0001162044-21-001307.txt : 20211027 0001162044-21-001307.hdr.sgml : 20211027 20211027163921 ACCESSION NUMBER: 0001162044-21-001307 CONFORMED SUBMISSION TYPE: NPORT-P PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210831 FILED AS OF DATE: 20211027 PERIOD START: 20211130 FILER: COMPANY DATA: COMPANY CONFORMED NAME: TANAKA FUNDS INC CENTRAL INDEX KEY: 0001051219 IRS NUMBER: 541891278 STATE OF INCORPORATION: MD FISCAL YEAR END: 1130 FILING VALUES: FORM TYPE: NPORT-P SEC ACT: 1940 Act SEC FILE NUMBER: 811-08683 FILM NUMBER: 211353546 BUSINESS ADDRESS: STREET 1: 369 LEXINGTON AVENUE STREET 2: 20TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 2124903380 MAIL ADDRESS: STREET 1: 369 LEXINGTON AVENUE STREET 2: 20TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 0001051219 S000004755 TANAKA Growth Fund C000012945 Class R TGFRX NPORT-P 1 primary_doc.xml NPORT-P false 0001051219 XXXXXXXX S000004755 C000012945 TANAKA FUNDS INC 811-08683 0001051219 54930073LAPJDABRWN22 369 Lexington Avenue 20th Floor New York 10017 212-490-3380 Tanaka Growth Fund S000004755 54930042064FVO6TG342 2021-11-30 2021-08-31 N 24886584.96 46317.41 24840267.55 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 1258462.25 N Accenture PLC N/A Accenture PLC Class A G1151C101 790.00 NS USD 265882.40 1.07 Long EC CORP IE N 1 N N N Aflac, Inc. 549300N0B7DOGLXWPP39 Aflac, Inc. 001055102 16700.00 NS USD 946556.00 3.81 Long EC CORP US N 1 N N N Amazon.com, Inc. ZXTILKJKG63JELOEG630 Amazon.com, Inc. 023135106 188.00 NS USD 652508.52 2.63 Long EC CORP US N 1 N N N Amyris, Inc. 549300BG17WCUK6EIM58 Amyris, Inc. 03236M200 368597.00 NS USD 5547384.85 22.33 Long EC CORP US N 1 N N N Apple, Inc. HWUPKR0MPOU8FGXBT394 Apple, Inc. 037833100 20543.00 NS USD 3119043.69 12.56 Long EC CORP US N 1 N N N Applied Materials, Inc. 41BNNE1AFPNAZELZ6K07 Applied Materials, Inc. 038222105 3870.00 NS USD 522953.10 2.11 Long EC CORP US N 1 N N N BeyondSpring, Inc. N/A BeyondSpring, Inc. G10830100 82595.00 NS USD 2586049.45 10.41 Long EC CORP KY N 1 N N N Catalyst Pharmaceuticals, Inc. 5299004O0R5XXLA5H544 Catalyst Pharmaceuticals, Inc. 14888U101 69598.00 NS USD 383484.98 1.54 Long EC CORP US N 1 N N N Corcept Therapeutics, Inc. 529900EO9LUTFMZ7FF90 Corcept Therapeuticals, Inc. 218352102 16655.00 NS USD 354418.40 1.43 Long EC CORP US N 1 N N N Facebook, Inc. BQ4BKCS1HXDV9HN80Z93 Facebook, Inc. Class A 30303M102 1290.00 NS USD 489400.20 1.97 Long EC CORP US N 1 N N N Honeywell International, Inc. ISRPG12PN4EIEOEMW547 Honeywell International, Inc. 438516106 920.00 NS USD 213357.20 0.86 Long EC CORP US N 1 N N N Ionis Pharmaceuticals, Inc 549300SI4ZGLG0BLUZ92 Ionis Pharmaceuticals, Inc. 462222100 6590.00 NS USD 262018.40 1.05 Long EC CORP US N 1 N N N Lockheed Martin Corp. DPRBOZP0K5RM2YE8UU08 Lockheed Martin Corp. 539830109 1290.00 NS USD 464142.00 1.87 Long EC CORP US N 1 N N N MasterCard, Inc. AR5L2ODV9HN37376R084 MasterCard, Inc. Class A 57636Q104 850.00 NS USD 294295.50 1.18 Long EC CORP US N 1 N N N NVIDIA Corp. 549300S4KLFTLO7GSQ80 NVIDIA Corp. 67066G104 1620.00 NS USD 362637.00 1.46 Long EC CORP US N 1 N N N Nanoco Group PLC 213800HOSJEZO1KOCV33 Nanoco Group PLC GSUKR1566 1400668.00 NS USD 348640.27 1.40 Long EC CORP US N 1 N N N NexGen Energy Ltd. 529900N0IXNXB3IP7F06 Nexgen Energy Ltd. GSCAC9633 171889.00 NS USD 807304.19 3.25 Long EC CORP CA N 1 N N N Onto Innovation, Inc. 549300V1USTYXJ7TNR79 Onto Innovation, Inc. 683344105 15683.00 NS USD 1162580.79 4.68 Long EC CORP US N 1 N N N PepsiCo, Inc. FJSUNZKFNQ5YPJ5OT455 PepsiCo, Inc. 713448108 1800.00 NS USD 281502.00 1.13 Long EC CORP US N 1 N N N Philip Morris International, Inc. HL3H1H2BGXWVG3BSWR90 Philip Morris International, Inc. 718172109 5450.00 NS USD 561350.00 2.26 Long EC CORP US N 1 N N N Qualcomm, Inc. H1J8DDZKZP6H7RWC0H53 Qualcomm, Inc. 747525103 4723.00 NS USD 692816.87 2.79 Long EC CORP US N 1 N N N Stifel Financial Corp. 549300E5F07FE5GHJX84 Stifel Financial Corp. 860630102 11310.00 NS USD 781521.00 3.15 Long EC CORP US N 1 N N N Tesla Motors, Inc. 54930043XZGB27CTOV49 Tesla Motors, Inc. 88160R101 1060.00 NS USD 779863.20 3.14 Long EC CORP US N 1 N N N The Carlyle Group, Inc. 529900NGGVF94UK6PG95 The Carlyle Group, Inc. 14309L102 21925.00 NS USD 1082656.50 4.36 Long EC CORP US N 1 N N N Tower Semiconductor Ltd. 54930086ZSNXZOUX0C54 Tower Semiconductor Ltd. M87915274 10555.00 NS USD 310317.00 1.25 Long EC CORP IL N 1 N N N ViacomCBS, Inc. 5KYC8KF17ROCY24M3H09 ViacomCBS, Inc. Class B 92556H206 7855.00 NS USD 325589.75 1.31 Long EC CORP US N 1 N N N 2021-08-31 Tanaka Funds Inc /s/ Graham Tanaka Graham Tanaka President XXXX NPORT-EX 2 tanakanportex.htm NPORT-EX




