JAPAN EQUITY FD INC COM - 471057109
Detailed investor-level table based on 13F positions.
Early Q4 2020 data: only 1 institutional holders reported so far. The full shareholder list will grow as more funds file with the SEC.
Methodology:
Market value and % of portfolio use SEC reported VALUE ($000).
For PUT/CALL positions this reflects reported underlying exposure, not premium cash paid/received.
Details.
Rows: 0
| Investor | History | Status | Shares held | Market value ($000) | % of portfolio | Previous % | Rank | Change in shares | % change in shares | Source | Date reported |
|---|---|---|---|---|---|---|---|---|---|---|---|
| LAZARD ASSET MANAGEMENT LLC | History | Reduced | 2,410,772 | 15,742 | 0.04% | 0.04% | 1 | -169,720 | -6.58% | Q1 2014 | May 12, 2014 |
| 1607 Capital Partners, LLC | History | Reduced | 2,255,448 | 14,720 | 1.14% | 1.34% | 2 | -34,134 | -1.49% | Q1 2014 | May 12, 2014 |
| WELLS FARGO & COMPANY/MN | History | Added to | 987,538 | 6,445 | 0.0% | 0.0% | 3 | +120,137 | 13.85% | Q1 2014 | May 15, 2014 |
| Gramercy Funds Management LLC | History | Added to | 217,820 | 1,422 | 0.5% | 0.27% | 4 | +95,074 | 77.46% | Q1 2014 | May 08, 2014 |
| FIRST WILSHIRE SECURITIES MANAGEMENT INC | History | Reduced | 155,451 | 1,015 | 0.16% | 0.18% | 5 | -9,500 | -5.76% | Q1 2014 | May 15, 2014 |
| Karpus Management, Inc. | History | Reduced | 151,768 | 991 | 0.05% | 0.11% | 6 | -123,746 | -44.91% | Q1 2014 | May 15, 2014 |
| MORGAN STANLEY | History | Added to | 127,608 | 833 | 0.0% | 0.0% | 7 | +27,319 | 27.24% | Q1 2014 | May 13, 2014 |
| Point View Financial Services, Inc. | History | Reduced | 54,319 | 355 | 0.32% | 0.37% | 8 | -1,632 | -2.92% | Q1 2014 | May 08, 2014 |
| SHUFRO ROSE & CO LLC | History | No change | 47,200 | 308 | 0.03% | 0.03% | 9 | 0 | 0.0% | Q1 2014 | Jun 24, 2014 |
| WEDBUSH MORGAN SECURITIES INC | History | No change | 40,443 | 264 | 0.05% | 0.07% | 10 | 0 | 0.0% | Q1 2014 | May 09, 2014 |
| DOLIVER CAPITAL ADVISORS, INC. | History | New | 35,485 | 232 | 0.15% | — | 11 | +35,485 | New | Q1 2014 | May 16, 2014 |
| STIFEL FINANCIAL CORP | History | New | 24,374 | 159 | 0.0% | — | 12 | +24,374 | New | Q1 2014 | May 15, 2014 |
| TFS CAPITAL LLC | History | New | 22,544 | 147 | 0.01% | — | 13 | +22,544 | New | Q1 2014 | May 05, 2014 |
| Shaker Financial Services, LLC | History | No change | 22,446 | 146 | 0.1% | 0.11% | 14 | 0 | 0.0% | Q1 2014 | May 07, 2014 |
| CHESLEY TAFT & ASSOCIATES LLC/IL | History | No change | 12,867 | 84 | 0.01% | 0.01% | 15 | 0 | 0.0% | Q1 2014 | Apr 11, 2014 |
| CITADEL ADVISORS LLC | History | New | 11,306 | 74 | 0.11% | — | 16 | +11,306 | New | Q1 2014 | Aug 08, 2014 |
| LPL Financial LLC | History | Reduced | 10,400 | 68 | 0.0% | 0.0% | 17 | -5,042 | -32.65% | Q1 2014 | May 12, 2014 |
| AMERIPRISE FINANCIAL INC | History | New | 3,680 | 24 | 0.0% | — | 18 | +3,680 | New | Q1 2014 | May 14, 2014 |
| BANK OF AMERICA CORP /DE/ | History | Reduced | 3,392 | 22 | 0.0% | 3.62% | 19 | -30,941 | -90.12% | Q1 2014 | May 15, 2014 |
| UBS AG | History | Added to | 3,199 | 21 | 0.0% | 0.0% | 21 | +2,300 | 255.84% | Q1 2014 | May 16, 2014 |
| ROYAL BANK OF CANADA | History | Added to | 3,160 | 21 | 0.0% | 0.0% | 20 | +67 | 2.17% | Q1 2014 | May 15, 2014 |
| LADENBURG THALMANN FINANCIAL SERVICES INC | History | No change | 1,500 | 10 | 0.0% | 0.0% | 22 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| JNBA Financial Advisors | History | Reduced | 1,150 | 8 | 0.0% | 0.01% | 23 | -300 | -20.69% | Q1 2014 | May 05, 2014 |
| Diversified Trust Co | History | Closed out | 0 | 0 | — | 0.36% | — | -508,681 | -100.0% | Q4 2013 | Feb 10, 2014 |
| Thomas J. Herzfeld Advisors, Inc. | History | Closed out | 0 | 0 | — | 1.0% | — | -251,902 | -100.0% | Q4 2013 | Feb 13, 2014 |
| FINANCIAL COUNSELORS INC | History | Closed out | 0 | 0 | — | 0.05% | — | -86,512 | -100.0% | Q4 2013 | Feb 07, 2014 |
| Platte River Capital LLC | History | Closed out | 0 | 0 | — | 0.04% | — | -40,091 | -100.0% | Q4 2013 | Feb 04, 2014 |
| VALLEY FORGE ASSET MANAGEMENT, LLC | History | Closed out | 0 | 0 | — | 0.02% | — | -36,650 | -100.0% | Q4 2013 | Feb 07, 2014 |
| BARCLAYS PLC | History | Closed out | 0 | 0 | — | 0.0% | — | -20,206 | -100.0% | Q4 2013 | Feb 13, 2014 |
| DEUTSCHE BANK AG\ | History | Closed out | 0 | 0 | — | 0.0% | — | -1,225 | -100.0% | Q4 2013 | Feb 24, 2014 |
| Tower Research Capital LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -1,000 | -100.0% | Q4 2013 | Jan 31, 2014 |
| Winslow, Evans & Crocker, Inc. | History | Closed out | 0 | 0 | — | 0.0% | — | -264 | -100.0% | Q4 2013 | Jan 21, 2014 |