-----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, O9EgtjB81+yp7QXxKjxktp0mtm1f1oaVfjokDt1pEkExI/jQegiYtRy5MoH+io+B LeUnHf+FZEAOzr4xup3Q2Q== 0000732847-06-000011.txt : 20061115 0000732847-06-000011.hdr.sgml : 20061115 20061114174439 ACCESSION NUMBER: 0000732847-06-000011 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20060930 FILED AS OF DATE: 20061115 DATE AS OF CHANGE: 20061114 EFFECTIVENESS DATE: 20061115 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: 061217241 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 fwsm13f.txt FWSM 13 F Q3 2006 United States Securities and Exchange Commission Form 13F Form 13F Cover Page Report for the Calendar Year or Quarter Ended: September 30, 2006 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: 028-00983 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: Mitchell W. Howard Title: V.P., Chief Compliance Officer Phone: (800) 858-0679 Signature, Place, and Date of Signing: /s/ Mitchell W. Howard Pasadena, CA November 14, 2006 Report Type (Check only one) : [X] 13F HOLDINGS REPORT [ ] 13F NOTICE [ ] 13F COMBINATION REPORT List of Other Managers Reporting for this Manager: - ------------------------------------------------------------------------ I am signing this report as required by the Securities Exchange Act of 1934. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: None Form 13F Information Table Entry Totals: 151 Form 13F Information Table Value Total: $377,515,000 List of Other Included Managers: No. 13F File Number Name None VALUE SHRS OR SH/ PUT/ NAME OF ISSUER TITLE CUSIP (X$1000) PRN AMT PRN CALL 21st Century Hldg Co Warrant WRNT 90136Q134 759 151700 SH 21st Century Hldg Co COM 90136Q100 18379 995632 SH Abx Air Inc COM 00080S101 314 55810 SH Ace Cash Express COM 7802 261035 SH Agco Corp COM 001084102 1245 49100 SH Allied Capital Corp New COM 01903Q108 5424 179542 SH Amcomp Inc COM 02342J101 536 55556 SH American Intl Group COM 026874107 543 8200 SH American Physicians COM 028882108 1959 117795 SH American Water Star Inc COM 030409106 1 100000 SH Amerisafe Inc COM 03071H100 1470 150000 SH Andersons Inc COM 034164103 6361 186256 SH Aquila Inc COM 03840P102 43 10000 SH Archer Daniels Midland COM 039483102 235 6200 SH Asta Funding Inc COM 046220109 18889 503828 SH AT & T Inc. COM 00206R102 481 14769 SH Atlantic Tele Network COM 049079205 9577 518213 SH Axesstel Inc COM 05459T101 84 53500 SH Axis Capital Holdings Ltd COM G0692U109 9204 265325 SH BeniHana COM 082047101 267 9200 SH Bridgetech Holdings Intl COM 10845P102 54 25000 SH Candente Resource Group COM 13739Y106 19 25000 SH Carriage Services Inc COM 143905107 6367 1366240 SH Cash America Intl Inc COM 14754D100 8070 206500 SH Center Finl Corp Calif COM 15146E102 290 12186 SH China Bak Battery, Inc COM 16936Y100 347 51629 SH China Expert Technology COM 16938D104 270 108020 SH China Fund Inc. COM 169373107 2220 76353 SH China Housing & Land Deve COM 16939V103 264 121500 SH China Yuchai Internationa COM G21082105 2260 398550 SH Chindex Intl Inc COM 169467107 4119 291107 SH Cleco Corp New COM 12561W105 278 11000 SH Conocophillips COM 20825C104 2192 36820 SH Consumer Port Svcs Inc COM 210502100 153 26400 SH Delta Air Lines Inc PV $3 COM 247361108 14 10000 SH Direct General Corp COM 25456W204 17996 1336999 SH Discovery Bancorp COM 25470B103 370 21242 SH Dorman Products Inc COM 258278100 701 69400 SH Dow Chemical Co. COM 260543103 4444 114000 SH DTE Energy Co Hldgs. COM 233331107 6656 160353 SH Duke Energy