JAPAN SMALLER CAPITALIZATION FUND INC - JOF
Detailed investor-level table based on 13F positions.
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Allspring Global Investments Holdings, LLC | History | Reduced | 5,075,569 | 55,323 | 0.09% | 0.1% | 1 | -420,293 | -7.65% | Q1 2026 | May 05, 2026 |
| CITY OF LONDON INVESTMENT MANAGEMENT CO LTD | History | Added to | 3,720,009 | 40,548 | 2.94% | 2.89% | 2 | +240,995 | 6.93% | Q1 2026 | May 15, 2026 |
| 1607 Capital Partners, LLC | History | Reduced | 3,584,600 | 39,072 | 2.82% | 3.01% | 3 | -406,075 | -10.18% | Q1 2026 | May 15, 2026 |
| LAZARD ASSET MANAGEMENT LLC | History | Added to | 3,500,613 | 38,156 | 0.06% | 0.07% | 4 | +29,748 | 0.86% | Q1 2026 | May 15, 2026 |
| Saba Capital Management, L.P. | History | Reduced | 1,601,806 | 17,459 | 0.48% | 0.54% | 5 | -30,724 | -1.88% | Q1 2026 | May 15, 2026 |
| MORGAN STANLEY | History | Added to | 535,823 | 5,840 | 0.0% | 0.0% | 6 | +241,248 | 81.9% | Q1 2026 | May 15, 2026 |
| BANK OF AMERICA CORP /DE/ | History | Reduced | 443,293 | 4,831 | 0.0% | 0.0% | 7 | -125,920 | -22.12% | Q1 2026 | May 15, 2026 |
| Karpus Management, Inc. | History | Reduced | 436,454 | 4,757 | 0.15% | 0.19% | 8 | -129,961 | -22.94% | Q1 2026 | May 14, 2026 |
| Almitas Capital LLC | History | Reduced | 402,956 | 4,392 | 0.99% | 1.06% | 9 | -33,029 | -7.58% | Q1 2026 | May 15, 2026 |
| Verition Fund Management LLC | History | New | 255,445 | 2,784 | 0.02% | — | 10 | +255,445 | New | Q1 2026 | May 15, 2026 |
| Pekin Hardy Strauss, Inc. | History | Added to | 234,569 | 2,556 | 0.27% | 0.21% | 11 | +28,649 | 13.91% | Q1 2026 | May 06, 2026 |
| Mraz, Amerine & Associates, Inc. | History | Added to | 195,453 | 2,130 | 0.31% | 0.29% | 12 | +20,743 | 11.87% | Q1 2026 | May 05, 2026 |
| Altium Capital Management LLC | History | Added to | 150,412 | 1,639 | 3.9% | 1.74% | 13 | +110,637 | 278.16% | Q1 2026 | May 01, 2026 |
| LPL Financial LLC | History | Added to | 119,168 | 1,298 | 0.0% | 0.0% | 14 | +61,289 | 105.89% | Q1 2026 | May 06, 2026 |
| Barry Investment Advisors, LLC | History | Added to | 115,517 | 1,259 | 0.28% | 0.28% | 15 | +397 | 0.34% | Q1 2026 | Apr 23, 2026 |
| Focus Partners Wealth | History | Reduced | 111,255 | 1,212 | 0.0% | 0.0% | 16 | -11,034 | -9.02% | Q1 2026 | May 14, 2026 |
| RAFFLES ASSOCIATES LP | History | Reduced | 110,967 | 1,209 | 1.05% | 1.16% | 17 | -28,495 | -20.43% | Q1 2026 | May 15, 2026 |
| RAYMOND JAMES FINANCIAL INC | History | Reduced | 106,211 | 1,157 | 0.0% | 0.0% | 18 | -751 | -0.7% | Q1 2026 | May 14, 2026 |
| Bulldog Investors, LLP | History | Reduced | 104,181 | 1,135 | 0.26% | 0.54% | 19 | -113,260 | -52.09% | Q1 2026 | May 08, 2026 |
