Security key
47109U104
JAPAN SMALLER CAPITALIZATION FUND INC - Common Stock, par value $0.10 per share (JOF)
CUSIP: 47109U104
Q1 2017 13F Holders as of 31 Mar 2017
- Type / Class
- Equity / Common Stock, par value $0.10 per share
- Shares outstanding
- 28,336,759
- Total 13F shares
- 21,350,283
- Share change
- +119,822
- Total reported value
- $231,434,000
- Price per share
- $10.84
- Number of holders
- 42
- Value change
- +$1,432,936
- Number of buys
- 16
- Number of sells
- 17
Report period
Q1 2017
Institutions
42
Top holders
10
JOF full security history
Newer quarter: Q2 2017
Previous quarter: Q4 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 |
17%
|
4,820,531
|
$46,873,000 | — | 31 Dec 2016 | |
| 1607 Capital Partners, LLC |
13F
|
Company |
15%
|
4,314,463
|
$41,953,000 | — | 31 Dec 2016 | |
| LAZARD ASSET MANAGEMENT LLC |
13F
|
Company |
11%
|
3,248,755
|
$31,577,000 | — | 31 Dec 2016 | |
| Barry Investment Advisors, LLC |
13F
|
Company |
8.8%
|
2,497,720
|
$24,287,000 | — | 31 Dec 2016 | |
| Curi Capital, LLC |
13F
|
Company |
6.9%
|
1,943,325
|
$18,896,000 | — | 31 Dec 2016 | |
| Karpus Management, Inc. |
13F
|
Company |
6.2%
|
1,756,571
|
$17,080,000 | — | 31 Dec 2016 | |
| Bulldog Investors, LLP |
13F
|
Company |
4.1%
|
1,164,976
|
$11,328,000 | — | 31 Dec 2016 | |
| CITY OF LONDON INVESTMENT MANAGEMENT CO LTD |
13F
|
Company |
1.3%
|
361,190
|
$3,513,000 | — | 31 Dec 2016 | |
| Thomas J. Herzfeld Advisors, Inc. |
13F
|
Company |
0.59%
|
167,384
|
$1,628,000 | — | 31 Dec 2016 | |
| FIRST WILSHIRE SECURITIES MANAGEMENT INC |
13F
|
Company |
0.58%
|
163,145
|
$1,586,000 | — | 31 Dec 2016 | |
| Matisse Capital |
13F
|
Company |
0.52%
|
146,514
|
$1,425,000 | — | 31 Dec 2016 | |
| AMICA MUTUAL INSURANCE CO |
13F
|
Company |
0.24%
|
67,203
|
$653,000 | — | 31 Dec 2016 | |
| RAYMOND JAMES & ASSOCIATES |
13F
|
Company |
0.24%
|
67,112
|
$653,000 | — | 31 Dec 2016 | |
| PNC FINANCIAL SERVICES GROUP, INC. |
13F
|
Company |
0.22%
|
62,020
|
$604,000 | — | 31 Dec 2016 | |
| CORNERSTONE ADVISORS INC |
13F
|
Company |
0.18%
|
50,699
|
$493,000 | — | 31 Dec 2016 | |
| BANK OF AMERICA CORP /DE/ |
13F
|
Company |
0.17%
|
47,475
|
$462,000 | — | 31 Dec 2016 | |
| MORGAN STANLEY |
13F
|
Company |
0.16%
|
45,227
|
$440,000 | — | 31 Dec 2016 | |
| AMICA PENSION FUND BOARD OF TRUSTEES |
13F
|
Company |
0.12%
|
35,373
|
$344,000 | — | 31 Dec 2016 | |
| Point View Wealth Management, Inc. |
13F
|
Company |
0.11%
|
31,060
|
$302,000 | — | 31 Dec 2016 | |
| BARD ASSOCIATES INC |
13F
|
Company |
0.1%
|
27,321
|
$266,000 | — | 31 Dec 2016 | |
| CSS LLC/IL |
13F
|
Company |
0.09%
|
25,402
|
$247,000 | — | 31 Dec 2016 | |
| LANDSCAPE CAPITAL MANAGEMENT, L.L.C. |
13F
|
Company |
0.08%
|
21,810
|
$212,000 | — | 31 Dec 2016 | |
| DOLIVER ADVISORS, LP |
13F
|
Company |
0.08%
|
21,606
|
