0000732847-11-000043.txt : 20111115 0000732847-11-000043.hdr.sgml : 20111115 20111114181529 ACCESSION NUMBER: 0000732847-11-000043 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20111115 DATE AS OF CHANGE: 20111114 EFFECTIVENESS DATE: 20111115 FILER: COMPANY DATA: COMPANY CONFORMED NAME: FIRST WILSHIRE SECURITIES MANAGEMENT INC CENTRAL INDEX KEY: 0000732847 IRS NUMBER: 952844956 STATE OF INCORPORATION: CA FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-00983 FILM NUMBER: 111205009 BUSINESS ADDRESS: STREET 1: 1224 EAST GREEN STREET, SUITE 200 CITY: PASADENA STATE: CA ZIP: 91106-3171 BUSINESS PHONE: (626) 796-6622 MAIL ADDRESS: STREET 1: 1224 EAST GREEN STREET, SUITE 200 CITY: PASADENA STATE: CA ZIP: 91106-3171 FORMER COMPANY: FORMER CONFORMED NAME: FIRST WILSHIRE SECURITIES MANAGEMENT INC /CA DATE OF NAME CHANGE: 20010411 13F-HR 1 fwsm13f09302011.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 09/30/2011 Check here if Amendment [ ]; Amendment Number: This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: First Wilshire Securities Management, Inc. Address: 1224 East Green Street Suite 200 Pasadena, CA 91106 13F File Number: 28-00983 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Matthew Dunn Title: Chief Compliance Officer Phone: 626 796 6622 x 119 Signature, Place, and Date of Signing: /s/ Matthew Dunn Pasadena, CA November 14, 2011 Report Type (Check only one.): [ X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form13F Information Table Entry Total: 178 Form13F Information Table Value Total: $513,080 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional managers with respect to which this report is filed, other than the manager filing this report. NONE FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- 21ST CENTY HLDG CO COM 90136Q100 115 49604 SH SOLE 0 49604 ACME UTD CORP COM 004816104 2605 274209 SH SOLE 71776 202433 ADVANCED PHOTONIX INC CL A 00754E107 30 30000 SH SOLE 0 30000 ALASKA AIR GROUP INC COM 011659109 281 5000 SH SOLE 5000 0 AMERICAN CAP LTD COM 02503Y103 226 33200 SH SOLE 0 33200 AMERICAN GREETINGS CORP CL A 026375105 15691 848184 SH SOLE 175609 672575 AMERICAN WTR WKS CO INC NEW COM 030420103 31568 1045980 SH SOLE 237811 808169 AMERICAS CAR MART INC COM 03062T105 1022 35233 SH SOLE 0 35233 ANADARKO PETE CORP COM 032511107 366 5800 SH SOLE 0 5800 ANDERSONS INC COM 034164103 3814 113397 SH SOLE 0 113397 ARCHER DANIELS MIDLAND CO COM 039483102 372 15000 SH SOLE 15000 0 ARLINGTON ASSET INVT CORP CL A NEW 041356205 429 17855 SH SOLE 0 17855 ASTA FDG INC COM 046220109 5136 633349 SH SOLE 98561 534788 AT&T INC COM 00206R102 