Rockefeller Capital Management L.P. Japan Smaller Capitalization Fund Inc Transaction History

Rockefeller Capital Management L.P.

$34.7 Billion
Q2 2024

Shares

8 transactions

Quarter	Operation	Price Per share	shares change	shares Held	SEC Form
Q2 2022 Aug 12, 2022	SELL	$6.22 - $7.19 $8,863 - $10,245	-1,425 Closed	0 $0
Q4 2021 Feb 14, 2022	BUY	$7.76 - $9.03 $783 - $912	101 Added 7.63%	1,425 $11,000
Q3 2021 Nov 12, 2021	SELL	$8.75 - $9.62 $60,611 - $66,637	-6,927 Reduced 83.95%	1,324 $11,000
Q2 2021 Aug 10, 2021	SELL	$8.78 - $9.53 $44,321 - $48,107	-5,048 Reduced 37.96%	8,251 $74,000
Q1 2021 May 11, 2021	SELL	$8.69 - $9.56 $17,023 - $18,728	-1,959 Reduced 12.84%	13,299 $123,000
Q4 2020 Feb 12, 2021	SELL	$8.25 - $9.8 $27,307 - $32,438	-3,310 Reduced 17.83%	15,258 $137,000
Q3 2020 Nov 13, 2020	BUY	$7.67 - $8.8 $20,256 - $23,240	2,641 Added 16.58%	18,568 $160,000
Q2 2020 Aug 12, 2020	BUY	$6.52 - $8.14 $103,844 - $129,645	15,927 New	15,927 $125,000

Others Institutions Holding JOF

# of Institutions

54

Shares Held

22.4M

Call Options Held

0

Put Options Held

0

Allspring Global Investments Holdings, LLC

5.71M
Shares

$44.6 Million
0.08% of portfolio
1607 Capital Partners, LLC Richmond, VA

5.08M
Shares

$39.7 Million
3.46% of portfolio
City Of London Investment Management CO LTD London, X0

4.9M
Shares

$38.2 Million
3.18% of portfolio
Lazard Asset Management LLC New York, NY

2.54M
Shares

$19.8 Million
0.03% of portfolio
Karpus Management, Inc. Pittsford, NY

1.09M
Shares

$8.49 Million
0.25% 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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