-----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, UCSpJGylKYRRu2lhiSNXjTrd9eBrnKhC/GQfVhMiz6/8dMiB6rJlOmlcjV8hBmMQ e38LHAxmlSsZURN6L3W/zw== 0000732847-09-000023.txt : 20091116 0000732847-09-000023.hdr.sgml : 20091116 20091113183740 ACCESSION NUMBER: 0000732847-09-000023 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091113 FILED AS OF DATE: 20091116 DATE AS OF CHANGE: 20091113 EFFECTIVENESS DATE: 20091116 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: 091183115 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 q30913f.txt FWQ30913F UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2009 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 91106-3171 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: Scott W. Hood Title: President Phone: (626) 796-8990 Signature, Place, and Date of Signing: Scott W. Hood Pasadena, CA September 30, 2009 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: 142 Form13F Information Table Value Total: $433,138 (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 250 61833 SH SOLE 0 61833 ACME UTD CORP COM 004816104 1526 169368 SH SOLE 67376 101992 ALLIED CAP CORP NEW COM 01903Q108 557 181584 SH SOLE 23300 158284 AMERICAN WTR WKS CO INC NEW COM 030420103 21413 1073867 SH SOLE 237811 836056 ANDERSONS INC COM 034164103 4266 121194 SH SOLE 0 121194 ARLINGTON ASSET INVT CORP COM 041356106 236 481790 SH SOLE 0 481790 ASTA FDG INC COM 046220109 5223 690864 SH SOLE 98561 592303 AT&T INC COM 00206R102 248 9187 SH SOLE 3505 5682 ATLANTIC TELE NETWORK INC COM NEW 049079205 31777 594845 SH SOLE 116323 478522 AXIS CAPITAL HOLDINGS SHS G0692U109 5161 171015 SH SOLE 17250 153765 BANK OF AMERICA CORPORATION COM 060505104 2068 122215 SH SOLE 0 122215 BENIHANA INC COM 082047101 492 80742 SH SOLE 0 80742 BLOCK H & R INC COM 093671105 184 10000 SH SOLE 10000 0 BOOTS & COOTS INC COM NEW 099469504 328 203700 SH SOLE 0 203700 CARRIAGE SVCS INC COM 143905107 5493 1408497 SH SOLE 77000 1331497 CASCAL N V COM N1842P109 739 117300 SH SOLE 0 117300 CASH AMER INTL INC COM 14754D100 13557 449493 SH SOLE 60175 389318 CCA INDS INC COM 124867102 536 132289 SH SOLE 5500 126789 CENTER FINL CORP CALIF COM 15146E102 604 158107 SH SOLE 0 158107 CENTRAL GARDEN & PET CO COM 153527106 2181 185624 SH SOLE 0 185624 CENTURYTEL INC COM 156700106 4342 129214 SH SOLE 45593 83621 CHINA BAK BATTERY INC COM 16936Y100 292 58911 SH SOLE 58461 450 CHINA FD INC COM 169373107 6663 275903 SH SOLE 796 275107 CHINA FIRE & SEC GROUP INC COM 16938R103 5982 311537 SH SOLE 6250 305287 CHINA HOUSING & LAND DEV INC COM 16939V103 2316 601491 SH SOLE 392612 208879 CHINA INFORMATION SEC TECH I COM 16944F101 5755 1038880 SH SOLE 279400 759480 CHINA SEC & SURVE TECH INC COM 16942J105 249 34921 SH SOLE 34671 250 CHINA YUCHAI INTL LTD COM G21082105 2203 244774 SH SOLE 0 244774 CHINACAST EDU CORP COM 16946T109 3267 449382 SH SOLE 309732 139650 CHINDEX INTERNATIONAL INC COM 169467107 1399 111181 SH SOLE 63544 47637 CIBER INC COM 17163B102 3667 916763 SH SOLE 258400 658363 CIGNA CORP COM 125509109 281 10000 SH SOLE 10000 0 CNA SURETY CORP COM 12612L108 183 11300 SH SOLE 0 11300 COMPANHIA DE SANEAMENTO BASI SPONSORED ADR 20441A102 19586 516370 SH SOLE 116840 399530 CONOCOPHILLIPS COM 20825c104 759 16815 SH SOLE 1200 15615 CORINTHIAN COLLEGES INC COM 218868107 389 20950 SH SOLE 0 20950 CRAWFORD & CO CL A 224633206 303 93159 SH SOLE 63329 29830 