,000 | — | 31 Dec 2013 | |
| JAMES INVESTMENT RESEARCH, INC. |
13F
|
Company |
0.04%
|
10,475
|
$96,000 | — | 31 Dec 2013 | |
| AMERIPRISE FINANCIAL INC |
13F
|
Company |
0.01%
|
3,420
|
$31,000 | — | 31 Dec 2013 | |
| Brandywine Global Investment Management, LLC |
13F
|
Company |
0%
|
1,300
|
$12,000 | — | 31 Dec 2013 | |
| LADENBURG THALMANN FINANCIAL SERVICES INC. |
13F
|
Company |
0%
|
1,116
|
$10,000 | — | 31 Dec 2013 | |
| AMERICAN INTERNATIONAL GROUP, INC. |
13F
|
Company |
0%
|
1,095
|
$10,041 | — | 31 Dec 2013 | |
| Creative Planning |
13F
|
Company |
0%
|
440
|
$4,000 | — | 31 Dec 2013 | |
| Winslow, Evans & Crocker, Inc. |
13F
|
Company |
0%
|
190
|
$2,000 | — | 31 Dec 2013 |
Institutional Holders of JAPAN SMALLER CAPITALIZATION FUND INC - Common Stock, par value $0.10 per share (JOF) as of Q1 2014
As of 31 Mar 2014,
JAPAN SMALLER CAPITALIZATION FUND INC - Common Stock, par value $0.10 per share (JOF) was held by
41 institutional
shareholders
that filed Form 13F with the SEC.
Together, they reported ownership of
10,240,425 shares.
The largest 10 holders included
LAZARD ASSET MANAGEMENT LLC, 1607 Capital Partners, LLC, WELLS FARGO & COMPANY/MN, FIRST WILSHIRE SECURITIES MANAGEMENT INC, MORGAN STANLEY, Karpus Management, Inc., WOLVERINE ASSET MANAGEMENT LLC, ROYAL BANK OF CANADA, Susquehanna Trust & Investment Co, and Gramercy Funds Management LLC.
This page lists
41
institutional shareholders reporting positions in this security
for the Q1 2014 filing period.
| Investor | Option | Weight % | Change % | Value $ | * Price | Shares | Share Change | Activity | Report Period |
|---|
Compare Q1 2014 vs Q4 2013 Across Filers
Q4 2013 holders
40
Q1 2014 holders
41
Holder diff
1
| Investor | Q4 2013 Shares | Q1 2014 Shares | Share Diff | Share Chg % | Q4 2013 Value $ | Q1 2014 Value $ | Value Diff $ | Value Chg % |
|---|
Trend: ostatnie 8 kwartałów (+ wybrane okresy porównania).
Quarterly Holders Trend
Quarterly Value Trend
Quarterly Shares Trend
* Reported Price is the price of the security as of the portfolio date. This value is significant in that it is the last known price at which the security was still held.
An asterisk sign (*) next to the price indicates that the price is likely invalid.
An asterisk sign (*) next to the price indicates that the price is likely invalid.