Security key
47109U104
JAPAN SMALLER CAPITALIZATION FUND INC - Common Stock, par value $0.10 per share (JOF)
CUSIP: 47109U104
Q2 2019 13F Holders as of 30 Jun 2019
- Type / Class
- Equity / Common Stock, par value $0.10 per share
- Shares outstanding
- 28,336,759
- Total 13F shares
- 21,474,571
- Share change
- +64,409
- Total reported value
- $182,617,000
- Price per share
- $8.50
- Number of holders
- 44
- Value change
- +$533,717
- Number of buys
- 17
- Number of sells
- 20
Report period
Q2 2019
Institutions
44
Top holders
10
JOF full security history
Newer quarter: Q3 2019
Previous quarter: Q1 2019
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 |
21%
|
5,993,955
|
$52,567,000 | — | 31 Mar 2019 | |
| 1607 Capital Partners, LLC |
13F
|
Company |
18%
|
5,229,251
|
$45,861,000 | — | 31 Mar 2019 | |
| LAZARD ASSET MANAGEMENT LLC |
13F
|
Company |
12%
|
3,457,583
|
$30,323,000 | — | 31 Mar 2019 | |
| CITY OF LONDON INVESTMENT MANAGEMENT CO LTD |
13F
|
Company |
6.5%
|
1,835,515
|
$16,125,000 | — | 31 Mar 2019 | |
| Barry Investment Advisors, LLC |
13F
|
Company |
5.7%
|
1,610,935
|
$14,128,000 | — | 31 Mar 2019 | |
| Karpus Management, Inc. |
13F
|
Company |
3.6%
|
1,015,886
|
$9,031,000 | — | 31 Mar 2019 | |
| Bulldog Investors, LLP |
13F
|
Company |
1.2%
|
353,923
|
$3,104,000 | — | 31 Mar 2019 | |
| CORNERSTONE ADVISORS INC |
13F
|
Company |
1.2%
|
341,661
|
$2,996,000 | — | 31 Mar 2019 | |
| RAYMOND JAMES & ASSOCIATES |
13F
|
Company |
1.1%
|
309,323
|
$2,713,000 | — | 31 Mar 2019 | |
| GEODE CAPITAL MANAGEMENT, LLC |
13F
|
Company |
1%
|
289,198
|
$2,536,000 | — | 31 Mar 2019 | |
| SALEM CAPITAL MANAGEMENT INC |
13F
|
Company |
0.88%
|
248,125
|
$2,176,000 | — | 31 Mar 2019 | |
| FIRST WILSHIRE SECURITIES MANAGEMENT INC |
13F
|
Company |
0.47%
|
131,965
|
$1,157,000 | — | 31 Mar 2019 | |
| BANK OF AMERICA CORP /DE/ |
13F
|
Company |
0.41%
|
116,471
|
$1,021,000 | — | 31 Mar 2019 | |
| STIFEL FINANCIAL CORP |
13F
|
Company |
0.33%
|
92,510
|
$818,000 | — | 31 Mar 2019 | |
| MORGAN STANLEY |
13F
|
Company |
0.32%
|
91,689
|
$804,000 | — | 31 Mar 2019 | |
| Thomas J. Herzfeld Advisors, Inc. |
13F
|
Company |
0.3%
|
84,390
|
$740,000 | — | 31 Mar 2019 | |
| WOLVERINE ASSET MANAGEMENT LLC |
13F
|
Company |
0.28%
|
78,129
|
$685,000 | — | 31 Mar 2019 | |
| 9258 Wealth Management, LLC |
13F
|
Company |
0.18%
|
50,329
|
$441,000 | — | 31 Mar 2019 | |
| NOMURA ASSET MANAGEMENT CO LTD |
13F
|
Company |
0.16%
|
44,517
|
$390,000 | — | 31 Mar 2019 | |
| PNC FINANCIAL SERVICES GROUP, INC. |
13F
|
Company |
0.14%
|
38,720
|
$341,000 | — | 31 Mar 2019 | |
| FIDUCIARY TRUST CO |
13F
|
Company |
0.11%
|
31,500
|
$276,000 | — | 31 Mar 2019 | |
| BARD ASSOCIATES INC |
13F
|
Company |
0.11%
|
31,394
|
$275,000 | — | 31 Mar 2019 | |
| LPL Financial LLC |
13F
|
Company |
0.11%
|
30,539
|
$268,000 | — | 31 Mar 2019 | |
| CSS LLC/IL |
13F
|
Company |
0.11%
|
30,342
|
