Security key
47109U104
JAPAN SMALLER CAPITALIZATION FUND INC - Common Stock, par value $0.10 per share (JOF)
CUSIP: 47109U104
Q4 2021 13F Holders as of 31 Dec 2021
- Type / Class
- Equity / Common Stock, par value $0.10 per share
- Shares outstanding
- 28,336,759
- Total 13F shares
- 22,504,505
- Share change
- -5,993,555
- Total reported value
- $177,130,131
- Price per share
- $7.87
- Number of holders
- 55
- Value change
- -$47,800,736
- Number of buys
- 22
- Number of sells
- 23
Report period
Q4 2021
Institutions
55
Top holders
10
JOF full security history
Newer quarter: Q1 2022
Previous quarter: Q3 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%
|
5,860,582
|
$53,039,000 | — | 30 Sep 2021 | |
| 1607 Capital Partners, LLC |
13F
|
Company |
17%
|
4,874,481
|
$44,114,000 | — | 30 Sep 2021 | |
| LAZARD ASSET MANAGEMENT LLC |
13F
|
Company |
12%
|
3,532,788
|
$31,971,000 | — | 30 Sep 2021 | |
| CITY OF LONDON INVESTMENT MANAGEMENT CO LTD |
13F
|
Company |
12%
|
3,438,544
|
$31,102,000 | — | 30 Sep 2021 | |
| Barry Investment Advisors, LLC |
13F
|
Company |
2.9%
|
830,923
|
$7,520,000 | — | 30 Sep 2021 | |
| Karpus Management, Inc. |
13F
|
Company |
2.7%
|
758,507
|
$6,864,000 | — | 30 Sep 2021 | |
| Graticule Asia Macro Advisors LLC |
13F
|
Company |
1.8%
|
513,248
|
$4,645,000 | — | 30 Sep 2021 | |
| Cornerstone Advisors, LLC |
13F
|
Company |
1.7%
|
473,656
|
$4,287,000 | — | 30 Sep 2021 | |
| Matisse Capital |
13F
|
Company |
1.3%
|
366,386
|
$3,316,000 | — | 30 Sep 2021 | |
| Pekin Hardy Strauss, Inc. |
13F
|
Company |
0.9%
|
255,405
|
$2,311,000 | — | 30 Sep 2021 | |
| MORGAN STANLEY |
13F
|
Company |
0.83%
|
236,170
|
$2,137,000 | — | 30 Sep 2021 | |
| WOLVERINE ASSET MANAGEMENT LLC |
13F
|
Company |
0.73%
|
205,544
|
$1,860,000 | — | 30 Sep 2021 | |
| Bulldog Investors, LLP |
13F
|
Company |
0.49%
|
139,153
|
$1,259,000 | — | 30 Sep 2021 | |
| SALEM CAPITAL MANAGEMENT INC |
13F
|
Company |
0.47%
|
134,544
|
$1,218,000 | — | 30 Sep 2021 | |
| ENVESTNET ASSET MANAGEMENT INC |
13F
|
Company |
0.39%
|
109,908
|
$995,000 | — | 30 Sep 2021 | |
| PARK AVENUE SECURITIES LLC |
13F
|
Company |
0.38%
|
108,402
|
$981,000 | — | 30 Sep 2021 | |
| Relative Value Partners Group, LLC |
13F
|
Company |
0.37%
|
103,499
|
$937,000 | — | 30 Sep 2021 | |
| RAYMOND JAMES & ASSOCIATES |
13F
|
Company |
0.31%
|
89,113
|
$806,000 | — | 30 Sep 2021 | |
| Hudson Portfolio Management LLC |
13F
|
Company |
0.3%
|
85,581
|
$774,000 | — | 30 Sep 2021 | |
| Shaker Financial Services, LLC |
13F
|
Company |
0.26%
|
74,253
|
$672,000 | — | 30 Sep 2021 | |
| Guild Investment Management, Inc. |
13F
|
Company |
0.22%
|
63,360
|
$573,000 | — | 30 Sep 2021 | |
| Baird Financial Group, Inc. |
13F
|
Company |
0.22%
|
61,745
|
$559,000 | — | 30 Sep 2021 | |
| NOMURA ASSET MANAGEMENT CO LTD |
13F
|
Company |
0.18%
|
49,993
|
$452,437 | — | 30 Sep 2021 | |
| Quantedge Capital Pte Ltd |
13F
|
Company |
0.16%
|
44,981
|
$407,000 | — | 30 Sep 2021 | |
| ROBERTS GLORE & CO INC /IL/ |
13F
|
Company |
0.1%
|
28,068
|
$254,000 | — | 30 Sep 2021 | |
| Dakota Wealth Management |
13F
|
Company |
0.1%
|
27,787
|
$252,000 | — | 30 Sep 2021 | |
| SHEPHERD KAPLAN KROCHUK, LLC |
13F
|
Company |
0.1%
|
27,490
|
$249,000 | — | 30 Sep 2021 | |
