Security key
47109U104
JAPAN SMALLER CAPITALIZATION FUND INC - Common Stock, par value $0.10 per share (JOF)
CUSIP: 47109U104
Q3 2021 13F Holders as of 30 Sep 2021
- Type / Class
- Equity / Common Stock, par value $0.10 per share
- Shares outstanding
- 28,336,759
- Total 13F shares
- 22,724,803
- Share change
- +60,200
- Total reported value
- $205,643,437
- Price per share
- $9.05
- Number of holders
- 48
- Value change
- +$549,194
- Number of buys
- 16
- Number of sells
- 18
Report period
Q3 2021
Institutions
48
Top holders
10
JOF full security history
Newer quarter: Q4 2021
Previous quarter: Q2 2021
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%
|
5,862,476
|
$52,880,000 | — | 30 Jun 2021 | |
| 1607 Capital Partners, LLC |
13F
|
Company |
18%
|
5,019,636
|
$45,277,000 | — | 30 Jun 2021 | |
| LAZARD ASSET MANAGEMENT LLC |
13F
|
Company |
13%
|
3,577,131
|
$32,265,000 | — | 30 Jun 2021 | |
| CITY OF LONDON INVESTMENT MANAGEMENT CO LTD |
13F
|
Company |
12%
|
3,370,761
|
$30,421,000 | — | 30 Jun 2021 | |
| Barry Investment Advisors, LLC |
13F
|
Company |
3.1%
|
865,556
|
$7,807,000 | — | 30 Jun 2021 | |
| Karpus Management, Inc. |
13F
|
Company |
2.7%
|
752,908
|
$6,791,000 | — | 30 Jun 2021 | |
| Graticule Asia Macro Advisors LLC |
13F
|
Company |
1.8%
|
517,748
|
$4,670,000 | — | 30 Jun 2021 | |
| Cornerstone Advisors, LLC |
13F
|
Company |
1.5%
|
420,562
|
$3,793,000 | — | 30 Jun 2021 | |
| Matisse Capital |
13F
|
Company |
1.4%
|
388,706
|
$3,506,000 | — | 30 Jun 2021 | |
| Pekin Hardy Strauss, Inc. |
13F
|
Company |
0.92%
|
259,735
|
$2,343,000 | — | 30 Jun 2021 | |
| MORGAN STANLEY |
13F
|
Company |
0.78%
|
220,705
|
$1,991,000 | — | 30 Jun 2021 | |
| WOLVERINE ASSET MANAGEMENT LLC |
13F
|
Company |
0.56%
|
159,531
|
$1,438,000 | — | 30 Jun 2021 | |
| SALEM CAPITAL MANAGEMENT INC |
13F
|
Company |
0.5%
|
142,986
|
$1,290,000 | — | 30 Jun 2021 | |
| Bulldog Investors, LLP |
13F
|
Company |
0.46%
|
129,153
|
$1,165,000 | — | 30 Jun 2021 | |
| ENVESTNET ASSET MANAGEMENT INC |
13F
|
Company |
0.36%
|
102,563
|
$925,000 | — | 30 Jun 2021 | |
| PARK AVENUE SECURITIES LLC |
13F
|
Company |
0.36%
|
101,217
|
$913,000 | — | 30 Jun 2021 | |
| RAYMOND JAMES & ASSOCIATES |
13F
|
Company |
0.31%
|
86,821
|
$783,000 | — | 30 Jun 2021 | |
| Hudson Portfolio Management LLC |
13F
|
Company |
0.3%
|
85,931
|
$775,000 | — | 30 Jun 2021 | |
| Shaker Financial Services, LLC |
13F
|
Company |
0.26%
|
74,253
|
$670,000 | — | 30 Jun 2021 | |
| Baird Financial Group, Inc. |
13F
|
Company |
0.22%
|
61,431
|
$554,000 | — | 30 Jun 2021 | |
| Guild Investment Management, Inc. |
13F
|
Company |
0.19%
|
53,800
|
$485,000 | — | 30 Jun 2021 | |
| NOMURA ASSET MANAGEMENT CO LTD |
13F
|
Company |
0.18%
|
49,993
|
$450,937 | — | 30 Jun 2021 | |
| ROBERTS GLORE & CO INC /IL/ |
13F
|
Company |
0.1%
|
28,068
|
$253,000 | — | 30 Jun 2021 | |
| Dakota Wealth Management |
13F
|
Company |
0.1%
|
27,787
|
$251,000 | — | 30 Jun 2021 | |
| SHEPHERD KAPLAN KROCHUK, LLC |
13F
|
Company |
0.1%
|
27,490
|
$248,000 | — | 30 Jun 2021 | |
| BARD ASSOCIATES INC |
13F
|
Company |
0.1%
|
26,932
|
$243,000 | — | 30 Jun 2021 | |
| GUGGENHEIM CAPITAL LLC |
13F
|
Company |
0.09%
|
26,268
|
