Security key
47109U104
JAPAN SMALLER CAPITALIZATION FUND INC - Common Stock, par value $0.10 per share (JOF)
CUSIP: 47109U104
Q3 2018 13F Holders as of 30 Sep 2018
- Type / Class
- Equity / Common Stock, par value $0.10 per share
- Shares outstanding
- 28,336,759
- Total 13F shares
- 20,998,101
- Share change
- -47,064
- Total reported value
- $232,439,000
- Price per share
- $11.07
- Number of holders
- 52
- Value change
- -$558,972
- Number of buys
- 19
- Number of sells
- 20
Report period
Q3 2018
Institutions
52
Top holders
10
JOF full security history
Newer quarter: Q4 2018
Previous quarter: Q2 2018
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%
|
4,393,079
|
$51,223,000 | — | 30 Jun 2018 | |
| 1607 Capital Partners, LLC |
13F
|
Company |
15%
|
4,277,420
|
$49,875,000 | — | 30 Jun 2018 | |
| LAZARD ASSET MANAGEMENT LLC |
13F
|
Company |
12%
|
3,433,186
|
$39,996,000 | — | 30 Jun 2018 | |
| Curi Capital, LLC |
13F
|
Company |
7.5%
|
2,119,640
|
$24,715,000 | — | 30 Jun 2018 | |
| Barry Investment Advisors, LLC |
13F
|
Company |
5.9%
|
1,663,171
|
$19,393,000 | — | 30 Jun 2018 | |
| CITY OF LONDON INVESTMENT MANAGEMENT CO LTD |
13F
|
Company |
5.4%
|
1,540,942
|
$17,952,000 | — | 30 Jun 2018 | |
| Karpus Management, Inc. |
13F
|
Company |
3.8%
|
1,068,536
|
$11,925,000 | — | 30 Jun 2018 | |
| Bulldog Investors, LLP |
13F
|
Company |
2.4%
|
685,169
|
$7,989,000 | — | 30 Jun 2018 | |
| CORNERSTONE ADVISORS INC |
13F
|
Company |
1%
|
284,631
|
$3,316,000 | — | 30 Jun 2018 | |
| MORGAN STANLEY |
13F
|
Company |
0.57%
|
162,406
|
$1,894,000 | — | 30 Jun 2018 | |
| RAYMOND JAMES & ASSOCIATES |
13F
|
Company |
0.56%
|
158,945
|
$1,853,000 | — | 30 Jun 2018 | |
| Thomas J. Herzfeld Advisors, Inc. |
13F
|
Company |
0.54%
|
152,404
|
$1,777,000 | — | 30 Jun 2018 | |
| WOLVERINE ASSET MANAGEMENT LLC |
13F
|
Company |
0.5%
|
141,626
|
$1,651,000 | — | 30 Jun 2018 | |
| FIRST WILSHIRE SECURITIES MANAGEMENT INC |
13F
|
Company |
0.49%
|
140,248
|
$1,635,000 | — | 30 Jun 2018 | |
| COHEN & STEERS, INC. |
13F
|
Company |
0.38%
|
108,338
|
$1,262,000 | — | 30 Jun 2018 | |
| Spectrum Asset Management, Inc. (NB/CA) |
13F
|
Company |
0.28%
|
79,200
|
$923,000 | — | 30 Jun 2018 | |
| BANK OF AMERICA CORP /DE/ |
13F
|
Company |
0.24%
|
68,639
|
$801,000 | — | 30 Jun 2018 | |
| Matisse Capital |
13F
|
Company |
0.18%
|
50,320
|
$587,000 | — | 30 Jun 2018 | |
| STIFEL FINANCIAL CORP |
13F
|
Company |
0.17%
|
48,533
|
$567,000 | — | 30 Jun 2018 | |
| PNC FINANCIAL SERVICES GROUP, INC. |
13F
|
Company |
0.14%
|
39,120
|
$455,000 | — | 30 Jun 2018 | |
| NOMURA ASSET MANAGEMENT CO LTD |
13F
|
Company |
0.13%
|
37,267
|
$435,000 | — | 30 Jun 2018 | |
| BRINKER CAPITAL INC |
13F
|
Company |
0.13%
|
36,696
|
$428,000 | — | 30 Jun 2018 | |
| 6 Meridian |
13F
|
Company |
0.13%
|
35,877
|
$418,000 | — | 30 Jun 2018 | |
| BARD ASSOCIATES INC |
13F
|
Company |
0.11%
|
31,754
|
$370,000 | — | 30 Jun 2018 | |
| GUGGENHEIM CAPITAL LLC |
13F
|
Company |
0.11%
|
31,605
|
$368,000 | — | 30 Jun 2018 | |
| Point View Wealth Management, Inc. |
13F
|
Company |
0.1%
|
29,702
|
$346,000 | — | 30 Jun 2018 | |
| CSS LLC/IL |
13F
|
Company |
0.09%
|
25,402
|
$296,000 | — | 30 Jun 2018 | |
| WASHINGTON TRUST Co |
13F
|
Company |
0.08%
|
21,533
|