Schedule of Investments

August 31, 2021 (unaudited)

Tanaka Growth Fund

 

 

 

 

 

 

 

 

 

 

 

 

 

Shares or Principal

 

 

Security Description

 

 

Amount ($)

 

Fair Value ($)(1)

 

 

 

 

 

 

Common Stocks - 95.00%

 

 

 

 

 

 

 

 

Accident & Health Insurance - 3.81%

 

 

 

 

 

Aflac, Inc.

 

 

 

 

16,700

 

946,556

 

 

 

 

 

 

 

 

Aerospace & Defense - 1.87%

 

 

 

 

 

Lockheed Martin Corp.

 

 

 

1,290

 

464,142

 

 

 

 

 

 

 

 

Asset Management - 4.36%

 

 

 

 

 

The Carlyle Group, Inc.

 

 

 

21,925

 

1,082,657

 

 

 

 

 

 

 

 

Beverages - 1.13%

 

 

 

 

 

 

PepsiCo, Inc.

 

 

 

 

1,800

 

281,502

 

 

 

 

 

 

 

 

Cigarettes - 2.26%

 

 

 

 

 

 

Philip Morris International, Inc.

 

 

5,450

 

561,350

 

 

 

 

 

 

 

 

Credit Services - 1.18%

 

 

 

 

 

MasterCard, Inc. Class A

 

 

 

850

 

294,296

 

 

 

 

 

 

 

 

Electronic Computers - 12.56%

 

 

 

 

 

Apple, Inc.

 

 

 

 

20,543

 

3,119,044

 

 

 

 

 

 

 

 

Industrial Organic Chemicals - 22.33%

 

 

 

 

 

Amyris, Inc. (2)

 

 

 

368,597

 

5,547,385

 

 

 

 

 

 

 

 

Information Technology Services - 1.07%

 

 

 

 

 

Accenture PLC Class A

 

 

 

790

 

265,882

 

 

 

 

 

 

 

 

Measuring & Controlling Device - 4.68%

 

 

 

 

 

Onto Innovation, Inc.  (2)

 

 

 

15,683

 

1,162,581

 

 

 

 

 

 

 

 

Motor Vehicle Parts & Accessories - 0.86%

 

 

 

 

 

Honeywell International, Inc.

 

 

920

 

213,357

 

 

 

 

 

 

 

 

Motor Vehicles & Passenger Car - 3.14%

 

 

 

 

 

Tesla Motors, Inc. (2)

 

 

 

1,060

 

779,863

 

 

 

 

 

 

 

 

Oil & Gas Field Exploration Se - 3.25%

 

 

 

 

 

NexGen Energy Ltd. (2)

 

 

 

171,889

 

807,304

 

 

 

 

 

 

 

 

Pharmaceutical Preparations - 14.44%

 

 

 

 

 

BeyondSpring, Inc.  (2)

 

 

 

82,595

 

2,586,050

Catalyst Pharmaceuticals, Inc.  (2)

 

 

69,598

 

383,485

Corcept Therapeuticals, Inc. (2)

 

 

16,655

 

354,418

Ionis Pharmaceuticals, Inc.  (2)

 

 

6,590

 

262,018

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

3,585,971

 

 

 

 

 

 

 

 

Primary Smelting & Refining of - 0.00%

 

 

 

 

 

Blue Earth Refineries, Inc. (2)

 

 

27,719

 

0

 

 

 

 

 

 

 

 

Radio & TV Broadcasting & Communications Equipment - 2.79%

 

 

 

 

 

Qualcomm, Inc.