CRM HOLDINGS LTD COM G2554P103 659 665962 SH SOLE 0 665962 DISCOVER FINL SVCS COM 254709108 1794 110550 SH SOLE 0 110550 DORMAN PRODUCTS INC COM 258278100 756 50363 SH SOLE 4205 46158 DUKE ENERGY CORP NEW COM 26441C105 1295 82300 SH SOLE 30500 51800 EAST WEST BANCORP INC COM 27579R104 3621 436270 SH SOLE 50250 386020 EDUCATIONAL DEV CORP COM 281479105 2072 380253 SH SOLE 380253 0 EF JOHNSON TECHNOLOGIES INC COM 26843B101 2639 1969412 SH SOLE 22700 1946712 ENDURANCE SPECIALTY HLDGS LT SHS G30397106 11708 321032 SH SOLE 4350 316682 EPLUS INC COM 294268107 1350 86796 SH SOLE 0 86796 EZCORP INC CL A NON VTG 302301106 1341 98150 SH SOLE 0 98150 FIRST CASH FINL SVCS INC COM 31942D107 2776 162062 SH SOLE 0 162062 FIRST TRUST SPECIALTY FINANC COM BEN INTR 33733G109 1011 188652 SH SOLE 11900 176752 FUSHI COPPERWELD INC COM 36113E107 3161 373689 SH SOLE 250697 122992 GARMIN LTD ORD G37260109 3803 100758 SH SOLE 2000 98758 GATX CORP COM 361448103 587 21013 SH SOLE 0 21013 GENERAL ELECTRIC CO COM 369604103 3670 223496 SH SOLE 15000 208496 GREATER CHINA FD INC COM 39167B102 2795 227978 SH SOLE 7356 220622 GREEN MTN COFFEE ROASTERS IN COM 393122106 332 4500 SH SOLE 0 4500 GRUBB & ELLIS CO COM PAR $0.01 400095204 45 26400 SH SOLE 26400 0 HANMI FINL CORP COM 410495105 335 204336 SH SOLE 46800 157536 HARBIN ELECTRIC INC COM 41145W109 15843 938569 SH SOLE 389047 549522 HARRINGTON WEST FINL GROUP I COM 41383L104 14 11591 SH SOLE 11391 200 HARTFORD FINL SVCS GROUP INC COM 416515104 451 17000 SH SOLE 17000 0 HAWKINS INC COM 420261109 242 10340 SH SOLE 0 10340 HEALTHCARE SVCS GRP INC COM 421906108 201 10930 SH SOLE 430 10500 HEELYS INC COM 42279M107 1427 673176 SH SOLE 36449 636727 HELEN OF TROY CORP LTD COM G4388N106 581 29887 SH SOLE 0 29887 HORSEHEAD HLDG CORP COM 440694305 170 14500 SH SOLE 14500 0 HUMANA INC COM 444859102 1275 34175 SH SOLE 5000 29175 IMAX CORP COM 45245E109 27310 2902255 SH SOLE 510030 2392225 INNOSPEC INC COM 45768S105 8235 558302 SH SOLE 66235 492067 INTERNATIONAL ABSORBENTS INC COM NO PAR 45885E203 3311 945911 SH SOLE 54283 891628 INVENTURE GROUP INC COM 461214108 254 89824 SH SOLE 0 89824 INVITEL HLDGS A/S ADS 46186X106 1492 324390 SH SOLE 29300 295090 JAKKS PAC INC COM 47012E106 355 24798 SH SOLE 20000 4798 JAPAN EQUITY FD INC COM 471057109 143 26200 SH SOLE 1200 25000 JAPAN SMALLER CAPTLZTN FD IN COM 47109U104 192 24298 SH SOLE 11133 13165 JINPAN INTL LTD ORD G5138L100 10833 338421 SH SOLE 74814 263607 KOREA EQUITY FD INC COM 50063B104 241 26694 SH SOLE 2666 24028 KOREA FD COM NEW 500634209 243 7068 SH SOLE 0 7068 LANNET INC COM 516012101 143 19100 SH SOLE 0 19100 LASERCARD CORP COM 51807U101 671 79528 SH SOLE 0 79528 MALAYSIA FD INC COM 560905101 138 19000 SH SOLE 0 19000 MANITEX INTL INC COM 563420108 1387 590050 SH SOLE 375000 215050 MCG CAPITAL CORP COM 58047P107 3435 819731 SH SOLE 231922 587809 MDU RES GROUP INC COM 552690109 4763 228442 SH SOLE 30150 198292 MEDIFAST INC COM 58470H101 326 15000 SH SOLE 15000 0 METHANEX CORP COM 59151K108 1985 114645 SH SOLE 20000 94645 METLIFE INC COM 59156R108 1371 36000 SH SOLE 30000 6000 MICROFINANCIAL INC COM 595072109 566 163200 SH SOLE 0 163200 MILLER INDS INC TENN COM NEW 600551204 2040 185424 SH SOLE 6600 178824 MILLICOM INTL CELLULAR S A SHS NEW L6388F110 6406 88062 SH SOLE 16396 71666 MITCHAM INDS INC COM 606501104 1292 208351 SH SOLE 21650 186701 MOBILE MINI INC COM 60740F105 1130 