523 18332 SH SOLE 13350 4982 ATLANTIC TELE NETWORK INC COM NEW 049079205 19330 587881 SH SOLE 114573 473308 AXIS CAPITAL HOLDINGS SHS G0692U109 3639 140299 SH SOLE 17250 123049 BANK COMM HLDGS COM 06424J103 1024 314984 SH SOLE 314984 0 BANK OF AMERICA CORPORATION COM 060505104 618 101021 SH SOLE 0 101021 BARNWELL INDS INC COM 068221100 90 25660 SH SOLE 25660 0 BENIHANA INC COM 082047101 589 68562 SH SOLE 0 68562 BLOCK H & R INC COM 093671105 133 10000 SH SOLE 10000 0 BOFI HLDG INC COM 05566U108 452 33570 SH SOLE 12000 21570 CARRIAGE SVCS INC COM 143905107 7771 1313261 SH SOLE 77000 1236261 CASH AMER INTL INC COM 14754D100 21816 426432 SH SOLE 66175 360257 CASUAL MALE RETAIL GRP INC COM NEW 148711302 2395 637100 SH SOLE 0 637100 CCA INDS INC COM 124867102 720 140426 SH SOLE 5500 134926 CENTER FINL CORP CALIF COM 15146E102 2862 610144 SH SOLE 479377 130767 CENTRAL GARDEN & PET CO COM 153527106 1591 230597 SH SOLE 0 230597 CENTURYLINK INC COM 156700106 3972 119924 SH SOLE 45593 74331 CHINA BAK BATTERY INC COM 16936Y100 22 27410 SH SOLE 27210 200 CHINA FD INC COM 169373107 4928 214276 SH SOLE 796 213480 CHINA GENGSHENG MINERALS INC COM 16942P101 11 12700 SH SOLE 0 12700 CHINA HOUSING & LAND DEV INC COM 16939V103 893 599398 SH SOLE 392612 206786 CHINA INFORMATION TECHNOLOGY COM 16950L109 831 903365 SH SOLE 279400 623965 CHINA PHARMA HLDGS INC COM 16941T104 2004 2065999 SH SOLE 1072900 993099 CHINA YUCHAI INTL LTD COM G21082105 2492 170924 SH SOLE 0 170924 CHINACAST EDU CORP COM 16946T109 3315 898498 SH SOLE 203232 695266 CHINDEX INTERNATIONAL INC COM 169467107 1472 167044 SH SOLE 106857 60187 CIGNA CORP COM 125509109 797 19000 SH SOLE 19000 0 CISCO SYS INC COM 17275R102 950 61300 SH SOLE 50500 10800 COMMERCIAL METALS CO COM 201723103 104 10950 SH SOLE 0 10950 COMPANHIA DE SANEAMENTO BASI SPONSORED ADR 20441A102 24478 528107 SH SOLE 116840 411267 CONOCOPHILLIPS COM 20825C104 1359 21465 SH SOLE 6050 15415 CORINTHIAN COLLEGES INC COM 218868107 19 12150 SH SOLE 0 12150 CRAWFORD & CO CL A 224633206 747 198156 SH SOLE 160179 37977 CVS CAREMARK CORPORATION COM 126650100 437 13000 SH SOLE 9000 4000 DEHAIER MEDICAL SYSTEMS LIMI SHS G27010100 25 12400 SH SOLE 12400 0 DEVRY INC DEL COM 251893103 13350 361214 SH SOLE 50450 310764 DISCOVER FINL SVCS COM 254709108 1957 85311 SH SOLE 0 85311 DORMAN PRODUCTS INC COM 258278100 1406 42555 SH SOLE 4205 38350 DUKE ENERGY CORP NEW COM 26441C105 1557 77900 SH SOLE 30500 47400 EAST WEST BANCORP INC COM 27579R104 5993 401912 SH SOLE 50250 351662 EDUCATIONAL DEV CORP COM 281479105 1974 383253 SH SOLE 383253 0 ENDURANCE SPECIALTY HLDGS LT SHS G30397106 8892 