Security key
47109U104
JAPAN SMALLER CAPITALIZATION FUND INC - Common Stock, par value $0.10 per share (JOF)
CUSIP: 47109U104
Q3 2016 13F Holders as of 30 Sep 2016
- Type / Class
- Equity / Common Stock, par value $0.10 per share
- Shares outstanding
- 28,336,759
- Total 13F shares
- 21,239,668
- Share change
- +2,693,425
- Total reported value
- $224,218,000
- Price per share
- $10.55
- Number of holders
- 47
- Value change
- +$28,529,883
- Number of buys
- 12
- Number of sells
- 17
Report period
Q3 2016
Institutions
47
Top holders
10
JOF full security history
Newer quarter: Q4 2016
Previous quarter: Q2 2016
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 |
|---|---|---|---|---|---|---|---|---|
| WELLS FARGO & COMPANY/MN |
13F
|
Company |
16%
|
4,634,465
|
$45,324,000 | — | 30 Jun 2016 | |
| 1607 Capital Partners, LLC |
13F
|
Company |
15%
|
4,199,234
|
$41,069,000 | — | 30 Jun 2016 | |
| LAZARD ASSET MANAGEMENT LLC |
13F
|
Company |
13%
|
3,610,361
|
$35,309,000 | — | 30 Jun 2016 | |
| Curi Capital, LLC |
13F
|
Company |
8.4%
|
2,383,718
|
$23,312,000 | — | 30 Jun 2016 | |
| Karpus Management, Inc. |
13F
|
Company |
6.6%
|
1,877,871
|
$18,366,000 | — | 30 Jun 2016 | |
| Gramercy Funds Management LLC |
13F
|
Company |
1.2%
|
330,841
|
$3,236,000 | — | 30 Jun 2016 | |
| CITIGROUP INC |
13F
|
Company |
0.82%
|
233,444
|
$2,283,000 | — | 30 Jun 2016 | |
| FIRST WILSHIRE SECURITIES MANAGEMENT INC |
13F
|
Company |
0.63%
|
178,029
|
$1,741,000 | — | 30 Jun 2016 | |
| Thomas J. Herzfeld Advisors, Inc. |
13F
|
Company |
0.45%
|
127,420
|
$1,246,000 | — | 30 Jun 2016 | |
| CITY OF LONDON INVESTMENT MANAGEMENT CO LTD |
13F
|
Company |
0.42%
|
118,966
|
$1,165,000 | — | 30 Jun 2016 | |
| DOLIVER ADVISORS, LP |
13F
|
Company |
0.32%
|
89,699
|
$880,000 | — | 30 Jun 2016 | |
| LANDSCAPE CAPITAL MANAGEMENT, L.L.C. |
13F
|
Company |
0.28%
|
78,777
|
$770,000 | — | 30 Jun 2016 | |
| PNC FINANCIAL SERVICES GROUP, INC. |
13F
|
Company |
0.27%
|
77,695
|
$760,000 | — | 30 Jun 2016 | |
| MORGAN STANLEY |
13F
|
Company |
0.27%
|
76,638
|
$750,000 | — | 30 Jun 2016 | |
| RAYMOND JAMES & ASSOCIATES |
13F
|
Company |
0.25%
|
69,590
|
$681,000 | — | 30 Jun 2016 | |
| AMICA MUTUAL INSURANCE CO |
13F
|
Company |
0.24%
|
67,203
|
$657,000 | — | 30 Jun 2016 | |
| CORNERSTONE ADVISORS INC |
13F
|
Company |
0.18%
|
50,392
|
$493,000 | — | 30 Jun 2016 | |
| AMICA PENSION FUND BOARD OF TRUSTEES |
13F
|
Company |
0.12%
|
35,373
|
$346,000 | — | 30 Jun 2016 | |
| Point View Wealth Management, Inc. |
13F
|
Company |
0.12%
|
34,969
|
$342,000 | — | 30 Jun 2016 | |
| BARD ASSOCIATES INC |
13F
|
Company |
0.11%
|
29,922
|
$293,000 | — | 30 Jun 2016 | |
| CSS LLC/IL |
13F
|
Company |
0.09%
|
25,402
|
$248,000 | — | 30 Jun 2016 | |
| BANK OF AMERICA CORP /DE/ |
13F
|
Company |
0.09%
|
24,692
|
$241,000 | — | 30 Jun 2016 | |
| BB&T SECURITIES, LLC |
13F
|
Company |
0.08%
|
22,850
|
$223,000 | — | 30 Jun 2016 | |
| BLAIR WILLIAM & CO/IL |
13F
|
Company |
0.07%
|
21,001
|
$205,000 | — | 30 Jun 2016 | |
| Gratus Capital, LLC |
13F
|
Company |