| Hara Capital LLC | History | Reduced | 99,964 | 1,089 | 0.54% | 0.7% | 20 | -13,050 | -11.55% | Q1 2026 | May 14, 2026 |
| CIBC WORLD MARKET INC. | History | Added to | 94,348 | 1,028 | 0.0% | 0.0% | 21 | +13,950 | 17.35% | Q1 2026 | May 14, 2026 |
| BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC | History | Added to | 90,057 | 981 | 0.14% | 0.14% | 22 | +4,987 | 5.86% | Q1 2026 | May 11, 2026 |
| Shaker Financial Services, LLC | History | Reduced | 90,079 | 981 | 0.34% | 0.33% | 23 | -3,602 | -3.84% | Q1 2026 | May 12, 2026 |
| Baird Financial Group, Inc. | History | Reduced | 63,423 | 691 | 0.0% | 0.0% | 24 | -505 | -0.79% | Q1 2026 | May 14, 2026 |
| EVOLVE PRIVATE WEALTH, LLC | History | Reduced | 57,744 | 629 | 0.03% | 0.04% | 25 | -146 | -0.25% | Q1 2026 | Apr 16, 2026 |
| Hudson Portfolio Management LLC | History | No change | 50,781 | 553 | 0.47% | 0.48% | 26 | 0 | 0.0% | Q1 2026 | May 14, 2026 |
| Noble Wealth Management PBC | History | Added to | 49,678 | 541 | 0.27% | 0.26% | 27 | +2,300 | 4.85% | Q1 2026 | Apr 02, 2026 |
| Corient Private Wealth LLC | History | New | 41,753 | 455 | 0.0% | — | 28 | +41,753 | New | Q1 2026 | May 15, 2026 |
| BARD ASSOCIATES INC | History | Reduced | 39,222 | 427 | 0.11% | 0.11% | 29 | -70 | -0.18% | Q1 2026 | May 07, 2026 |
| Quantinno Capital Management LP | History | New | 35,286 | 384 | 0.0% | — | 30 | +35,286 | New | Q1 2026 | May 15, 2026 |
| Dynamic Advisor Solutions LLC | History | Reduced | 34,366 | 374 | 0.01% | 0.01% | 31 | -516 | -1.48% | Q1 2026 | Apr 08, 2026 |
| DKM Wealth Management, Inc. | History | No change | 34,001 | 370 | 0.27% | 0.28% | 32 | 0 | 0.0% | Q1 2026 | Apr 10, 2026 |
| SAX WEALTH ADVISORS, LLC | History | No change | 27,225 | 301 | 0.01% | 0.01% | 33 | 0 | 0.0% | Q1 2026 | Apr 08, 2026 |
| CSS LLC/IL | History | New | 25,292 | 275 | 0.01% | — | 34 | +25,292 | New | Q1 2026 | May 15, 2026 |
| Mills Wealth Advisors LLC | History | Added to | 24,820 | 270 | 0.09% | 0.11% | 35 | +2 | 0.01% | Q1 2026 | Apr 24, 2026 |
| BEAM WEALTH ADVISORS, INC. | History | Reduced | 24,500 | 267 | 0.07% | 0.09% | 36 | -6,000 | -19.67% | Q1 2026 | Apr 29, 2026 |
| Triasima Portfolio Management inc. | History | No change | 21,800 | 237 | 0.04% | 0.04% | 37 | 0 | 0.0% | Q1 2026 | Apr 24, 2026 |
| INGALLS & SNYDER LLC | History | No change | 20,000 | 218 | 0.01% | 0.01% | 38 | 0 | 0.0% | Q1 2026 | May 13, 2026 |
| Independent Advisor Alliance | History | New | 19,800 | 215 | 0.0% | — | 39 | +19,800 | New | Q1 2026 | May 12, 2026 |