260375 SH SOLE 4350 256025 EPLUS INC COM 294268107 1726 69950 SH SOLE 0 69950 EXCEED COMPANY LTD SHS G32335104 3173 777693 SH SOLE 88800 688893 EXXON MOBIL CORP COM 30231G102 566 7791 SH SOLE 0 7791 EZCORP INC CL A NON VTG 302301106 2351 82375 SH SOLE 0 82375 FARMERS NATL BANC CORP COM 309627107 1919 428305 SH SOLE 0 428305 FEDERAL AGRIC MTG CORP CL C 313148306 19373 1018046 SH SOLE 120847 897199 FIRST CASH FINL SVCS INC COM 31942D107 3821 91090 SH SOLE 0 91090 FIRST TRUST SPECIALTY FINANC COM BEN INTR 33733G109 1097 184681 SH SOLE 11900 172781 FMC TECHNOLOGIES INC COM 30249U101 278 7400 SH SOLE 0 7400 FRONTIER COMMUNICATIONS CORP COM 35906A108 814 133190 SH SOLE 0 133190 FUSHI COPPERWELD INC COM 36113E107 4293 867352 SH SOLE 260697 606655 GARMIN LTD SHS H2906T109 2499 78663 SH SOLE 2000 76663 GATX CORP COM 361448103 463 14938 SH SOLE 0 14938 GENERAL ELECTRIC CO COM 369604103 3191 209681 SH SOLE 15000 194681 GENESEE & WYO INC CL A 371559105 395 8500 SH SOLE 0 8500 GP STRATEGIES CORP COM 36225V104 197 19731 SH SOLE 0 19731 GREATER CHINA FD INC COM 39167B102 2284 234018 SH SOLE 1633 232385 GRUBB & ELLIS CO COM PAR $0.01 400095204 11 26400 SH SOLE 26400 0 HANMI FINL CORP COM 410495105 301 362302 SH SOLE 93600 268702 HARBIN ELECTRIC INC COM 41145W109 4063 196760 SH SOLE 58000 138760 HARTFORD FINL SVCS GROUP INC COM 416515104 360 22300 SH SOLE 22300 0 HEALTHCARE SVCS GRP INC COM 421906108 265 16395 SH SOLE 645 15750 HEELYS INC COM 42279M107 1090 539377 SH SOLE 36449 502928 HELEN OF TROY CORP LTD COM G4388N106 603 23987 SH SOLE 0 23987 HONEYWELL INTL INC COM 438516106 228 5200 SH SOLE 0 5200 HOPFED BANCORP INC COM 439734104 815 142238 SH SOLE 35700 106538 HORNBECK OFFSHORE SVCS INC N COM 440543106 298 11950 SH SOLE 0 11950 HORSEHEAD HLDG CORP COM 440694305 108 14500 SH SOLE 14500 0 HUMANA INC COM 444859102 2300 31626 SH SOLE 5000 26626 IMAX CORP COM 45245E109 11595 800755 SH SOLE 153900 646855 INDIA FD INC COM 454089103 518 22602 SH SOLE 0 22602 INNOSPEC INC COM 45768S105 17028 703345 SH SOLE 86785 616560 INTEL CORP COM 458140100 320 15000 SH SOLE 15000 0 INTERNATIONAL BUSINESS MACHS COM 459200101 525 3000 SH SOLE 3000 0 INTEST CORP COM 461147100 603 228240 SH SOLE 0 228240 INVENTURE FOODS INC COM 461212102 4264 1107541 SH SOLE 317826 789715 ISHARES TR S&P SMLCP GROW 464287887 284 4400 SH SOLE 0 4400 JAPAN EQUITY FD INC COM 471057109 117 22200 SH SOLE 1200 21000 JAPAN SMALLER CAPTLZTN FD IN COM 47109U104 224 30119 SH SOLE 14843 15276 JINPAN INTL LTD ORD G5138L100 9212 1166085 SH SOLE 149628 1016457 JOHNSON & JOHNSON COM 478160104 424 6650 SH SOLE 0 6650 KIRBY CORP COM 497266106 347 6600 