| BARD ASSOCIATES INC |
13F
|
Company |
0.09%
|
26,432
|
$239,000 | — | 30 Sep 2021 | |
| GUGGENHEIM CAPITAL LLC |
13F
|
Company |
0.09%
|
24,320
|
$220,000 | — | 30 Sep 2021 | |
| PEAPACK GLADSTONE FINANCIAL CORP |
13F
|
Company |
0.07%
|
21,032
|
$190,000 | — | 30 Sep 2021 | |
| CSS LLC/IL |
13F
|
Company |
0.07%
|
20,631
|
$187,000 | — | 30 Sep 2021 | |
| INTEGRATED CAPITAL MANAGEMENT, INC. |
13F
|
Company |
0.07%
|
19,242
|
$174,000 | — | 30 Sep 2021 | |
| GOLDMAN SACHS GROUP INC |
13F
|
Company |
0.06%
|
17,413
|
$158,000 | — | 30 Sep 2021 | |
| OSAIC HOLDINGS, INC. |
13F
|
Company |
0.05%
|
15,000
|
$136,000 | — | 30 Sep 2021 | |
| 9258 Wealth Management, LLC |
13F
|
Company |
0.05%
|
14,807
|
$134,000 | — | 30 Sep 2021 | |
| Frontier Wealth Management LLC |
13F
|
Company |
0.05%
|
13,785
|
$125,000 | — | 30 Sep 2021 | |
| PNC FINANCIAL SERVICES GROUP, INC. |
13F
|
Company |
0.05%
|
13,545
|
$123,000 | — | 30 Sep 2021 | |
| Bay Colony Advisory Group, Inc d/b/a Bay Colony Advisors |
13F
|
Company |
0.04%
|
10,000
|
$91,000 | — | 30 Sep 2021 | |
| ROYAL BANK OF CANADA |
13F
|
Company |
0.04%
|
10,000
|
$91,000 | — | 30 Sep 2021 | |
| BANK OF AMERICA CORP /DE/ |
13F
|
Company |
0.02%
|
6,783
|
$61,000 | — | 30 Sep 2021 | |
| BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC |
13F
|
Company |
0.02%
|
6,600
|
$60,000 | — | 30 Sep 2021 | |
| Evolution Wealth Advisors, LLC |
13F
|
Company |
0.01%
|
3,900
|
$35,000 | — | 30 Sep 2021 | |
| UBS Group AG |
13F
|
Company |
0.01%
|
2,057
|
$19,000 | — | 30 Sep 2021 | |
| Ancora Advisors LLC |
13F
|
Company |
0.01%
|
1,500
|
$14,000 | — | 30 Sep 2021 | |
| Rockefeller Capital Management L.P. |
13F
|
Company |
0%
|
1,324
|
$11,000 | — | 30 Sep 2021 | |
| BARCLAYS PLC |
13F
|
Company |
0%
|
1,000
|
$9,000 | — | 30 Sep 2021 | |
| US BANCORP \DE\ |
13F
|
Company |
0%
|
1,000
|
$9,000 | — | 30 Sep 2021 | |
| Thomas J. Herzfeld Advisors, Inc. |
13F
|
Company |
0%
|
321
|
$3,000 | — | 30 Sep 2021 | |
| Tower Research Capital LLC (TRC) |
13F
|
Company |
0%
|
56
|
$1,000 | — | 30 Sep 2021 |
Institutional Holders of JAPAN SMALLER CAPITALIZATION FUND INC - Common Stock, par value $0.10 per share (JOF) as of Q4 2021
As of 31 Dec 2021,
JAPAN SMALLER CAPITALIZATION FUND INC - Common Stock, par value $0.10 per share (JOF) was held by
55 institutional
shareholders
that filed Form 13F with the SEC.
Together, they reported ownership of
22,504,505 shares.
The largest 10 holders included
Allspring Global Investments Holdings, LLC, 1607 Capital Partners, LLC, CITY OF LONDON INVESTMENT MANAGEMENT CO LTD, LAZARD ASSET MANAGEMENT LLC, Karpus Management, Inc., Barry Investment Advisors, LLC, Graticule Asia Macro Advisors LLC, Cornerstone Advisors, LLC, Relative Value Partners Group, LLC, and Pekin Hardy Strauss, Inc..
This page lists
55
institutional shareholders reporting positions in this security
for the Q4 2021 filing period.
| Investor | Option | Weight % | Change % | Value $ | * Price | Shares | Share Change | Activity | Report Period |
|---|
Compare Q4 2021 vs Q3 2021 Across Filers
Q3 2021 holders
48
Q4 2021 holders
55
Holder diff
7
| Investor | Q3 2021 Shares | Q4 2021 Shares | Share Diff | Share Chg % | Q3 2021 Value $ | Q4 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.