Purchases and Sales Made in Q3 2023 in Japan Smaller Capitalization Fund Inc (JOF)
This table provides information about the institutional ownership of Japan Smaller Capitalization Fund Inc (JOF) during Q3 2023. 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 |
|---|---|---|---|---|---|---|---|
|
Oct 27, 2023
Q3 2023
|
Allspring Global Investments Holdings, LLC
|
BUY
|
- |
6.35MNew |
$45.1M - $47.4M
|
6.35M
$50.1M
|
|
|
Nov 09, 2023
Q3 2023
|
Karpus Management, Inc.
Pittsford, NY |
BUY
|
- |
147K+ 16.65% |
$1.04M - $1.1M
|
1.03M
$8.13M
|
|
|
Nov 14, 2023
Q3 2023
|
Raffles Associates LP
New York, NY |
BUY
|
- |
75.7KNew |
$538K - $565K
|
75.7K
$598K
|
|
|
Nov 14, 2023
Q3 2023
|
Susquehanna International Group, LLP
Bala Cynwyd, PA |
BUY
|
- |
22.4KNew |
$159K - $167K
|
22.4K
$177K
|
|
|
Nov 13, 2023
Q3 2023
|
Wolverine Asset Management LLC
|
BUY
|
- |
21.4KNew |
$152K - $160K
|
21.4K
$169K
|
|
|
Nov 08, 2023
Q3 2023
|
High Tower Advisors, LLC
Chicago, IL |
BUY
|
- |
17.4K+ 172.62% |
$124K - $130K
|
27.4K
$217K
|
|
|
Nov 21, 2023
Q3 2023
|
Almitas Capital LLC
Santa Monica, CA |
BUY
|
- |
13K+ 16.38% |
$92.2K - $96.8K
|
92.1K
$727K
|
|
|
Nov 08, 2023
Q3 2023
|
Landscape Capital Management, L.L.C.
|
BUY
|
- |
11.2KNew |
$79.6K - $83.6K
|
11.2K
$88.4K
|
|
|
Nov 02, 2023
Q3 2023
|
Ingalls & Snyder LLC
New York, NY |
BUY
|
- |
10KNew |
$71.1K - $74.7K
|
10K
$79K
|
|
|
Oct 10, 2023
Q3 2023
|
Dynamic Advisor Solutions LLC
|
BUY
|
- |
4.27K+ 6.02% |
$30.4K - $31.9K
|
75.2K
$594K
|
|
|
Nov 13, 2023
Q3 2023
|
Pnc Financial Services Group, Inc.
Pittsburgh, PA |
BUY
|
- |
2.6K+ 19.2% |
$18.5K - $19.4K
|
16.1K
$128K
|
|
|
Nov 13, 2023
Q3 2023
|
Thomas J. Herzfeld Advisors, Inc.
Miami Beach, FL |
BUY
|
- |
1.16KNew |
$8.27K - $8.69K
|
1.16K
$9.19K
|
|
|
Oct 30, 2023
Q3 2023
|
Blue Bell Private Wealth Management, LLC
|
BUY
|
- |
901+ 16.94% |
$6.41K - $6.73K
|
6.22K
$49.1K
|
|
|
Nov 13, 2023
Q3 2023
|
Baird Financial Group, Inc.
Milwaukee, WI |
BUY
|
- |
760+ 0.9% |
$5.4K - $5.68K
|
84.9K
$670K
|
|
|
Nov 13, 2023
Q3 2023
|
Bessemer Group Inc
Woodbridge, NJ |
BUY
|
- |
666New |
$4.74K - $4.98K
|
666
$5.26K
|
|
|
Oct 27, 2023
Q3 2023
|
Gradient Investments LLC
|
BUY
|
- |
400New |
$2.84K - $2.99K
|
400
$3.16K
|
|
|
Oct 23, 2023
Q3 2023
|
Dakota Wealth Management
|
BUY
|
- |
150+ 0.77% |
$1.07K - $1.12K
|
19.7K
$156K
|
|
|
Jul 03, 2024
Q3 2023
|
Mills Wealth Advisors LLC
Southlake, TX |
BUY
|
- |
114+ 0.95% |
$811 - $852
|
12.1K
$95.5K
|
|
|
Oct 30, 2023
Q3 2023
|
Concourse Financial Group Securities, Inc.
Birmingham, AL |
BUY
|
- |
0New |
$0 - $0
|
0
$0
|
|
|
Oct 25, 2023
Q3 2023
|
Concourse Financial Group Securities, Inc.
Birmingham, AL |
BUY
|
- |
0New |
$0 - $0
|
0
$0
|
|
|
Nov 09, 2023
Q3 2023
|
Ubs Group Ag
|
SELL
|
- |
-28- 23.53% |
$199 - $209
|
91
$719
|
|
|
Oct 10, 2023
Q3 2023
|
National Bank Of Canada
|
SELL
|
- |
-115- 3.29% |
$818 - $859
|
3.39K
$26.7K
|
|
|
Nov 14, 2023
Q3 2023
|
Lazard Asset Management LLC
New York, NY |
SELL
|
- |
-1.47K- 0.04% |
$10.5K - $11K
|
3.69M
$29.2M
|
|
|
Nov 02, 2023
Q3 2023
|
Benedetti & Gucer, Inc.
|
SELL
|
- |
-2K- 4.23% |
$14.2K - $14.9K
|
45.3K
$358K
|
|
|
Nov 14, 2023
Q3 2023
|
Peapack Gladstone Financial Corp
Bedminster, NJ |
SELL
|
- |
-2.27K- 17.47% |
$16.1K - $17K
|
10.7K
$84.7K
|
|
|
Nov 03, 2023
Q3 2023
|
Guild Investment Management, Inc.
|
SELL
|
- |
-3K- 3.34% |
$21.3K - $22.4K
|
86.9K
$686K
|
|
|
Nov 13, 2023
Q3 2023
|
Advisor Group Holdings, Inc.
Phoenix, AZ |
SELL
|
- |
-5.15K- 99.04% |
$36.6K - $38.5K
|
50
$395
|
|
|
Nov 13, 2023
Q3 2023
|
Relative Value Partners Group, LLC
Northbrook, IL |
SELL
|
- |
-6.49K- 3.35% |
$46.2K - $48.5K
|
188K
$1.48M
|
|
|
Nov 14, 2023
Q3 2023
|
1607 Capital Partners, LLC
Richmond, VA |
SELL
|
- |
-16.6K- 0.34% |
$118K - $124K
|
4.87M
$38.4M
|
|
|
Nov 13, 2023
Q3 2023
|
Barry Investment Advisors, LLC
|
SELL
|
- |
-18.9K- 7.19% |
$135K - $142K
|
245K
$1.93M
|
|
|
Oct 24, 2023
Q3 2023
|
Raymond James & Associates
St Petersburg, FL |
SELL
|
- |
-35.1K- 26.74% |
$250K - $262K
|
96.2K
$760K
|
|
|
Nov 09, 2023
Q3 2023
|
City Of London Investment Management CO LTD
London, X0 |
SELL
|
- |
-52.3K- 1.16% |
$372K - $391K
|
4.45M
$35.1M
|
|
|
Nov 15, 2023
Q3 2023
|
Morgan Stanley
New York, NY |
SELL
|
- |
-58.8K- 15.74% |
$418K - $439K
|
315K
$2.48M
|
|
|
Nov 09, 2023
Q3 2023
|
Cornerstone Advisors, LLC
Asheville, NC |
SELL
|
- |
-76.8K- 60.37% |
$546K - $574K
|
50.5K
$399K
|