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Japan Smaller Capitalization Fund

Name Holding Trade Value Shares
Change
Change in
Stake
CL
26
CSS LLC
Illinois
$233K +$233K +25,402 New
WA
27
WealthTrust Axiom
Pennsylvania
$174K +$4.58K +500 +3%
BNP Paribas Financial Markets
28
BNP Paribas Financial Markets
France
$140K – – –
Ancora Advisors
29
Ancora Advisors
Ohio
$129K – – –
KMC
30
Kirr Marbach & Co
Indiana
$121K – – –
CL
31
Croft-Leominster
Maryland
$121K +$121K +13,200 New
FMA
32
FNY Managed Accounts
New York
$98K +$98.1K +10,700 New
JIR
33
James Investment Research
Ohio
$96K -$32.1K -3,500 -25%
Ameriprise
34
Ameriprise
Minnesota
$31K +$467 +51 +2%
Brandywine Global Investment Management
35
Brandywine Global Investment Management
Pennsylvania
$12K +$11.9K +1,300 New
AIG
36
American International Group
New York
$10K +$9.06K +989 +933%
Ladenburg Thalmann Financial Services
37
Ladenburg Thalmann Financial Services
Florida
$10K – – –
Creative Planning
38
Creative Planning
Kansas
$4K – – –
WEC
39
Winslow Evans & Crocker
Massachusetts
$2K +$1.74K +190 New
Wolverine Asset Management
40
Wolverine Asset Management
Illinois
– -$556K -61,193 Closed
Northern Trust
41
Northern Trust
Illinois
– -$499K -54,881 Closed
DA
42
Doliver Advisors
Texas
– -$192K -21,110 Closed
MAA
43
Mraz Amerine & Associates
California
– -$145K -16,000 Closed
TC
44
TFS Capital
Pennsylvania
– -$121K -13,351 Closed
Citigroup
45
Citigroup
New York
– -$74K -8,170 Closed
Tower Research Capital (TRC)
46
Tower Research Capital (TRC)
New York
– -$3K -278 Closed
WF
47
WealthTrust Fairport
Ohio
– -$1K -145 Closed
Bank of Montreal
48
Bank of Montreal
Ontario, Canada
– -$1K -70 Closed