 

 

 

4,723

 

692,817

 

 

 

 

 

 

 

 

Retail-Catalog & Mail-Order Houses - 2.63%

 

 

 

 

 

Amazon.com, Inc.  (2)

 

 

 

188

 

652,509

 

 

 

 

 

 

 

 

Security Brokers, Dealers & Flotation Companies - 3.15%

 

 

 

 

 

Stifel Financial Corp.

 

 

 

11,310

 

781,521

 

 

 

 

 

 

 

 

Semiconductors & Related Devices - 4.81%

 

 

 

 

 

Applied Materials

 

 

 

3,870

 

522,953

NVIDIA Corp.

 

 

 

1,620

 

362,637

Tower Semiconductors Ltd. (Israel)  (2)

 

 

10,555

 

310,317

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

1,195,907

 

 

 

 

 

 

 

 

Services-Computer Programming, Data Processing, Etc. - 1.97%

 

 

 

 

 

Facebook, Inc. Class A  (2)

 

 

1,290

 

489,400

 

 

 

 

 

 

 

 

Specialty Chemicals - 1.40%

 

 

 

 

 

Nanoco Group PLC (United Kingdom)  (2)

 

 

1,400,668

 

348,640

 

 

 

 

 

 

 

 

Television Broadcasting Stations - 1.31%

 

 

 

 

 

ViacomCBS, Inc. Class B

 

 

 

7,855

 

325,590

 

 

 

 

 

 

 

 

Total Common Stock

 

 

 

(Cost $             11,267,243)

 

23,598,274

 

 

 

 

 

 

 

 

Short-Term Investments - 5.07%

 

 

 

 

Huntington Conservative Deposit Account (5)

1,258,462

 

1,258,462

 

 

 

 

Total Short-Term Investment Companies

1,258,462

 

1,258,462

 

 

 

 

Total Investments - 100.07%

(Cost $              12,525,706)

 

24,856,736

 

 

 

 

Liabilities in Excess of Other Assets - -.07%

 

 

(16,468)

 

 

 

 

Total Net Assets - 100.00%

 

 

24,840,268

 

 

 

 

 

 

 

 

 

 

 

 

(1)  Statement on Financial Accounting Standard No. 157 "Fair Value Measurements" - Various inputs are used in determining the value of the Fund's investments.

       These inputs are summarized in the three broad levels listed below.

        • Level 1 - quoted prices in active markets for identical securities

        • Level 2 - other significant observable inputs (including quoted prices for similar securities, interest rates, prepayment speeds, credit risk, etc.)

        • Level 3 - significant unobservable inputs (including the Fund's own assumptions in determining the fair value of investments)

 

       The following is a summary of the inputs used as of August 31, 2021 in valuing the Fund's assets carried at fair value:

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Investments in

 

Other Financial

Valuation Inputs

 

 

 

Securities

 

Instruments (9)

Level 1 - Quoted Prices

 

 

$

24,856,736

$

-

Level 2 - Other Significant Observable Inputs

 

 

 

 

-

Level 3 - Significant Unobservable Inputs

 

 

 

 

-

Total

 

 

 

$

24,856,736

$

0

 

 

 

 

 

 

 

 

The inputs or methodology used for valuing securities are not necessarily an indication of the risk associated with investing in those securities. For example, short-term

debt instruments and repurchase agreements with a maturity of less than 60 days are valued using amortized cost, in accordance with rules under the Investment

Company Act of 1940. Generally, amortized cost approximates the current fair value of a security, but since the value is not obtained from a quoted price in an active

market, such securities are reflected as Level 2.

 

 

 

 

 

 

 

 

(2)  Represents non-income producing securities.

(3)  Notional Value is calculated by multiplying outstanding shares by the spot price at August 31, 2021.

(4)  Investment purchased with cash received as securities lending collateral. The yield shown represents the 7-day yield in effect at August 31, 2021.

(5)  Investment in affiliate. The yield shown represents the 7-day yield in effect at August 31, 2021.

(6)  Assets of affiliates to the Conservative Allocation Fund held for the benefit of the Fund's Trustees in connection with the Trustees Deferred Compensation Plan.

(7)  Fair valued security deemed as Level 3 security.

(8)  Exchange-traded fund.

(9)  Other financial instruments are derivative instruments not reflected in the Schedule of Investments, such as futures contracts, which are valued at the unrealized

      appreciation/depreciation on the instrument.