Notable Holders of JAPAN SMALLER CAPITALIZATION FUND (JOF)
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* Does Not Fully Represent All Holders
| Fund | Title | Shares | % Owned | Source |
|---|---|---|---|---|
| Allspring Global Investments Holdings, LLC | COM | 6,365,689 | N/A | 13F |
| 1607 Capital Partners, LLC | COM | 4,883,418 | N/A | 13F |
| CITY OF LONDON INVESTMENT MANAGEMENT CO LTD | COM | 4,499,713 | N/A | 13F |
| LAZARD ASSET MANAGEMENT LLC | Cl-EndFund Eq 1 | 3,692,291 | N/A | 13F |
| Karpus Management, Inc. | COM | 882,560 | N/A | 13F |
| Gramercy Investment Advisors LLC | COMMON STOCK | 472,205 | N/A | 13F |
| BANK OF AMERICA CORP /DE/ | COM | 443,293 | N/A | 13F |
| Barry Investment Advisors, LLC | COM | 263,453 | N/A | 13F |
| Relative Value Partners Group, LLC | COM | 193,996 | N/A | 13F |
| RAYMOND JAMES & ASSOCIATES | COM | 131,303 | N/A | 13F |
| Cornerstone Advisors, LLC | COM | 127,295 | N/A | 13F |
| RAYMOND JAMES FINANCIAL INC | COM | 106,211 | N/A | 13F |
| Almitas Capital LLC | COM | 92,088 | N/A | 13F |
| Guild Investment Management, Inc. | COM | 89,863 | N/A | 13F |
| Baird Financial Group, Inc. | COMMON | 84,111 | N/A | 13F |
| Prospera Financial Services | COM | 81,727 | N/A | 13F |
| Raffles Associates | COM | 75,683 | N/A | 13F |
| Shaker Financial Services, LLC | COM | 75,633 | N/A | 13F |
| BARD ASSOCIATES INC | COM | 72,557 | N/A | 13F |
| Dynamic Advisors Solutions LLC | COM | 70,914 | N/A | 13F |
| Hudson Portfolio Management LLC | COM | 57,831 | N/A | 13F |
| NOMURA ASSET MANAGEMENT CO LTD | COM | 54,139 | N/A | 13F |
| 6 Meridian | COM | 50,441 | N/A | 13F |
| Benedetti & Gucer, Inc. | COM | 47,300 | N/A | 13F |
| VSR Financial Services, Inc. | COM | 44,000 | N/A | 13F |
| Platte River Capital LLC | COM | 33,500 | N/A | 13F |
| ROBERTS GLORE & CO INC /IL/ | COM | 29,918 | N/A | 13F |
| Cardan Capital Partners, LLC | COM | 25,246 | N/A | 13F |
| Point View Financial Services, Inc. | COM | 24,461 | N/A | 13F |
| UBS AG | COM | 23,942 | N/A | 13F |
| Triasima Portfolio Management inc. | COM | 23,700 | N/A | 13F |
| Oakmont Partners LLC | COM | 19,542 | N/A | 13F |
| SPECTRUM ADVISORY SERVICES INC | COMMON STOCK | 19,453 | N/A | 13F |
| CSS LLC/IL | COM | 19,240 | N/A | 13F |
| Atlas Wealth LLC | Closed End Funds - Taxable | 16,910 | N/A | 13F |
| Waterfront Wealth Inc. | COM | 15,000 | N/A | 13F |
| Seed Wealth Management, Inc. | COM | 12,400 | N/A | 13F |
| Bay Colony Advisory Group, Inc d/b/a Bay Colony Advisors | COM | 11,000 | N/A | 13F |
| PEKIN SINGER STRAUSS ASSET MANAGEMENT /IL | COM | 10,310 | N/A | 13F |
| HighTower Advisors, LLC | COM | 10,063 | N/A | 13F |
| WFG Advisors, LP | COM | 8,873 | N/A | 13F |
| PNC FINANCIAL SERVICES GROUP INC | COM | 6,055 | N/A | 13F |
| BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC | CEF | 5,319 | N/A | 13F |
| WELLS FARGO & CO/MN | COM | 4,413 | N/A | 13F |
| American Portfolios Advisors | COM | 4,200 | N/A | 13F |
| Register Financial Advisors LLC | COM | 3,604 | N/A | 13F |
| BMO FINANCIAL CORP | COM | 2,100 | N/A | 13F |
| US BANCORP \DE\ | COM | 1,525 | N/A | 13F |
| Thomas J. Herzfeld Advisors, Inc. | COM | 1,193 | N/A | 13F |
| Advisor Group, Inc. | COM | 1,000 | N/A | 13F |
| ROYAL BANK OF CANADA \ | COM | 1,000 | N/A | 13F |
| LADENBURG THALMANN FINANCIAL SERVICES INC | COM | 600 | N/A | 13F |
| Ancora Advisors, LLC | INDX FD | 600 | N/A | 13F |
| First Allied Securities, Inc. | COM | 150 | N/A | 13F |
| Fidelity Investments | COM | 1 | N/A | 13F |
| CORNERSTONE ADVISORS INC | Common | 0 | N/A | 13F |