65088 SH SOLE 0 65088 MONTPELIER RE HOLDINGS LTD SHS G62185106 1184 72550 SH SOLE 0 72550 MOTORCAR PTS AMER INC COM 620071100 2907 567754 SH SOLE 156000 411754 NATIONAL WESTN LIFE INS CO CL A 638522102 511 2901 SH SOLE 800 2101 NETSOL TECHNOLOGIES INC COM NEW 64115A204 412 429285 SH SOLE 0 429285 NEW IRELAND FUND INC COM 645673104 137 16750 SH SOLE 0 16750 NIGHTHAWK RADIOLOGY HLDGS IN COM 65411N105 143 19800 SH SOLE 0 19800 NOKIA CORP SPONSORED ADR 654902204 367 25100 SH SOLE 25100 0 NORTHERN TECH INTL CORP COM 665809109 183 24500 SH SOLE 14800 9700 NUVEEN CA DIV ADV MUNI FD 3 COM SH BEN INT 67070Y109 1801 138518 SH SOLE 138018 500 NUVEEN CA DIV ADVANTG MUN FD COM 67069X104 397 29125 SH SOLE 28900 225 NUVEEN CA DIVIDEND ADV MUN F COM SHS 67066Y105 1327 99842 SH SOLE 99842 0 NUVEEN CA SELECT QUALITY MUN COM 670975101 483 35000 SH SOLE 35000 0 NUVEEN CALIF PERFORM PLUS MU COM 67062Q106 133 10157 SH SOLE 10157 0 OVERHILL FARMS INC COM 690212105 829 137014 SH SOLE 130014 7000 OWENS ILL INC COM NEW 690768403 12090 327642 SH SOLE 44240 283402 PEABODY ENERGY CORP COM 704549104 372 10000 SH SOLE 10000 0 PERMA-FIX ENVIRONMENTAL SVCS COM 714157104 85 36250 SH SOLE 0 36250 PFIZER INC COM 717081103 8515 514524 SH SOLE 21048 493476 PHC INC MASS CL A 693315103 332 272287 SH SOLE 0 272287 PINNACLE DATA SYS INC COM 723454104 615 820590 SH SOLE 820590 0 PRO-DEX INC COLO COM 74265M106 647 1095721 SH SOLE 43345 1052376 QC HLDGS INC COM 74729T101 1183 175316 SH SOLE 23355 151961 RENAISSANCERE HOLDINGS LTD COM G7496G103 13033 238003 SH SOLE 0 238003 RENESOLA LTD SPONS ADS 75971T103 2105 437600 SH SOLE 33500 404100 RENT A CTR INC NEW COM 76009N100 17748 940055 SH SOLE 162901 777154 SANFILIPPO JOHN B & SON INC COM 800422107 265 22828 SH SOLE 7700 15128 SEABRIGHT INSURANCE HLDGS IN COM 811656107 500 43800 SH SOLE 0 43800 SEAGATE TECHNOLOGY SHS G7945J104 3955 260003 SH SOLE 500 259503 SERVICE CORP INTL COM 817565104 6428 916909 SH SOLE 33226 883683 SHINER INTL INC COM 824568109 2655 1924253 SH SOLE 468980 1455273 SIMULATIONS PLUS INC COM 829214105 31 20010 SH SOLE 0 20010 SINGAPORE FD INC COM 82929L109 751 60600 SH SOLE 0 60600 SINOHUB INC COM 82935l101 1653 423917 SH SOLE 423917 0 SPECTRA ENERGY CORP COM 847560109 620 32750 SH SOLE 7750 25000 STARLIMS TECHNOLOGIES LTD SHS M8484K109 963 106326 SH SOLE 0 106326 STEWART ENTERPRISES INC CL A 860370105 94 18000 SH SOLE 18000 0 SUTOR TECH GROUP LTD COM 869362103 159 50434 SH SOLE 50434 0 SUTRON CORP COM 869380105 603 100572 SH SOLE 0 100572 THAI CAP FD INC COM NEW 882905201 2072 213217 SH SOLE 2000 211217 TRANSCEND SERVICES INC COM NEW 893929208 908 51999 SH SOLE 0 51999 TRAVELERS COMPANIES INC COM 89417E109 8558 173844 SH SOLE 34546 139298 TUPPERWARE BRANDS CORP COM 899896104 20419 511489 SH SOLE 42200 469289 UCBH HOLDINGS INC COM 90262T308 16 20097 SH SOLE 0 20097 UNITIL CORP COM 913259107 1728 76950 SH SOLE 0 76950 UNIVERSAL POWER GROUP INC COM 913788105 253 106286 SH SOLE 0 106286 VILLAGE BK & TR FINANCIAL CO COM 92705T101 48 12000 SH SOLE 12000 0 WILSHIRE BANCORP INC COM 97186T108 5284 719950 SH SOLE 88400 631550 WPCS INTL INC COM NEW 92931L203 159 41796 SH SOLE 0 41796 YUCHENG TECHNOLOGIES LTD COM G98777108 652 90975 SH SOLE 8500 82475 ZBB ENERGY CORPORATION COM 98876R204 17 12000 SH SOLE 0 12000 ZHONGPIN INC COM 98952K107 8117 551404 SH SOLE 158625 392779
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