| ROBERTS GLORE & CO INC /IL/ | History | No change | 17,633 | 192 | 0.05% | 0.05% | 40 | 0 | 0.0% | Q1 2026 | May 04, 2026 |
| Successful Portfolios LLC | History | No change | 15,000 | 159 | 0.09% | 0.09% | 41 | 0 | 0.0% | Q1 2026 | Apr 13, 2026 |
| Quantedge Capital Pte Ltd | History | New | 12,022 | 131 | 0.07% | — | 42 | +12,022 | New | Q1 2026 | May 12, 2026 |
| JANE STREET GROUP, LLC | History | New | 11,470 | 125 | 0.0% | — | 43 | +11,470 | New | Q1 2026 | May 12, 2026 |
| OSAIC HOLDINGS, INC. | History | Added to | 10,472 | 114 | 0.0% | 0.0% | 44 | +1,554 | 17.43% | Q1 2026 | May 15, 2026 |
| WOLVERINE ASSET MANAGEMENT LLC | History | New | 10,321 | 112 | 0.0% | — | 45 | +10,321 | New | Q1 2026 | May 04, 2026 |
| Colonial Trust Advisors | History | Reduced | 6,399 | 69 | 0.01% | 0.01% | 46 | -3,000 | -31.92% | Q1 2026 | May 12, 2026 |
| PNC FINANCIAL SERVICES GROUP, INC. | History | No change | 6,055 | 66 | 0.0% | 0.0% | 47 | 0 | 0.0% | Q1 2026 | May 08, 2026 |
| Western Wealth Management, LLC | History | New | 4,627 | 50 | 0.0% | — | 48 | +4,627 | New | Q1 2026 | May 19, 2026 |
| CWM, LLC | History | No change | 4,506 | 49 | 0.0% | 0.0% | 49 | 0 | 0.0% | Q1 2026 | May 14, 2026 |
| WELLS FARGO & COMPANY/MN | History | Added to | 4,413 | 48 | 0.0% | — | 50 | +4,411 | 220550.0% | Q1 2026 | May 11, 2026 |
| INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC | History | No change | 3,900 | 43 | 0.0% | 0.0% | 51 | 0 | 0.0% | Q1 2026 | May 01, 2026 |
| US BANCORP \DE\ | History | No change | 1,525 | 16 | 0.0% | 0.0% | 52 | 0 | 0.0% | Q1 2026 | May 14, 2026 |
| Thomas J. Herzfeld Advisors, Inc. | History | Reduced | 1,150 | 12 | 0.0% | 0.01% | 53 | -701 | -37.87% | Q1 2026 | May 12, 2026 |
| ROYAL BANK OF CANADA | History | New | 1,000 | 11 | 0.0% | — | 54 | +1,000 | New | Q1 2026 | May 15, 2026 |
| Ancora Advisors LLC | History | No change | 500 | 5 | 0.0% | 0.0% | 55 | 0 | 0.0% | Q1 2026 | May 15, 2026 |
| HIGHLINE WEALTH PARTNERS LLC | History | Reduced | 200 | 2 | 0.0% | 0.0% | 56 | -100 | -33.33% | Q1 2026 | Apr 06, 2026 |
| Spectrum Asset Management, Inc. (NB/CA) | History | Closed out | 0 | 0 | — | 0.17% | — | -47,055 | -100.0% | Q1 2026 | Apr 21, 2026 |
| UBS Group AG | History | Closed out | 0 | 0 | — | 0.0% | — | -8,191 | -100.0% | Q1 2026 | May 05, 2026 |
| BAROMETER CAPITAL MANAGEMENT INC. | History | Closed out | 0 | 0 | — | 0.14% | — | -2,450 | -100.0% | Q1 2026 | May 12, 2026 |
| JPMORGAN CHASE & CO | History | Closed out | 0 | 0 | — | 0.0% | — | -710 | -100.0% | Q1 2026 | May 13, 2026 |
| FLAGSHIP HARBOR ADVISORS, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -200 | -100.0% | Q1 2026 | Apr 28, 2026 |