Security key
47109U104
JAPAN SMALLER CAPITALIZATION FUND INC - Common Stock, par value $0.10 per share (JOF)
CUSIP: 47109U104
Q4 2020 13F Holders as of 31 Dec 2020
- Type / Class
- Equity / Common Stock, par value $0.10 per share
- Shares outstanding
- 28,336,759
- Total 13F shares
- 22,372,994
- Share change
- -90,422
- Total reported value
- $202,295,057
- Price per share
- $9.04
- Number of holders
- 50
- Value change
- -$781,625
- Number of buys
- 21
- Number of sells
- 14
Report period
Q4 2020
Institutions
50
Top holders
10
JOF full security history
Newer quarter: Q1 2021
Previous quarter: Q3 2020
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 |
20%
|
5,720,182
|
$49,594,000 | — | 30 Sep 2020 | |
| WELLS FARGO & COMPANY/MN |
13F
|
Company |
20%
|
5,662,792
|
$49,096,000 | — | 30 Sep 2020 | |
| LAZARD ASSET MANAGEMENT LLC |
13F
|
Company |
13%
|
3,636,765
|
$31,530,000 | — | 30 Sep 2020 | |
| CITY OF LONDON INVESTMENT MANAGEMENT CO LTD |
13F
|
Company |
11%
|
3,201,526
|
$27,789,000 | — | 30 Sep 2020 | |
| Karpus Management, Inc. |
13F
|
Company |
4.1%
|
1,157,793
|
$10,038,000 | — | 30 Sep 2020 | |
| Barry Investment Advisors, LLC |
13F
|
Company |
3.6%
|
1,027,883
|
$8,912,000 | — | 30 Sep 2020 | |
| Matisse Capital |
13F
|
Company |
1.4%
|
397,899
|
$3,450,000 | — | 30 Sep 2020 | |
| Bulldog Investors, LLP |
13F
|
Company |
1.3%
|
364,423
|
$3,160,000 | — | 30 Sep 2020 | |
| SALEM CAPITAL MANAGEMENT INC |
13F
|
Company |
0.53%
|
149,230
|
$1,294,000 | — | 30 Sep 2020 | |
| BANK OF AMERICA CORP /DE/ |
13F
|
Company |
0.4%
|
111,944
|
$971,000 | — | 30 Sep 2020 | |
| Oasis Management Co Ltd. |
13F
|
Company |
0.38%
|
107,552
|
$932,000 | — | 30 Sep 2020 | |
| ENVESTNET ASSET MANAGEMENT INC |
13F
|
Company |
0.32%
|
91,209
|
$791,000 | — | 30 Sep 2020 | |
| PARK AVENUE SECURITIES LLC |
13F
|
Company |
0.32%
|
90,645
|
$786,000 | — | 30 Sep 2020 | |
| Cornerstone Advisors, LLC |
13F
|
Company |
0.31%
|
86,716
|
$752,000 | — | 30 Sep 2020 | |
| Pekin Hardy Strauss, Inc. |
13F
|
Company |
0.26%
|
73,670
|
$639,000 | — | 30 Sep 2020 | |
| RAYMOND JAMES & ASSOCIATES |
13F
|
Company |
0.26%
|
73,591
|
$638,000 | — | 30 Sep 2020 | |
| Baird Financial Group, Inc. |
13F
|
Company |
0.21%
|
59,978
|
$520,000 | — | 30 Sep 2020 | |
| NOMURA ASSET MANAGEMENT CO LTD |
13F
|
Company |
0.17%
|
48,148
|
$417,000 | — | 30 Sep 2020 | |
| CSS LLC/IL |
13F
|
Company |
0.15%
|
43,631
|
$378,000 | — | 30 Sep 2020 | |
| MORGAN STANLEY |
13F
|
Company |
0.13%
|
36,670
|
$318,000 | — | 30 Sep 2020 | |
| Dakota Wealth Management |
13F
|
Company |
0.1%
|
28,847
|
$251,000 | — | 30 Sep 2020 | |
| PNC FINANCIAL SERVICES GROUP, INC. |
13F
|
Company |
0.1%
|
27,820
|
$241,000 | — | 30 Sep 2020 | |
| SHEPHERD KAPLAN KROCHUK, LLC |
13F
|
Company |
0.1%
|
27,490
|
$238,000 | — | 30 Sep 2020 | |
| BARD ASSOCIATES INC |
13F
|
Company |
0.09%
|
26,702
|
$232,000 | — | 30 Sep 2020 | |
| Cardan Capital Partners, LLC |