$251,000 | — | 30 Jun 2018 | |
| BLAIR WILLIAM & CO/IL |
13F
|
Company |
0.07%
|
21,001
|
$245,000 | — | 30 Jun 2018 | |
| LPL Financial LLC |
13F
|
Company |
0.06%
|
18,096
|
$211,000 | — | 30 Jun 2018 | |
| DOLIVER ADVISORS, LP |
13F
|
Company |
0.06%
|
17,291
|
$202,000 | — | 30 Jun 2018 | |
| Weiss Asset Management LP |
13F
|
Company |
0.05%
|
13,735
|
$160,000 | — | 30 Jun 2018 | |
| UBS Group AG |
13F
|
Company |
0.05%
|
13,550
|
$158,000 | — | 30 Jun 2018 | |
| LANDSCAPE CAPITAL MANAGEMENT, L.L.C. |
13F
|
Company |
0.05%
|
12,965
|
$151,000 | — | 30 Jun 2018 | |
| WEDBUSH SECURITIES INC |
13F
|
Company |
0.04%
|
12,650
|
$147,000 | — | 30 Jun 2018 | |
| SHEPHERD KAPLAN KROCHUK, LLC |
13F
|
Company |
0.04%
|
12,500
|
$146,000 | — | 30 Jun 2018 | |
| BB&T SECURITIES, LLC |
13F
|
Company |
0.04%
|
11,675
|
$136,000 | — | 30 Jun 2018 | |
| WealthTrust Axiom LLC |
13F
|
Company |
0.04%
|
10,145
|
$118,000 | — | 30 Jun 2018 | |
| DUBUQUE BANK & TRUST CO |
13F
|
Company |
0.02%
|
6,783
|
$79,000 | — | 30 Jun 2018 | |
| BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC |
13F
|
Company |
0.02%
|
6,670
|
$78,000 | — | 30 Jun 2018 | |
| JAMES INVESTMENT RESEARCH, INC. |
13F
|
Company |
0.02%
|
4,700
|
$55,000 | — | 30 Jun 2018 | |
| SeaCrest Wealth Management, LLC |
13F
|
Company |
0.01%
|
4,000
|
$47,000 | — | 30 Jun 2018 | |
| Steward Partners Investment Advisory, LLC |
13F
|
Company |
0.01%
|
3,167
|
$37,000 | — | 30 Jun 2018 | |
| ROYAL BANK OF CANADA |
13F
|
Company |
0.01%
|
2,500
|
$29,000 | — | 30 Jun 2018 | |
| FIRST INTERSTATE BANK |
13F
|
Company |
0.01%
|
2,400
|
$28,000 | — | 30 Jun 2018 | |
| Parkside Financial Bank & Trust |
13F
|
Company |
0.01%
|
1,740
|
$20,000 | — | 30 Jun 2018 | |
| NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO |
13F
|
Company |
0.01%
|
1,563
|
$18,000 | — | 30 Jun 2018 | |
| Covington Capital Management |
13F
|
Company |
0%
|
1,100
|
$13,000 | — | 30 Jun 2018 | |
| BARCLAYS PLC |
13F
|
Company |
0%
|
1,000
|
$12,000 | — | 30 Jun 2018 | |
| REGIONS FINANCIAL CORP |
13F
|
Company |
0%
|
545
|
$6,000 | — | 30 Jun 2018 |
Institutional Holders of JAPAN SMALLER CAPITALIZATION FUND INC - Common Stock, par value $0.10 per share (JOF) as of Q3 2018
As of 30 Sep 2018,
JAPAN SMALLER CAPITALIZATION FUND INC - Common Stock, par value $0.10 per share (JOF) was held by
52 institutional
shareholders
that filed Form 13F with the SEC.
Together, they reported ownership of
20,998,101 shares.
The largest 10 holders included
WELLS FARGO & COMPANY/MN, 1607 Capital Partners, LLC, LAZARD ASSET MANAGEMENT LLC, CITY OF LONDON INVESTMENT MANAGEMENT CO LTD, Barry Investment Advisors, LLC, Karpus Management, Inc., Bulldog Investors, LLC, CORNERSTONE ADVISORS INC, RAYMOND JAMES & ASSOCIATES, and GEODE CAPITAL MANAGEMENT, LLC.
This page lists
52
institutional shareholders reporting positions in this security
for the Q3 2018 filing period.
| Investor | Option | Weight % | Change % | Value $ | * Price | Shares | Share Change | Activity | Report Period |
|---|
Compare Q3 2018 vs Q2 2018 Across Filers
Q2 2018 holders
50
Q3 2018 holders
52
Holder diff
2
| Investor | Q2 2018 Shares | Q3 2018 Shares | Share Diff | Share Chg % | Q2 2018 Value $ | Q3 2018 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.