Security key
47109U104
JAPAN SMALLER CAPITALIZATION FUND INC - Common Stock, par value $0.10 per share (JOF)
CUSIP: 47109U104
Q2 2017 13F Holders as of 30 Jun 2017
- Type / Class
- Equity / Common Stock, par value $0.10 per share
- Shares outstanding
- 28,336,759
- Total 13F shares
- 21,246,260
- Share change
- -103,089
- Total reported value
- $243,896,284
- Price per share
- $11.48
- Number of holders
- 43
- Value change
- -$1,165,488
- Number of buys
- 15
- Number of sells
- 16
Report period
Q2 2017
Institutions
43
Top holders
10
JOF full security history
Newer quarter: Q3 2017
Previous quarter: Q1 2017
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 |
|---|---|---|---|---|---|---|---|---|
| 1607 Capital Partners, LLC |
13F
|
Company |
15%
|
4,282,461
|
$46,422,000 | — | 31 Mar 2017 | |
| WELLS FARGO & COMPANY/MN |
13F
|
Company |
15%
|
4,210,355
|
$45,641,000 | — | 31 Mar 2017 | |
| LAZARD ASSET MANAGEMENT LLC |
13F
|
Company |
14%
|
3,832,730
|
$41,546,000 | — | 31 Mar 2017 | |
| Barry Investment Advisors, LLC |
13F
|
Company |
8.4%
|
2,385,274
|
$25,856,000 | — | 31 Mar 2017 | |
| Curi Capital, LLC |
13F
|
Company |
8.1%
|
2,282,121
|
$24,738,000 | — | 31 Mar 2017 | |
| Karpus Management, Inc. |
13F
|
Company |
6%
|
1,691,875
|
$18,340,000 | — | 31 Mar 2017 | |
| Bulldog Investors, LLP |
13F
|
Company |
4%
|
1,134,038
|
$12,293,000 | — | 31 Mar 2017 | |
| CITY OF LONDON INVESTMENT MANAGEMENT CO LTD |
13F
|
Company |
1.3%
|
361,190
|
$3,915,000 | — | 31 Mar 2017 | |
| Thomas J. Herzfeld Advisors, Inc. |
13F
|
Company |
0.63%
|
178,896
|
$1,939,000 | — | 31 Mar 2017 | |
| FIRST WILSHIRE SECURITIES MANAGEMENT INC |
13F
|
Company |
0.57%
|
161,545
|
$1,751,000 | — | 31 Mar 2017 | |
| Matisse Capital |
13F
|
Company |
0.49%
|
137,445
|
$1,490,000 | — | 31 Mar 2017 | |
| MORGAN STANLEY |
13F
|
Company |
0.3%
|
83,791
|
$909,000 | — | 31 Mar 2017 | |
| RAYMOND JAMES & ASSOCIATES |
13F
|
Company |
0.24%
|
67,562
|
$732,000 | — | 31 Mar 2017 | |
| PNC FINANCIAL SERVICES GROUP, INC. |
13F
|
Company |
0.22%
|
62,020
|
$672,000 | — | 31 Mar 2017 | |
| BANK OF AMERICA CORP /DE/ |
13F
|
Company |
0.2%
|
57,052
|
$618,000 | — | 31 Mar 2017 | |
| CORNERSTONE ADVISORS INC |
13F
|
Company |
0.19%
|
55,256
|
$599,000 | — | 31 Mar 2017 | |
| BRINKER CAPITAL INC |
13F
|
Company |
0.17%
|
48,193
|
$522,000 | — | 31 Mar 2017 | |
| WOLVERINE ASSET MANAGEMENT LLC |
13F
|
Company |
0.12%
|
32,961
|
$357,000 | — | 31 Mar 2017 | |
| Point View Wealth Management, Inc. |
13F
|
Company |
0.12%
|
32,848
|
$356,000 | — | 31 Mar 2017 | |
| NOMURA ASSET MANAGEMENT CO LTD |
13F
|
Company |
0.11%
|
32,312
|
$350,000 | — | 31 Mar 2017 | |
| BARD ASSOCIATES INC |
13F
|
Company |
0.11%
|
31,921
|
$346,000 | — | 31 Mar 2017 | |
| CSS LLC/IL |
13F
|
