Purchases and Sales Made in Q3 2021 in Japan Smaller Capitalization Fund Inc (JOF)
This table provides information about the institutional ownership of Japan Smaller Capitalization Fund Inc (JOF) during Q3 2021. The information is specifically focused on institutions that hold shares of JAPAN SMALLER CAPITALIZATION FUND INC.
| Report Date | Institution (Fund) | Operation | Option | Shares change | Value Range | Shares Held | Trade History |
|---|---|---|---|---|---|---|---|
|
Nov 15, 2021
Q3 2021
|
Morgan Stanley
New York, NY |
BUY
|
- |
236KNew |
$2.07M - $2.27M
|
236K
$1.88M
|
|
|
Nov 12, 2021
Q3 2021
|
Relative Value Partners Group, LLC
Northbrook, IL |
BUY
|
- |
103KNew |
$906K - $996K
|
103K
$824K
|
|
|
Nov 12, 2021
Q3 2021
|
City Of London Investment Management CO LTD
London, X0 |
BUY
|
- |
67.8K+ 2.01% |
$593K - $652K
|
3.44M
$27.4M
|
|
|
Nov 12, 2021
Q3 2021
|
Cornerstone Advisors, LLC
Asheville, NC |
BUY
|
- |
53.1K+ 12.62% |
$465K - $511K
|
474K
$3.77M
|
|
|
Nov 12, 2021
Q3 2021
|
Wolverine Asset Management LLC
|
BUY
|
- |
46K+ 28.84% |
$403K - $443K
|
206K
$1.64M
|
|
|
Nov 15, 2021
Q3 2021
|
Quantedge Capital Pte LTD
Singapore, U0 |
BUY
|
- |
31.8K+ 242.03% |
$279K - $306K
|
45K
$358K
|
|
|
Nov 10, 2021
Q3 2021
|
Goldman Sachs Group Inc
New York, NY |
BUY
|
- |
17.4KNew |
$152K - $168K
|
17.4K
$139K
|
|
|
Nov 12, 2021
Q3 2021
|
Bulldog Investors, LLP
Saddle Brook, NJ |
BUY
|
- |
10K+ 7.74% |
$87.5K - $96.2K
|
139K
$1.11M
|
|
|
Oct 26, 2021
Q3 2021
|
Guild Investment Management, Inc.
|
BUY
|
- |
9.56K+ 17.77% |
$83.7K - $92K
|
63.4K
$504K
|
|
|
Oct 07, 2021
Q3 2021
|
Envestnet Asset Management Inc
|
BUY
|
- |
7.35K+ 7.16% |
$64.3K - $70.7K
|
110K
$875K
|
|
|
Oct 21, 2021
Q3 2021
|
Park Avenue Securities LLC
|
BUY
|
- |
7.19K+ 7.1% |
$62.9K - $69.1K
|
108K
$863K
|
|
|
Nov 10, 2021
Q3 2021
|
Blue Bell Private Wealth Management, LLC
|
BUY
|
- |
6.22K+ 1636.84% |
$54.4K - $59.8K
|
6.6K
$52.5K
|
|
|
Nov 12, 2021
Q3 2021
|
Karpus Management, Inc.
Pittsford, NY |
BUY
|
- |
5.6K+ 0.74% |
$49K - $53.9K
|
759K
$6.04M
|
|
|
Nov 02, 2021
Q3 2021
|
Raymond James & Associates
St Petersburg, FL |
BUY
|
- |
2.29K+ 2.64% |
$20.1K - $22K
|
89.1K
$709K
|
|
|
Oct 20, 2021
Q3 2021
|
Integrated Capital Management, Inc.
|
BUY
|
- |
1.92K+ 11.1% |
$16.8K - $18.5K
|
19.2K
$153K
|
|
|
Nov 12, 2021
Q3 2021
|
Baird Financial Group, Inc.
Milwaukee, WI |
BUY
|
- |
314+ 0.51% |
$2.75K - $3.02K
|
61.7K
$491K
|
|
|
Nov 15, 2021
Q3 2021
|
Bank Of America Corp
Charlotte, NC |
BUY
|
- |
217+ 3.3% |
$1.9K - $2.09K
|
6.78K
$54K
|
|
|
Nov 15, 2021
Q3 2021
|
Tower Research Capital LLC (Trc)
New York, NY |
BUY
|
- |
56New |
$490 - $539
|
56
$446
|
|
|
Nov 09, 2021
Q3 2021
|
Concourse Financial Group Securities, Inc.
