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JOF

Japan Smaller Capitalization Fund
JOF

Name Holding Trade Value Shares
Change 		Change in
Stake
Lazard Asset Management
1
Lazard Asset Management
New York
$22.7M +$23.5M +2,653,042 New
1CP
2
1607 Capital Partners
Virginia
$20.8M +$21.5M +2,426,235 New
Wells Fargo
3
Wells Fargo
California
$8.65M +$8.96M +1,009,905 New
Morgan Stanley
4
Morgan Stanley
New York
$5.14M +$5.32M +600,141 New
FWSM
5
First Wilshire Securities Management
California
$3.99M +$4.13M +465,761 New
RA
6
Rational Advisors
New York
$3.43M – – –
DT
7
Diversified Trust
Tennessee
$1.98M +$2.05M +231,034 New
Royal Bank of Canada
8
Royal Bank of Canada
Ontario, Canada
$1.85M +$1.91M +215,596 New
PRC
9
Platte River Capital
Colorado
$1.48M +$1.53M +172,500 New
STI
10
Susquehanna Trust & Investment
Pennsylvania
$1.47M +$1.52M +171,275 New
U
11
UBS
Switzerland
$1.05M +$1.09M +122,984 New
TC
12
TFS Capital
Pennsylvania
$928K +$960K +108,233 New
TJHA
13
Thomas J. Herzfeld Advisors
Florida
$868K +$899K +101,330 New
Bank of America
14
Bank of America
North Carolina
$860K +$890K +100,304 New
KIM
15
Karpus Investment Management
New York
$744K +$770K +86,769 New
VFAM
16
Valley Forge Asset Management
Pennsylvania
$716K +$741K +83,575 New
SG Americas Securities
17
SG Americas Securities
New York
$583K +$604K +68,044 New
SFS
18
Shaker Financial Services
Virginia
$417K +$431K +48,631 New
VFS
19
VSR Financial Services
Kansas
$377K +$390K +44,000 New
SAS
20
Spectrum Advisory Services
Georgia
$372K +$385K +43,365 New
BA
21
Bard Associates
Illinois
$351K +$363K +40,957 New
WA
22
WFG Advisors
Texas
$293K +$303K +34,157 New
CCP
23
Clough Capital Partners
Massachusetts
$229K +$237K +26,700 New
WA
24
WealthTrust Axiom
Pennsylvania
$171K +$177K +19,995 New
MAA
25
Mraz Amerine & Associates
California
$137K +$142K +16,000 New
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