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Japan Smaller Capitalization Fund

Name Holding Trade Value Shares
Change
Change in
Stake
SKK
26
Shepherd Kaplan Krochuk
Massachusetts
$169K – – –
Ancora Advisors
27
Ancora Advisors
Ohio
$156K – – –
WA
28
WFG Advisors
Texas
$153K -$37.1K -3,522 -19%
WA
29
WealthTrust Axiom
Pennsylvania
$153K -$2.63K -250 -2%
LCM
30
Landscape Capital Management
New Jersey
$113K -$65K -6,171 -36%
UBS Group
31
UBS Group
Switzerland
$85K -$6.24K -592 -7%
Creative Planning
32
Creative Planning
Kansas
$75K +$57.3K +5,437 +287%
ARMT
33
Amica Retiree Medical Trust
Rhode Island
$57K – – –
SignatureFD
34
SignatureFD
Georgia
$45K – – –
Royal Bank of Canada
35
Royal Bank of Canada
Ontario, Canada
$41K – – –
JIR
36
James Investment Research
Ohio
$31K – – –
IFP Advisors
37
IFP Advisors
Florida
$22K +$23K +2,184 New
AIG
38
American International Group
New York
$15K – – –
Barclays
39
Barclays
United Kingdom
$10K +$10.5K +1,000 New
Brandywine Global Investment Management
40
Brandywine Global Investment Management
Pennsylvania
$9K – – –
TCOV
41
Trust Company of Vermont
Vermont
$5K +$4.68K +444 New
BBPWM
42
Blue Bell Private Wealth Management
Pennsylvania
$1K – – –
Ladenburg Thalmann Financial Services
43
Ladenburg Thalmann Financial Services
Florida
$1K – – –
MSI Financial Services
44
MSI Financial Services
Massachusetts
$1K +$1.5K +142 New
HPCM
45
High Pointe Capital Management
Illinois
– -$116K -11,428 Closed
Gofen & Glossberg
46
Gofen & Glossberg
Illinois
– -$108K -10,658 Closed
Citigroup
47
Citigroup
New York
– -$4K -400 Closed
Tower Research Capital (TRC)
48
Tower Research Capital (TRC)
New York
– -$1K -53 Closed