Company |
0.09%
|
25,402
|
$275,000 | — | 31 Mar 2017 | |
| Gratus Capital, LLC |
13F
|
Company |
0.06%
|
17,851
|
$194,000 | — | 31 Mar 2017 | |
| BB&T SECURITIES, LLC |
13F
|
Company |
0.06%
|
17,725
|
$192,000 | — | 31 Mar 2017 | |
| Ancora Advisors LLC |
13F
|
Company |
0.05%
|
14,024
|
$152,000 | — | 31 Mar 2017 | |
| LANDSCAPE CAPITAL MANAGEMENT, L.L.C. |
13F
|
Company |
0.05%
|
13,425
|
$146,000 | — | 31 Mar 2017 | |
| DOLIVER ADVISORS, LP |
13F
|
Company |
0.05%
|
12,788
|
$139,000 | — | 31 Mar 2017 | |
| WEDBUSH SECURITIES INC |
13F
|
Company |
0.04%
|
12,650
|
$137,000 | — | 31 Mar 2017 | |
| SHEPHERD KAPLAN KROCHUK, LLC |
13F
|
Company |
0.04%
|
12,500
|
$136,000 | — | 31 Mar 2017 | |
| GEODE CAPITAL MANAGEMENT, LLC |
13F
|
Company |
0.04%
|
11,801
|
$127,000 | — | 31 Mar 2017 | |
| WealthTrust Axiom LLC |
13F
|
Company |
0.04%
|
10,145
|
$109,000 | — | 31 Mar 2017 | |
| WFG Advisors, LP |
13F
|
Company |
0.03%
|
8,873
|
$96,000 | — | 31 Mar 2017 | |
| BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC |
13F
|
Company |
0.03%
|
7,405
|
$80,000 | — | 31 Mar 2017 | |
| UBS Group AG |
13F
|
Company |
0.02%
|
6,622
|
$72,000 | — | 31 Mar 2017 | |
| DUBUQUE BANK & TRUST CO |
13F
|
Company |
0.02%
|
5,795
|
$63,000 | — | 31 Mar 2017 | |
| ROYAL BANK OF CANADA |
13F
|
Company |
0.01%
|
3,035
|
$33,000 | — | 31 Mar 2017 | |
| IFP Advisors, Inc |
13F
|
Company |
0.01%
|
2,389
|
$26,000 | — | 31 Mar 2017 | |
| Parkside Financial Bank & Trust |
13F
|
Company |
0.01%
|
1,740
|
$19,000 | — | 31 Mar 2017 | |
| NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO |
13F
|
Company |
0%
|
1,333
|
$14,000 | — | 31 Mar 2017 | |
| BARCLAYS PLC |
13F
|
Company |
0%
|
1,000
|
$11,000 | — | 31 Mar 2017 | |
| Oasis Management Co Ltd. |
13F
|
Company |
0%
|
1,000
|
$11,000 | — | 31 Mar 2017 | |
| Pinnacle Bancorp, Inc. |
13F
|
Company |
0%
|
934
|
$10,000 | — | 31 Mar 2017 |
Institutional Holders of JAPAN SMALLER CAPITALIZATION FUND INC - Common Stock, par value $0.10 per share (JOF) as of Q2 2017
As of 30 Jun 2017,
JAPAN SMALLER CAPITALIZATION FUND INC - Common Stock, par value $0.10 per share (JOF) was held by
43 institutional
shareholders
that filed Form 13F with the SEC.
Together, they reported ownership of
21,246,260 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
43
institutional shareholders reporting positions in this security
for the Q2 2017 filing period.
| Investor | Option | Weight % | Change % | Value $ | * Price | Shares | Share Change | Activity | Report Period |
|---|
Compare Q2 2017 vs Q1 2017 Across Filers
Q1 2017 holders
42
Q2 2017 holders
43
Holder diff
1
| Investor | Q1 2017 Shares | Q2 2017 Shares | Share Diff | Share Chg % | Q1 2017 Value $ | Q2 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.