SH SOLE 0 6600 KOREA EQUITY FD INC COM 50063B104 282 25228 SH SOLE 2666 22562 KOREA FD COM NEW 500634209 263 7068 SH SOLE 0 7068 KSW INC COM 48268R106 55 17180 SH SOLE 0 17180 LANNET INC COM 516012101 909 237213 SH SOLE 200000 37213 LGL GROUP INC COM 50186A108 581 65969 SH SOLE 0 65969 LILLY ELI & CO COM 532457108 758 20500 SH SOLE 20500 0 LINCOLN EDL SVCS CORP COM 533535100 4268 527568 SH SOLE 72560 455008 LML PMT SYS INC COM 50208P109 38 21350 SH SOLE 0 21350 MALAYSIA FD INC COM 560905101 131 14480 SH SOLE 0 14480 MANITEX INTL INC COM 563420108 3831 1076098 SH SOLE 384500 691598 MANNATECH INC COM 563771104 176 325963 SH SOLE 0 325963 MCG CAPITAL CORP COM 58047P107 2976 751578 SH SOLE 231922 519656 MDU RES GROUP INC COM 552690109 4286 223337 SH SOLE 30150 193187 METHANEX CORP COM 59151K108 2285 109645 SH SOLE 20000 89645 METLIFE INC COM 59156R108 1209 43150 SH SOLE 35000 8150 MICROFINANCIAL INC COM 595072109 626 111750 SH SOLE 0 111750 MICROSOFT CORP COM 594918104 871 35000 SH SOLE 13000 22000 MILLER INDS INC TENN COM NEW 600551204 2640 152166 SH SOLE 6600 145566 MITCHAM INDS INC COM 606501104 2114 188762 SH SOLE 21650 167112 MOBILE MINI INC COM 60740F105 6969 423923 SH SOLE 0 423923 MONSANTO CO NEW COM 61166W101 360 6000 SH SOLE 6000 0 MONTPELIER RE HOLDINGS LTD SHS G62185106 584 33025 SH SOLE 0 33025 MOTORCAR PTS AMER INC COM 620071100 4063 493651 SH SOLE 160135 333516 NAM TAI ELECTRS INC COM PAR $0.02 629865205 152 30986 SH SOLE 0 30986 NATIONAL WESTN LIFE INS CO CL A 638522102 3873 28585 SH SOLE 800 27785 NATURES SUNSHINE PRODUCTS IN COM 639027101 16676 1184380 SH SOLE 245932 938448 NETSOL TECHNOLOGIES INC COM NEW 64115A204 449 786907 SH SOLE 0 786907 NEW IRELAND FUND INC COM 645673104 106 15173 SH SOLE 0 15173 NOKIA CORP SPONSORED ADR 654902204 142 25100 SH SOLE 25100 0 NUTRACEUTICAL INTL CORP COM 67060Y101 1553 121533 SH SOLE 0 121533 NUVEEN CA DIV ADV MUNI FD 3 COM SH BEN INT 67070Y109 1839 143018 SH SOLE 143018 0 NUVEEN CA DIV ADVANTG MUN FD COM 67069X104 647 46025 SH SOLE 45900 125 NUVEEN CA DIVIDEND ADV MUN F COM SHS 67066Y105 1391 102842 SH SOLE 102842 0 NUVEEN CA SELECT QUALITY MUN COM 670975101 512 35000 SH SOLE 35000 0 NUVEEN CALIF PERFORM PLUS MU COM 67062Q106 141 10157 SH SOLE 10157 0 NUVEEN INSD CA PREM INCOME 2 COM 67061U108 612 43182 SH SOLE 43182 0 NUVEEN INSD CALIF DIVID COM 67071M104 618 41038 SH SOLE 41038 0 OVERHILL FARMS INC COM 690212105 605 163460 SH SOLE 130014 33446 OWENS ILL INC COM NEW 690768403 12211 807600 SH SOLE 69940 737660 PEABODY ENERGY CORP COM 704549104 407 12000 SH SOLE 10000 2000 PETMED EXPRESS INC COM 716382106 108 12000 SH SOLE 12000 