13F
|
Company |
0.09%
|
25,246
|
$219,000 | — | 30 Sep 2020 | |
| GUGGENHEIM CAPITAL LLC |
13F
|
Company |
0.09%
|
24,485
|
$212,000 | — | 30 Sep 2020 | |
| Point View Wealth Management, Inc. |
13F
|
Company |
0.09%
|
24,461
|
$212,000 | — | 30 Sep 2020 | |
| Rockefeller Capital Management L.P. |
13F
|
Company |
0.07%
|
18,568
|
$160,000 | — | 30 Sep 2020 | |
| 9258 Wealth Management, LLC |
13F
|
Company |
0.06%
|
18,376
|
$152,000 | — | 30 Sep 2020 | |
| OSAIC HOLDINGS, INC. |
13F
|
Company |
0.05%
|
15,000
|
$130,000 | — | 30 Sep 2020 | |
| Frontier Wealth Management LLC |
13F
|
Company |
0.05%
|
14,185
|
$123,000 | — | 30 Sep 2020 | |
| INTEGRATED CAPITAL MANAGEMENT, INC. |
13F
|
Company |
0.05%
|
13,032
|
$113,000 | — | 30 Sep 2020 | |
| Shaker Financial Services, LLC |
13F
|
Company |
0.04%
|
12,530
|
$109,000 | — | 30 Sep 2020 | |
| ROBERTS GLORE & CO INC /IL/ |
13F
|
Company |
0.04%
|
11,334
|
$98,000 | — | 30 Sep 2020 | |
| Bay Colony Advisory Group, Inc d/b/a Bay Colony Advisors |
13F
|
Company |
0.04%
|
10,000
|
$87,000 | — | 30 Sep 2020 | |
| ROYAL BANK OF CANADA |
13F
|
Company |
0.03%
|
7,972
|
$69,000 | — | 30 Sep 2020 | |
| Evolution Wealth Advisors, LLC |
13F
|
Company |
0.01%
|
3,900
|
$34,000 | — | 30 Sep 2020 | |
| Federation Des Caisses Desjardins du Quebec |
13F
|
Individual |
0.01%
|
3,000
|
$26,010 | — | 30 Sep 2020 | |
| DEUTSCHE BANK AG\ |
13F
|
Company |
0.01%
|
2,400
|
$21,000 | — | 30 Sep 2020 | |
| UBS Group AG |
13F
|
Company |
0.01%
|
2,000
|
$17,000 | — | 30 Sep 2020 | |
| Ancora Advisors LLC |
13F
|
Company |
0.01%
|
1,500
|
$13,000 | — | 30 Sep 2020 | |
| BARCLAYS PLC |
13F
|
Company |
0%
|
1,000
|
$9,000 | — | 30 Sep 2020 | |
| US BANCORP \DE\ |
13F
|
Company |
0%
|
1,000
|
$9,000 | — | 30 Sep 2020 | |
| Thomas J. Herzfeld Advisors, Inc. |
13F
|
Company |
0%
|
321
|
$3,000 | — | 30 Sep 2020 |
Institutional Holders of JAPAN SMALLER CAPITALIZATION FUND INC - Common Stock, par value $0.10 per share (JOF) as of Q4 2020
As of 31 Dec 2020,
JAPAN SMALLER CAPITALIZATION FUND INC - Common Stock, par value $0.10 per share (JOF) was held by
50 institutional
shareholders
that filed Form 13F with the SEC.
Together, they reported ownership of
22,372,994 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, Karpus Management, Inc., Barry Investment Advisors, LLC, Graticule Asia Macro Advisors LLC, Matisse Capital, Pekin Hardy Strauss, Inc., and SALEM CAPITAL MANAGEMENT INC.
This page lists
50
institutional shareholders reporting positions in this security
for the Q4 2020 filing period.
| Investor | Option | Weight % | Change % | Value $ | * Price | Shares | Share Change | Activity | Report Period |
|---|
Compare Q4 2020 vs Q3 2020 Across Filers
Q3 2020 holders
44
Q4 2020 holders
50
Holder diff
6
| Investor | Q3 2020 Shares | Q4 2020 Shares | Share Diff | Share Chg % | Q3 2020 Value $ | Q4 2020 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.