-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, K1Bh2TurJvm6w6zeqV5yrppwqae8hMU1aqz6zhGGUoRV2YgVPMtrftIbCe7HO6yD u0JQPX42ZtikL8xsTwM9sw== 0000908195-11-000008.txt : 20110302 0000908195-11-000008.hdr.sgml : 20110302 20110302163156 ACCESSION NUMBER: 0000908195-11-000008 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20110302 DATE AS OF CHANGE: 20110302 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: JAPAN EQUITY FUND INC CENTRAL INDEX KEY: 0000866095 IRS NUMBER: 223060893 STATE OF INCORPORATION: MD FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-60837 FILM NUMBER: 11656693 BUSINESS ADDRESS: STREET 1: ONE EVERTRUST PLAZA STREET 2: C/O DAIWA SECURITIES TRUST CO CITY: JERSEY CITY STATE: NJ ZIP: 07302 BUSINESS PHONE: 2019153054 MAIL ADDRESS: STREET 1: DAIWA SECURITIES TRUST CO STREET 2: ONE EVERTRUST PLAZA CITY: JERSEY CITY STATE: NJ ZIP: 07302 FORMER COMPANY: FORMER CONFORMED NAME: JAPAN EMERGING EQUITY FUND INC DATE OF NAME CHANGE: 19920407 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SHUFRO ROSE & CO LLC CENTRAL INDEX KEY: 0000908195 IRS NUMBER: 135390713 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 745 FIFTH AVENUE STREET 2: 26TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10151-2600 BUSINESS PHONE: 2127545100 MAIL ADDRESS: STREET 1: 745 FIFTH AVENUE STREET 2: 26TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10151-2600 FORMER COMPANY: FORMER CONFORMED NAME: SHUFRO ROSE EHRMAN DATE OF NAME CHANGE: 19930624 SC 13G/A 1 japanequityfd2010a.txt OMB APPROVAL OMB Number: 3235-0145 Expires: February 28, 2009 Estimated average burden hours per response. . . 10.4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 6A)* JAPAN EQUITY FUND (Name of Issuer) COMMON (Title of Class of Securities) 471057109 (CUSIP Number) DECEMBER 31, 2010 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ X ] Rule 13d-1(b) [ ] Rule 13d-1(c) [ ] Rule 13d-1(d) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). CUSIP No. 471057109 1. Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). SHUFRO, ROSE & CO., LLC 13-5390713 2. Check the Appropriate Box if a Member of a Group (See Instructions) (a) (b) 3. SEC Use Only 4. Citizenship or Place of Organization NY LLC Number of Shares Beneficially Owned by Each Reporting Person With 5. Sole Voting Power NONE 6. Shared Voting Power NONE 7. Sole Dispositive Power 710,356 8. Shared Dispositive Power NONE 9. Aggregate Amount Beneficially Owned by Each Reporting Person 710,356 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) 11. Percent of Class Represented by Amount in Row (9) 4.92 12. Type of Reporting Person (See Instructions) BD & IA Securities & Exchange Commission Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 Item 1(a). Name of Issuer: JAPAN EQUITY FUND Item 1 (b). Address of issuer's principal executive offices: One EverTrust Plaza, C/O Daiwa Securities Trust Co., Jersey City, NJ 07302 Item 2(a). Name of person filing: SHUFRO, ROSE & CO., LLC Item 2(b). Address of principal business office: 745 Fifth Avenue, Suite 2600, New York, NY 10151 Item 2(c). Citizenship: NY LLC Item 2(D). Title of class of securities: Common Item 2(e). CUSIP No.: 471057109 Item 3. If this statement is filed pursuant to rule 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a: (a) [X] Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o). (e) [X] An investment adviser in accordance with rule 240.13d-1(b)(1)(ii)(E); (b), (c), (d), (f), (g), (h), (i), & (j) Not Applicable. Item 4. Ownership. Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. (a) Amount beneficially owned: 710,356 (b) Percent of class: 4.92% (c ) Number of shares as to which person has: (i) Sole power to vote or to direct the vote None. (ii) Shared power to vote or to direct to vote None. (iii) Sole power to dispose or to direct the disposition of 710,356 (iv) Shared power to dispose or to direct the disposition of None. Item 5. Ownership of 5 percent or less of a Class. If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than 5 percent of the class of securities, check the following [ X ] Item 6. Ownership of more than 5 percent on behalf of another person. Not applicable. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company. Not applicable. Item 8. Identification and Classification of Members of the Group. Not applicable. Item 9. Notice of Dissolution of Group. Not applicable. Item 10. Certification. (a) The following certification shall be included if the statement is filed pursuant to rule 240.13d-1(b): By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. Signature After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. SHUFRO ROSE & CO., LLC Dated: March 2, 2011 ___________________________ Signature BY: Steven J. Glass Sr. Managing Director The original statement shall be signed by each person on whose behalf the statement is filed or his authorized representative. If the statement is signed on behalf of a person by his authorized representative other than an executive officer or general partner of the filing person, evidence of the representatives authority to sign on behalf of such person shall be filed with the statement, provided, however, that a power of attorney for this purpose which is already on file with the Commission may be incorporated by reference. The name and any title of each person who signs the statement shall be typed or printed beneath his signature. -----END PRIVACY-ENHANCED MESSAGE-----