0 PETSMART INC COM 716768106 540 12650 SH SOLE 12500 150 PFIZER INC COM 717081103 7909 447350 SH SOLE 21048 426302 PHC INC MASS CL A 693315103 497 210487 SH SOLE 0 210487 PRGX GLOBAL INC COM NEW 69357C503 710 150318 SH SOLE 0 150318 PRO-DEX INC COLO COM NEW 74265M205 578 288988 SH SOLE 14447 274541 QC HLDGS INC COM 74729T101 358 122583 SH SOLE 0 122583 RENAISSANCERE HOLDINGS LTD COM G7496G103 3204 50226 SH SOLE 0 50226 RENT A CTR INC NEW COM 76009N100 26062 949424 SH SOLE 162901 786523 ROYAL CARIBBEAN CRUISES LTD COM V7780T103 519 24000 SH SOLE 24000 0 RRSAT GLOBAL COMM NTWRK LTD SHS M8183P102 180 33488 SH SOLE 17300 16188 SANFILIPPO JOHN B & SON INC COM 800422107 553 69956 SH SOLE 7700 62256 SEABRIGHT HOLDINGS INC COM 811656107 274 38000 SH SOLE 0 38000 SEAGATE TECHNOLOGY PLC SHS G7945M107 2296 223523 SH SOLE 500 223023 SERVICE CORP INTL COM 817565104 7643 834429 SH SOLE 33226 801203 SHINER INTL INC COM 824568109 1860 2480275 SH SOLE 988880 1491395 SIMULATIONS PLUS INC COM 829214105 48 15500 SH SOLE 0 15500 SINGAPORE FD INC COM 82929L109 563 49300 SH SOLE 0 49300 SINOHUB INC COM 82935L101 85 154875 SH SOLE 154575 300 SOUTHWALL TECHNOLOGIES INC COM NEW 844909200 722 75216 SH SOLE 75216 0 SPAN AMER MED SYS INC COM 846396109 649 48108 SH SOLE 48108 0 SPECTRA ENERGY CORP COM 847560109 610 24850 SH SOLE 2000 22850 STEWART ENTERPRISES INC CL A 860370105 107 18000 SH SOLE 18000 0 SUTOR TECH GROUP LTD COM 869362103 46 50434 SH SOLE 50434 0 SUTRON CORP COM 869380105 721 148689 SH SOLE 0 148689 THAI CAP FD INC COM NEW 882905201 1668 198865 SH SOLE 2000 196865 TRANSCEND SERVICES INC COM NEW 893929208 1154 51199 SH SOLE 0 51199 TRAVELERS COMPANIES INC COM 89417E109 8206 168398 SH SOLE 44546 123852 TUPPERWARE BRANDS CORP COM 899896104 19579 364333 SH SOLE 42200 322133 UNITIL CORP COM 913259107 1710 66570 SH SOLE 0 66570 UNIVERSAL POWER GROUP INC COM 913788105 186 86326 SH SOLE 0 86326 US ECOLOGY INC COM 91732J102 265 17100 SH SOLE 0 17100 WELLS FARGO & CO NEW COM 949746101 352 14600 SH SOLE 10000 4600 WHOLE FOODS MKT INC COM 966837106 327 5000 SH SOLE 5000 0 WILSHIRE BANCORP INC COM 97186T108 4024 1468495 SH SOLE 926964 541531 WINDSTREAM CORP COM 97381W104 11976 1027957 SH SOLE 319459 708498 WINNER MEDICAL GRP INC COM NEW 97476P204 1471 463912 SH SOLE 0 463912 WOWJOINT HOLDINGS LIMITED *W EXP 05/15/201 G9796W119 3 50000 SH SOLE 50000 0 WPCS INTL INC COM NEW 92931L203 1015 497491 SH SOLE 20000 477491 YONGYE INTL INC COM 98607B106 488 108411 SH SOLE 100 108311 YUCHENG TECHNOLOGIES LTD COM G98777108 1102 382733 SH SOLE 62666 320067 ZHONGPIN INC COM 98952K107 6967 916681 SH SOLE 216525 700156