Corp COM 26441C105 2419 80100 SH East West Bancorp Inc COM 27579R104 3703 93495 SH Edison International COM 281020107 208 5000 SH EFJ Inc COM 26843B101 440 59500 SH Endurance Speciality Hold COM G30397106 20077 569396 SH Enterprise Products Partn COM 293792107 431 16109 SH Eplus Inc COM 294268107 549 56325 SH Excelligence Learning COM 300684107 923 74599 SH Express 1 Expedited in So COM 30217Q108 112 90500 SH Ezcorp Inc COM 302301106 2144 55434 SH First Cash Financial Serv COM 31942D107 1672 81200 SH First Vietnamese American COM 337468102 178 22000 SH Fresh Delmonte COM G36738105 414 23803 SH Friedman Billings Ramsey COM 358434108 613 76400 SH Gander Mountain Company COM 36471P108 864 122490 SH GATX Corp COM 361448103 910 22000 SH Geo Group Inc COM 36159R103 380 9000 SH Global Aircraft Solutions COM 378964100 11 11000 SH Global Oceanic Carriers L COM 102 78000 SH Great American Finl Res I COM 389915109 825 39400 SH Greater Bay Bancorp COM 391648102 268 9500 SH Greater China Fund Inc. COM 39167B102 6209 327485 SH Hanmi Bank COM 410495105 2399 122410 SH Healthcare Svcs Group COM 421906108 296 11749 SH Helen Of Troy Ltd COM G4388N106 577 32837 SH Hemacare Corp COM 423498104 167 76000 SH Host America Corp COM 44106W100 205 160000 SH Humana Inc COM 444859102 1145 17325 SH Hungarian Tel & Cable Cor COM 445542103 6848 434793 SH Imagenetix Inc COM 45247F104 94 112800 SH Imax Corp. COM 45245E109 10446 2136121 SH Innospec Inc COM 45768S105 4578 154150 SH International Textilin Gr COM 46048V108 206 15400 SH Intl Absorbents Inc New COM 45885E203 1646 545000 SH Intl Displayworks Inc COM 459412102 518 81317 SH Inventure Group Inc. COM 461214108 26 11000 SH ITLA Capital Corp COM 450565106 898 16700 SH Itron Corp. COM 465741106 4006 71787 SH Jakks Pacific COM 47012E106 531 29798 SH Japan Equity Fund Inc COM 471057109 220 27000 SH Japan Smaller Capitalizat COM 47109U104 244 19831 SH Jinpan Intl Ltd COM G5138L100 5338 477056 SH Korean Equity Fd COM 50063B104 322 31000 SH Landec Corp COM 514766104 1137 105273 SH Landry's Restaurant Inc COM 51508L103 419 13900 SH Lannett Company COM 516012101 58 11000 SH Lenox Group Inc COM 526262100 64 10500 SH Livent Inc COM 537902108 0 140000 SH Lo Jack Corp. COM 539451104 765 39032 SH Lone Star Tech COM 542312103 3229 66750 SH Lyondell Chemical Corp COM 552078107 6993 275655 SH Malaysia Fund Inc COM 560905101 160 27600 SH Management Network Grp COM 561693102 17 10000 SH MDU Resources Group Inc COM 552690109 6615 296123 SH Methanex Corp COM 59151K108 5019 206185 SH MetLife Inc COM 59156R108 1122 19800 SH MFRI Inc COM 552721102 513 34642 SH Michael Baker Corp COM 057149106 255 12500 SH Mirant Corp. COM 60467R100 17 12000 SH Mitcham Inds. Inc. COM 606501104 6313 597253 SH Mobile Mini Inc. COM 60740F105 1865 65630 SH Monsanto COM 61166W101 705 15000 SH Montpelier Re Holdings Lt COM G62185106 2729 140750 SH National Atlantic Holding COM 63253Y107 388 33900 SH Natl Western Life Ins COM 638522102 730 3175 SH New Market Corp. COM 651587107 680 11700 SH Nicholas Finl COM 65373J209 335 24225 SH Nokia Corp Spons COM 654902204 345 17500 SH Northern Technologies Int COM 665809109 264 30200 SH Northwest Airlines Inc. COM 667280101 7 10000 SH Oriental Financial Group COM 68618W100 218 18300 SH Overhill Farms COM 690212105 1116 348661 SH Owens Ill Inc Conv Pfd PFD 690768502 515 14700 SH Owens Illinois Inc COM 690768403 2803 181750 SH Pain Care Holdings Inc COM 69562E104 171 119000 SH Paula Financial Del COM 703588103 1187 