Broadwater Capital Management LLC Japan Smaller Capitalization Fund Inc Transaction History

Broadwater Capital Management LLC

$137 Billion
Q3 2025

Shares

3 transactions

Quarter	Operation	Price Per share	shares change	shares Held	SEC Form
Q2 2025 Oct 30, 2025	SELL	$7.65 - $9.71 $520 - $660	-68 Closed	0 $0
Q1 2025 Oct 30, 2025	SELL	$7.5 - $8.48 $802 - $907	-107 Reduced 61.14%	68 $571,000
Q1 2024 Oct 30, 2025	BUY	$7.5 - $8.03 $1,312 - $1,405	175 New	175 $1.4 Million

Others Institutions Holding JOF

# of Institutions

53

Shares Held

23M

Call Options Held

0

Put Options Held

0

Allspring Global Investments Holdings, LLC

5.49M
Shares

$56.9 Million
0.1% of portfolio
City Of London Investment Management CO LTD London, X0

4.28M
Shares

$44.4 Million
3.85% of portfolio
1607 Capital Partners, LLC Richmond, VA

4.25M
Shares

$44.1 Million
3.33% of portfolio
Lazard Asset Management LLC New York, NY

2.32M
Shares

$24.1 Million
0.04% of portfolio
Saba Capital Management, L.P. New York, NY

2.11M
Shares

$21.9 Million
0.52% of portfolio

About JAPAN SMALLER CAPITALIZATION FUND INC

Ticker JOF
Exchange NYSE
Sector Financial Services
Industry Asset Management
Description
Japan Smaller Capitalization Fund, Inc. is a closed-ended equity mutual fund launched by Nomura Asset Management U.S.A. Inc. It is managed by Nomura Asset Management Co., Ltd. The fund invests in the public equity markets of Japan. It invests in stocks traded on the Tokyo, Osaka and Nagoya Stock Exchanges, JASDAQ, Mothers, Hercules, Centrex, and...

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