$210,000 | — | 31 Dec 2016 | |
| BB&T SECURITIES, LLC |
13F
|
Company |
0.07%
|
18,450
|
$179,000 | — | 31 Dec 2016 | |
| Gratus Capital, LLC |
13F
|
Company |
0.06%
|
17,851
|
$174,000 | — | 31 Dec 2016 | |
| Ancora Advisors LLC |
13F
|
Company |
0.05%
|
14,024
|
$137,000 | — | 31 Dec 2016 | |
| WEDBUSH SECURITIES INC |
13F
|
Company |
0.04%
|
12,650
|
$123,000 | — | 31 Dec 2016 | |
| SHEPHERD KAPLAN KROCHUK, LLC |
13F
|
Company |
0.04%
|
12,500
|
$122,000 | — | 31 Dec 2016 | |
| BRADLEY FOSTER & SARGENT INC/CT |
13F
|
Company |
0.04%
|
12,301
|
$120,000 | — | 31 Dec 2016 | |
| WealthTrust Axiom LLC |
13F
|
Company |
0.04%
|
11,145
|
$108,000 | — | 31 Dec 2016 | |
| WFG Advisors, LP |
13F
|
Company |
0.03%
|
8,873
|
$86,000 | — | 31 Dec 2016 | |
| BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC |
13F
|
Company |
0.03%
|
7,405
|
$73,000 | — | 31 Dec 2016 | |
| UBS Group AG |
13F
|
Company |
0.02%
|
5,808
|
$56,000 | — | 31 Dec 2016 | |
| Amica Retiree Medical Trust |
13F
|
Company |
0.02%
|
5,525
|
$54,000 | — | 31 Dec 2016 | |
| NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO |
13F
|
Company |
0.02%
|
4,506
|
$44,000 | — | 31 Dec 2016 | |
| ROYAL BANK OF CANADA |
13F
|
Company |
0.01%
|
2,700
|
$26,000 | — | 31 Dec 2016 | |
| IFP Advisors, Inc |
13F
|
Company |
0.01%
|
2,389
|
$23,000 | — | 31 Dec 2016 | |
| DUBUQUE BANK & TRUST CO |
13F
|
Company |
0.01%
|
2,127
|
$21,000 | — | 31 Dec 2016 | |
| Parkside Financial Bank & Trust |
13F
|
Company |
0.01%
|
1,740
|
$17,000 | — | 31 Dec 2016 | |
| BARCLAYS PLC |
13F
|
Company |
0%
|
1,000
|
$10,000 | — | 31 Dec 2016 | |
| Oasis Management Co Ltd. |
13F
|
Company |
0%
|
1,000
|
$10,000 | — | 31 Dec 2016 | |
| Advisor Group, Inc. |
13F
|
Company |
0%
|
651
|
$6,000 | — | 31 Dec 2016 |
Institutional Holders of JAPAN SMALLER CAPITALIZATION FUND INC - Common Stock, par value $0.10 per share (JOF) as of Q1 2017
As of 31 Mar 2017,
JAPAN SMALLER CAPITALIZATION FUND INC - Common Stock, par value $0.10 per share (JOF) was held by
42 institutional
shareholders
that filed Form 13F with the SEC.
Together, they reported ownership of
21,350,283 shares.
The largest 10 holders included
1607 Capital Partners, LLC, WELLS FARGO & COMPANY/MN, 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, Thomas J. Herzfeld Advisors, Inc., and FIRST WILSHIRE SECURITIES MANAGEMENT INC.
This page lists
42
institutional shareholders reporting positions in this security
for the Q1 2017 filing period.
| Investor | Option | Weight % | Change % | Value $ | * Price | Shares | Share Change | Activity | Report Period |
|---|
Compare Q1 2017 vs Q4 2016 Across Filers
Q4 2016 holders
42
Q1 2017 holders
42
Holder diff
0
| Investor | Q4 2016 Shares | Q1 2017 Shares | Share Diff | Share Chg % | Q4 2016 Value $ | Q1 2017 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.