465548 SH Perma Fix Environmental COM 714157104 85 41250 SH Pfizer Inc COM 717081103 3393 119650 SH PHC Inc Mass Cl A COM 693315103 754 350737 SH PMA Cap Corp Cl A COM 693419202 295 33400 SH Pro-Dex Inc Colo COM 74265M106 1997 1490511 SH Proliance Intl Inc COM 74340R104 426 93300 SH Q.E.P. CO INC COM 74727K102 2088 314031 SH QC Holdings Inc COM 74729T101 429 36000 SH Radio Logics COM 75040K109 166 41400 SH Renaissance Re Holdings L COM G7496G103 13918 250325 SH Rent A Center Inc COM 76009N100 21319 727843 SH River City Bank Mechanics COM 768037103 167 15000 SH Sand Technologies Inc CL COM 799774302 11 25000 SH Seabright Insurance Holdi COM 811656107 2953 211400 SH Seagate Technologies COM G7945J104 9823 425420 SH Seitel Inc COM 816074405 323 87900 SH Service Corp Intl. COM 817565104 11073 1185584 SH Singapore Fd COM 82929L109 808 69100 SH St. Paul's Travelers Co. COM 792860108 10473 223358 SH Stonemor Partners Ltd Par COM 86183Q100 872 40400 SH Sunwin Intl Neutraceutica COM 867877102 161 226137 SH Sweet Success Enterprise COM 87042Q109 117 149600 SH Tag-it Pac Inc COM 873774103 228 237000 SH T-Bay Holdings Inc COM 872237201 520 266740 SH Telestone Technologies Co COM 87953J102 928 185500 SH Thai Capital Fund COM 882905201 2715 256612 SH Tupperware Corp. COM 899896104 14822 761656 SH UCBH Holdings Inc COM 90262T308 1362 77997 SH US Liquid Inc. COM 902974104 0 60000 SH Visiphor Corporation COM 92833P104 2 10000 SH Vita Foods Products Inc COM 928450105 61 25000 SH Warrantech Corp. COM 934648304 18 24800 SH Waste Industries USA, Inc COM 941057101 270 10000 SH Wilshire Bancorp COM 97186T108 3313 173985 SH YP. Net Inc COM 987824109 60 66000 SH INVESTM OTHER VOTING AUTHORITY NAME OF ISSUER DISCRET MANAGERS SOLE SHARED NONE 21st Century Hldg Co Warrant SOLE 117200 34500 21st Century Hldg Co SOLE 64471 931161 Abx Air Inc SOLE 19810 36000 Ace Cash Express SOLE 61401 199634 Agco Corp SOLE 0 49100 Allied Capital Corp New SOLE 27600 151942 Amcomp Inc SOLE 55556 0 American Intl Group SOLE 8200 0 American Physicians SOLE 0 117795 American Water Star Inc SOLE 100000 0 Amerisafe Inc SOLE 95000 55000 Andersons Inc SOLE 11400 174856 Aquila Inc SOLE 0 10000 Archer Daniels Midland SOLE 6200 0 Asta Funding Inc SOLE 15542 488286 AT & T Inc. SOLE 3621 11148 Atlantic Tele Network SOLE 50250 467963 Axesstel Inc SOLE 53500 0 Axis Capital Holdings Ltd SOLE 20150 245175 BeniHana SOLE 0 9200 Bridgetech Holdings Intl SOLE 25000 0 Candente Resource Group SOLE 25000 0 Carriage Services Inc SOLE 100000 1266240 Cash America Intl Inc SOLE 25000 181500 Center Finl Corp Calif SOLE 0 12186 China Bak Battery, Inc SOLE 51629 0 China Expert Technology SOLE 40620 67400 China Fund Inc. SOLE 500 75853 China Housing & Land Deve SOLE 121500 0 China Yuchai Internationa SOLE 0 398550 Chindex Intl Inc SOLE 219627 71480 Cleco Corp New SOLE 0 11000 Conocophillips SOLE 22420 14400 Consumer Port Svcs Inc SOLE 1700 24700 Delta Air Lines Inc PV $3 SOLE 10000 0 Direct General Corp SOLE 125225 1211774 Discovery Bancorp SOLE 21242 0 Dorman Products Inc SOLE 8400 61000 Dow Chemical Co. SOLE 8200 105800 DTE Energy Co Hldgs. SOLE 14400 145953 Duke Energy Corp SOLE 19500 60600 East West Bancorp Inc SOLE 0 93495 Edison International SOLE 5000 0 EFJ Inc SOLE 4000 55500 Endurance Speciality Hold SOLE 89475 479921 Enterprise Products Partn SOLE 10498 5611 Eplus Inc SOLE 0 56325 Excelligence Learning SOLE 8599 66000 Express 1 Expedited in So SOLE 90500 0 Ezcorp Inc SOLE 200 55234 First Cash Financial