Birmingham, AL |
BUY
|
- |
0New |
$0 - $0
|
0
$0
|
|
|
Nov 09, 2021
Q3 2021
|
Hudson Portfolio Management LLC
Garrison, NY |
SELL
|
- |
-350- 0.41% |
$3.06K - $3.37K
|
85.6K
$681K
|
|
|
Nov 15, 2021
Q3 2021
|
Ubs Group Ag
|
SELL
|
- |
-373- 15.35% |
$3.26K - $3.59K
|
2.06K
$16.4K
|
|
|
Nov 12, 2021
Q3 2021
|
Bard Associates Inc
Chicago, IL |
SELL
|
- |
-500- 1.86% |
$4.38K - $4.81K
|
26.4K
$210K
|
|
|
Nov 15, 2021
Q3 2021
|
Wells Fargo & Company
San Francisco, CA |
SELL
|
- |
-1.89K- 0.03% |
$16.6K - $18.2K
|
5.86M
$46.7M
|
|
|
Nov 15, 2021
Q3 2021
|
Guggenheim Capital LLC
Chicago, IL |
SELL
|
- |
-1.95K- 7.42% |
$17K - $18.7K
|
24.3K
$194K
|
|
|
Nov 04, 2021
Q3 2021
|
Deutsche Bank Ag\
Frankfurt Am Main, 2M |
SELL
|
- |
-2.4KClosed |
$21K - $23.1K
|
0
$0
|
|
|
Aug 30, 2024
Q3 2021
|
Federation Des Caisses Desjardins Du Quebec
Levis, A8 |
SELL
|
- |
-3KClosed |
$26.3K - $28.9K
|
0
$0
|
|
|
Nov 12, 2021
Q3 2021
|
Pekin Hardy Strauss, Inc.
|
SELL
|
- |
-4.33K- 1.67% |
$37.9K - $41.7K
|
255K
$2.03M
|
|
|
Nov 15, 2021
Q3 2021
|
Graticule Asia Macro Advisors LLC
New York, NY |
SELL
|
- |
-4.5K- 0.87% |
$39.4K - $43.3K
|
513K
$4.09M
|
|
|
Nov 12, 2021
Q3 2021
|
Rockefeller Capital Management L.P.
New York, NY |
SELL
|
- |
-6.93K- 83.95% |
$60.6K - $66.6K
|
1.32K
$10.5K
|
|
|
Oct 12, 2021
Q3 2021
|
Salem Capital Management Inc
|
SELL
|
- |
-8.44K- 5.9% |
$73.9K - $81.2K
|
135K
$1.07M
|
|
|
Nov 15, 2021
Q3 2021
|
Royal Bank Of Canada
Toronto, A6 |
SELL
|
- |
-11.2K- 52.89% |
$98.3K - $108K
|
10K
$79.6K
|
|
|
Oct 26, 2021
Q3 2021
|
Dorchester Wealth Management CO
|
SELL
|
- |
-15.3KClosed |
$133K - $147K
|
0
$0
|
|
|
Nov 08, 2021
Q3 2021
|
Matisse Capital
|
SELL
|
- |
-22.3K- 5.74% |
$195K - $215K
|
366K
$2.92M
|
|
|
Oct 29, 2021
Q3 2021
|
Barry Investment Advisors, LLC
|
SELL
|
- |
-34.6K- 4.0% |
$303K - $333K
|
831K
$6.61M
|
|
|
Nov 15, 2021
Q3 2021
|
Lazard Asset Management LLC
New York, NY |
SELL
|
- |
-44.3K- 1.24% |
$388K - $427K
|
3.53M
$28.1M
|
|
|
Nov 15, 2021
Q3 2021
|
1607 Capital Partners, LLC
Richmond, VA |
SELL
|
- |
-145K- 2.89% |
$1.27M - $1.4M
|
4.87M
$38.8M
|