0.06%
|
17,669
|
$173,000 | — | 30 Jun 2016 | |
| SHEPHERD KAPLAN KROCHUK, LLC |
13F
|
Company |
0.06%
|
16,510
|
$161,000 | — | 30 Jun 2016 | |
| WEDBUSH SECURITIES INC |
13F
|
Company |
0.06%
|
15,650
|
$153,000 | — | 30 Jun 2016 | |
| Ancora Advisors LLC |
13F
|
Company |
0.05%
|
15,224
|
$149,000 | — | 30 Jun 2016 | |
| WFG Advisors, LP |
13F
|
Company |
0.05%
|
13,834
|
$135,000 | — | 30 Jun 2016 | |
| WealthTrust Axiom LLC |
13F
|
Company |
0.04%
|
11,545
|
$112,000 | — | 30 Jun 2016 | |
| UBS Group AG |
13F
|
Company |
0.04%
|
10,986
|
$107,000 | — | 30 Jun 2016 | |
| BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC |
13F
|
Company |
0.02%
|
6,505
|
$64,000 | — | 30 Jun 2016 | |
| Amica Retiree Medical Trust |
13F
|
Company |
0.02%
|
5,525
|
$54,000 | — | 30 Jun 2016 | |
| NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO |
13F
|
Company |
0.02%
|
4,506
|
$44,000 | — | 30 Jun 2016 | |
| SIGNATUREFD, LLC |
13F
|
Company |
0.02%
|
4,400
|
$43,000 | — | 30 Jun 2016 | |
| ROYAL BANK OF CANADA |
13F
|
Company |
0.01%
|
2,700
|
$26,000 | — | 30 Jun 2016 | |
| IFP Advisors, Inc |
13F
|
Company |
0.01%
|
2,184
|
$21,000 | — | 30 Jun 2016 | |
| Parkside Financial Bank & Trust |
13F
|
Company |
0.01%
|
1,740
|
$17,000 | — | 30 Jun 2016 | |
| Advisor Group, Inc. |
13F
|
Company |
0.01%
|
1,451
|
$14,000 | — | 30 Jun 2016 | |
| BARCLAYS PLC |
13F
|
Company |
0%
|
1,000
|
$10,000 | — | 30 Jun 2016 | |
| Oasis Management Co Ltd. |
13F
|
Company |
0%
|
1,000
|
$10,000 | — | 30 Jun 2016 | |
| Tower Research Capital LLC (TRC) |
13F
|
Company |
0%
|
200
|
$2,000 | — | 30 Jun 2016 | |
| MSI Financial Services Inc |
13F
|
Company |
0%
|
142
|
$1,000 | — | 30 Jun 2016 | |
| LADENBURG THALMANN FINANCIAL SERVICES INC. |
13F
|
Company |
0%
|
136
|
$1,000 | — | 30 Jun 2016 | |
| MassMutual Private Wealth & Trust, FSB |
13F
|
Company |
0%
|
95
|
$929 | — | 30 Jun 2016 |
Institutional Holders of JAPAN SMALLER CAPITALIZATION FUND INC - Common Stock, par value $0.10 per share (JOF) as of Q3 2016
As of 30 Sep 2016,
JAPAN SMALLER CAPITALIZATION FUND INC - Common Stock, par value $0.10 per share (JOF) was held by
47 institutional
shareholders
that filed Form 13F with the SEC.
Together, they reported ownership of
21,239,668 shares.
The largest 10 holders included
WELLS FARGO & COMPANY/MN, 1607 Capital Partners, LLC, LAZARD ASSET MANAGEMENT LLC, Barry Investment Advisors, LLC, RMB Capital Management, LLC, Karpus Management, Inc., Bulldog Investors, LLC, CITY OF LONDON INVESTMENT MANAGEMENT CO LTD, Gramercy Funds Management LLC, and CITIGROUP INC.
This page lists
47
institutional shareholders reporting positions in this security
for the Q3 2016 filing period.
| Investor | Option | Weight % | Change % | Value $ | * Price | Shares | Share Change | Activity | Report Period |
|---|
Compare Q3 2016 vs Q2 2016 Across Filers
Q2 2016 holders
45
Q3 2016 holders
47
Holder diff
2
| Investor | Q2 2016 Shares | Q3 2016 Shares | Share Diff | Share Chg % | Q2 2016 Value $ | Q3 2016 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.