Lpl Financial LLC Japan Smaller Capitalization Fund Inc Transaction History

Lpl Financial LLC

$218 Billion
Q3 2024

Shares

8 transactions

Quarter	Operation	Price Per share	shares change	shares Held	SEC Form
Q2 2019 Aug 09, 2019	SELL	$8.25 - $8.9 $251,946 - $271,797	-30,539 Closed	0 $0
Q1 2019 May 08, 2019	BUY	$8.35 - $8.94 $35,529 - $38,039	4,255 Added 16.19%	30,539 $268,000
Q4 2018 Feb 07, 2019	BUY	$8.02 - $11.15 $47,622 - $66,208	5,938 Added 29.19%	26,284 $219,000
Q3 2018 Nov 14, 2018	BUY	$10.54 - $11.69 $23,714 - $26,302	2,250 Added 12.43%	20,346 $225,000
Q2 2018 Aug 14, 2018	SELL	$11.66 - $12.53 $699 - $751	-60 Reduced 0.33%	18,096 $211,000
Q1 2018 May 15, 2018	BUY	$11.44 - $13.04 $74,932 - $85,412	6,550 Added 56.44%	18,156 $223,000
Q4 2017 Feb 14, 2018	BUY	$11.73 - $13.74 $17,149 - $20,087	1,462 Added 14.41%	11,606 $137,000
Q3 2017 Nov 14, 2017	BUY	$11.96 - $12.55 $121,322 - $127,307	10,144	10,144 $127,000

Others Institutions Holding JOF

# of Institutions

59

Shares Held

22.6M

Call Options Held

0

Put Options Held

0

Allspring Global Investments Holdings, LLC

5.71M
Shares

$45.5 Million
0.08% of portfolio
1607 Capital Partners, LLC Richmond, VA

5.16M
Shares

$41.1 Million
3.91% of portfolio
City Of London Investment Management CO LTD London, X0

4.58M
Shares

$36.5 Million
3.29% of portfolio
Lazard Asset Management LLC New York, NY

2.25M
Shares

$17.9 Million
0.03% of portfolio
Karpus Management, Inc. Pittsford, NY

1.06M
Shares

$8.43 Million
0.28% 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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