$237,000 | — | 30 Jun 2021 | |
| ROYAL BANK OF CANADA |
13F
|
Company |
0.07%
|
21,229
|
$191,000 | — | 30 Jun 2021 | |
| PEAPACK GLADSTONE FINANCIAL CORP |
13F
|
Company |
0.07%
|
21,032
|
$190,000 | — | 30 Jun 2021 | |
| CSS LLC/IL |
13F
|
Company |
0.07%
|
20,631
|
$186,000 | — | 30 Jun 2021 | |
| GOLDMAN SACHS GROUP INC |
13F
|
Company |
0.06%
|
17,957
|
$162,000 | — | 30 Jun 2021 | |
| INTEGRATED CAPITAL MANAGEMENT, INC. |
13F
|
Company |
0.06%
|
17,320
|
$156,000 | — | 30 Jun 2021 | |
| DORCHESTER WEALTH MANAGEMENT Co |
13F
|
Company |
0.05%
|
15,250
|
$138,000 | — | 30 Jun 2021 | |
| OSAIC HOLDINGS, INC. |
13F
|
Company |
0.05%
|
15,000
|
$135,000 | — | 30 Jun 2021 | |
| 9258 Wealth Management, LLC |
13F
|
Company |
0.05%
|
14,807
|
$134,000 | — | 30 Jun 2021 | |
| Frontier Wealth Management LLC |
13F
|
Company |
0.05%
|
13,785
|
$124,000 | — | 30 Jun 2021 | |
| PNC FINANCIAL SERVICES GROUP, INC. |
13F
|
Company |
0.05%
|
13,545
|
$122,000 | — | 30 Jun 2021 | |
| Quantedge Capital Pte Ltd |
13F
|
Company |
0.05%
|
13,151
|
$119,000 | — | 30 Jun 2021 | |
| Bay Colony Advisory Group, Inc d/b/a Bay Colony Advisors |
13F
|
Company |
0.04%
|
10,000
|
$90,000 | — | 30 Jun 2021 | |
| Rockefeller Capital Management L.P. |
13F
|
Company |
0.03%
|
8,251
|
$74,000 | — | 30 Jun 2021 | |
| BANK OF AMERICA CORP /DE/ |
13F
|
Company |
0.02%
|
6,566
|
$59,000 | — | 30 Jun 2021 | |
| Evolution Wealth Advisors, LLC |
13F
|
Company |
0.01%
|
3,900
|
$35,000 | — | 30 Jun 2021 | |
| Federation Des Caisses Desjardins du Quebec |
13F
|
Individual |
0.01%
|
3,000
|
$27,060 | — | 30 Jun 2021 | |
| UBS Group AG |
13F
|
Company |
0.01%
|
2,430
|
$22,000 | — | 30 Jun 2021 | |
| DEUTSCHE BANK AG\ |
13F
|
Company |
0.01%
|
2,400
|
$22,000 | — | 30 Jun 2021 | |
| Ancora Advisors LLC |
13F
|
Company |
0.01%
|
1,500
|
$14,000 | — | 30 Jun 2021 | |
| BARCLAYS PLC |
13F
|
Company |
0%
|
1,000
|
$9,000 | — | 30 Jun 2021 | |
| US BANCORP \DE\ |
13F
|
Company |
0%
|
1,000
|
$9,000 | — | 30 Jun 2021 | |
| BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC |
13F
|
Company |
0%
|
380
|
$3,000 | — | 30 Jun 2021 | |
| Thomas J. Herzfeld Advisors, Inc. |
13F
|
Company |
0%
|
321
|
$3,000 | — | 30 Jun 2021 |
Institutional Holders of JAPAN SMALLER CAPITALIZATION FUND INC - Common Stock, par value $0.10 per share (JOF) as of Q3 2021
As of 30 Sep 2021,
JAPAN SMALLER CAPITALIZATION FUND INC - Common Stock, par value $0.10 per share (JOF) was held by
48 institutional
shareholders
that filed Form 13F with the SEC.
Together, they reported ownership of
22,724,803 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., Graticule Asia Macro Advisors LLC, Cornerstone Advisors, LLC, Matisse Capital, and Pekin Hardy Strauss, Inc..
This page lists
48
institutional shareholders reporting positions in this security
for the Q3 2021 filing period.
| Investor | Option | Weight % | Change % | Value $ | * Price | Shares | Share Change | Activity | Report Period |
|---|
Compare Q3 2021 vs Q2 2021 Across Filers
Q2 2021 holders
50
Q3 2021 holders
48
Holder diff
-2
| Investor | Q2 2021 Shares | Q3 2021 Shares | Share Diff | Share Chg % | Q2 2021 Value $ | Q3 2021 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.