$266,000 | — | 31 Mar 2019 | |
| Point View Wealth Management, Inc. |
13F
|
Company |
0.1%
|
29,702
|
$260,000 | — | 31 Mar 2019 | |
| Dakota Wealth Management |
13F
|
Company |
0.1%
|
29,397
|
$257,000 | — | 31 Mar 2019 | |
| LANDSCAPE CAPITAL MANAGEMENT, L.L.C. |
13F
|
Company |
0.1%
|
28,917
|
$254,000 | — | 31 Mar 2019 | |
| GUGGENHEIM CAPITAL LLC |
13F
|
Company |
0.09%
|
26,902
|
$236,000 | — | 31 Mar 2019 | |
| PUNCH & ASSOCIATES INVESTMENT MANAGEMENT, INC. |
13F
|
Company |
0.07%
|
18,540
|
$163,000 | — | 31 Mar 2019 | |
| SHEPHERD KAPLAN KROCHUK, LLC |
13F
|
Company |
0.04%
|
12,500
|
$110,000 | — | 31 Mar 2019 | |
| ELEMENT POINTE ADVISORS, LLC |
13F
|
Company |
0.04%
|
11,746
|
$103,000 | — | 31 Mar 2019 | |
| WASHINGTON TRUST Co |
13F
|
Company |
0.04%
|
11,348
|
$97,000 | — | 31 Mar 2019 | |
| BB&T SECURITIES, LLC |
13F
|
Company |
0.04%
|
10,450
|
$92,000 | — | 31 Mar 2019 | |
| ROYAL BANK OF CANADA |
13F
|
Company |
0.04%
|
10,172
|
$89,000 | — | 31 Mar 2019 | |
| UBS Group AG |
13F
|
Company |
0.03%
|
8,238
|
$72,000 | — | 31 Mar 2019 | |
| SeaCrest Wealth Management, LLC |
13F
|
Company |
0.01%
|
4,000
|
$35,000 | — | 31 Mar 2019 | |
| BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC |
13F
|
Company |
0.01%
|
2,115
|
$19,000 | — | 31 Mar 2019 | |
| FIFTH THIRD BANCORP |
13F
|
Company |
0.01%
|
2,000
|
$18,000 | — | 31 Mar 2019 | |
| US BANCORP \DE\ |
13F
|
Company |
0.01%
|
1,750
|
$16,000 | — | 31 Mar 2019 | |
| Parkside Financial Bank & Trust |
13F
|
Company |
0.01%
|
1,740
|
$15,000 | — | 31 Mar 2019 | |
| FIRST INTERSTATE BANK |
13F
|
Company |
0%
|
1,200
|
$11,000 | — | 31 Mar 2019 | |
| BARCLAYS PLC |
13F
|
Company |
0%
|
1,000
|
$9,000 | — | 31 Mar 2019 | |
| DUBUQUE BANK & TRUST CO |
13F
|
Company |
0%
|
988
|
$9,000 | — | 31 Mar 2019 | |
| Pinnacle Bancorp, Inc. |
13F
|
Company |
0%
|
934
|
$8,000 | — | 31 Mar 2019 | |
| FMR LLC |
13F
|
Company |
0%
|
334
|
$3,000 | — | 31 Mar 2019 |
Institutional Holders of JAPAN SMALLER CAPITALIZATION FUND INC - Common Stock, par value $0.10 per share (JOF) as of Q2 2019
As of 30 Jun 2019,
JAPAN SMALLER CAPITALIZATION FUND INC - Common Stock, par value $0.10 per share (JOF) was held by
44 institutional
shareholders
that filed Form 13F with the SEC.
Together, they reported ownership of
21,474,571 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, RAYMOND JAMES & ASSOCIATES, GEODE CAPITAL MANAGEMENT, LLC, and SALEM CAPITAL MANAGEMENT INC.
This page lists
44
institutional shareholders reporting positions in this security
for the Q2 2019 filing period.
| Investor | Option | Weight % | Change % | Value $ | * Price | Shares | Share Change | Activity | Report Period |
|---|
Compare Q2 2019 vs Q1 2019 Across Filers
Q1 2019 holders
45
Q2 2019 holders
44
Holder diff
-1
| Investor | Q1 2019 Shares | Q2 2019 Shares | Share Diff | Share Chg % | Q1 2019 Value $ | Q2 2019 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.