Serv SOLE 400 80800 First Vietnamese American SOLE 22000 0 Fresh Delmonte SOLE 0 23803 Friedman Billings Ramsey SOLE 1000 75400 Gander Mountain Company SOLE 4690 117800 GATX Corp SOLE 0 22000 Geo Group Inc SOLE 1000 8000 Global Aircraft Solutions SOLE 11000 0 Global Oceanic Carriers L SOLE 78000 0 Great American Finl Res I SOLE 0 39400 Greater Bay Bancorp SOLE 1000 8500 Greater China Fund Inc. SOLE 12699 314786 Hanmi Bank SOLE 0 122410 Healthcare Svcs Group SOLE 337 11412 Helen Of Troy Ltd SOLE 0 32837 Hemacare Corp SOLE 76000 0 Host America Corp SOLE 160000 0 Humana Inc SOLE 500 16825 Hungarian Tel & Cable Cor SOLE 37258 397535 Imagenetix Inc SOLE 3000 109800 Imax Corp. SOLE 192254 1943867 Innospec Inc SOLE 9500 144650 International Textilin Gr SOLE 3000 12400 Intl Absorbents Inc New SOLE 16300 528700 Intl Displayworks Inc SOLE 81317 0 Inventure Group Inc. SOLE 11000 0 ITLA Capital Corp SOLE 0 16700 Itron Corp. SOLE 3121 68666 Jakks Pacific SOLE 20075 9723 Japan Equity Fund Inc SOLE 0 27000 Japan Smaller Capitalizat SOLE 7333 12498 Jinpan Intl Ltd SOLE 9300 467756 Korean Equity Fd SOLE 2000 29000 Landec Corp SOLE 12000 93273 Landry's Restaurant Inc SOLE 0 13900 Lannett Company SOLE 11000 0 Lenox Group Inc SOLE 0 10500 Livent Inc SOLE 140000 0 Lo Jack Corp. SOLE 3000 36032 Lone Star Tech SOLE 650 66100 Lyondell Chemical Corp SOLE 20500 255155 Malaysia Fund Inc SOLE 2000 25600 Management Network Grp SOLE 10000 0 MDU Resources Group Inc SOLE 36600 259523 Methanex Corp SOLE 24000 182185 MetLife Inc SOLE 13800 6000 MFRI Inc SOLE 0 34642 Michael Baker Corp SOLE 1000 11500 Mirant Corp. SOLE 0 12000 Mitcham Inds. Inc. SOLE 41845 555408 Mobile Mini Inc. SOLE 10030 55600 Monsanto SOLE 0 15000 Montpelier Re Holdings Lt SOLE 300 140450 National Atlantic Holding SOLE 0 33900 Natl Western Life Ins SOLE 1300 1875 New Market Corp. SOLE 500 11200 Nicholas Finl SOLE 24225 0 Nokia Corp Spons SOLE 17500 0 Northern Technologies Int SOLE 24800 5400 Northwest Airlines Inc. SOLE 10000 0 Oriental Financial Group SOLE 0 18300 Overhill Farms SOLE 348661 0 Owens Ill Inc Conv Pfd SOLE 0 14700 Owens Illinois Inc SOLE 15350 166400 Pain Care Holdings Inc SOLE 0 119000 Paula Financial Del SOLE 14950 450598 Perma Fix Environmental SOLE 41250 0 Pfizer Inc SOLE 4900 114750 PHC Inc Mass Cl A SOLE 0 350737 PMA Cap Corp Cl A SOLE 10000 23400 Pro-Dex Inc Colo SOLE 74245 1416266 Proliance Intl Inc SOLE 13200 80100 Q.E.P. CO INC SOLE 7278 306753 QC Holdings Inc SOLE 25000 11000 Radio Logics SOLE 5000 36400 Renaissance Re Holdings L SOLE 38700 211625 Rent A Center Inc SOLE 79091 648752 River City Bank Mechanics SOLE 15000 0 Sand Technologies Inc CL SOLE 25000 0 Seabright Insurance Holdi SOLE 67900 143500 Seagate Technologies SOLE 57750 367670 Seitel Inc SOLE 60000 27900 Service Corp Intl. SOLE 63626 1121958 Singapore Fd SOLE 0 69100 St. Paul's Travelers Co. SOLE 39575 183783 Stonemor Partners Ltd Par SOLE 4200 36200 Sunwin Intl Neutraceutica SOLE 229137 0 Sweet Success Enterprise SOLE 149600 0 Tag-it Pac Inc SOLE 25800 211200 T-Bay Holdings Inc SOLE 34100 232640 Telestone Technologies Co SOLE 185000 500 Thai Capital Fund SOLE 2000 254612 Tupperware Corp. SOLE 53700 707956 UCBH Holdings Inc SOLE 0 77997 US Liquid Inc. SOLE 0 60000 Visiphor Corporation SOLE 10000 0 Vita Foods Products Inc SOLE 0 25000 Warrantech Corp. SOLE 15000 9800 Waste Industries USA, Inc SOLE 0 10000 Wilshire Bancorp SOLE 4800 169185 YP. Net Inc SOLE 22000 44000 -----END PRIVACY-ENHANCED MESSAGE-----