-----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, S/aoGuaGm3STN819RESfF/wmNFsjtdeNe9EBy/fLavSxRPIqGdM7R8TBj7OLbhtb TYBQYUqPh4G/xl1JWXnjMQ== 0000732847-10-000023.txt : 20100217 0000732847-10-000023.hdr.sgml : 20100217 20100216182246 ACCESSION NUMBER: 0000732847-10-000023 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091231 FILED AS OF DATE: 20100217 DATE AS OF CHANGE: 20100216 EFFECTIVENESS DATE: 20100217 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: 10610457 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 fwsm13f123109.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: 12/31/2009 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 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 February 10, 2010 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: 155 Form13F Information Table Value Total: $499,008 (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 245 60840 SH SOLE 0 60840 ACME UTD CORP COM 004816104 2261 245802 SH SOLE 67376 178426 AMERICAN CAP LTD COM 02503Y103 108 44400 SH SOLE 0 44400 AMERICAN WTR WKS CO INC NEW COM 030420103 24223 1080901 SH SOLE 237811 843090 ANDERSONS INC COM 034164103 3194 123694 SH SOLE 0 123694 ARLINGTON ASSET INVT CORP CL A NEW 041356205 362 23787 SH SOLE 0 23787 ASTA FDG INC COM 046220109 4880 688312 SH SOLE 98561 589751 AT&T INC COM 00206R102 258 9187 SH SOLE 3505 5682 ATLANTIC TELE NETWORK INC COM NEW 049079205 31898 580494 SH SOLE 116323 464171 AXIS CAPITAL HOLDINGS SHS G0692U109 4773 168015 SH SOLE 17250 150765 BANK OF AMERICA CORPORATION COM 060505104 1839 122081 SH SOLE 0 122081 BENIHANA INC COM 082047101 339 80742 SH SOLE 0 80742 BIOLASE TECHNOLOGY INC COM 090911108 138 72350 SH SOLE 0 72350 BLACKROCK MUNIYIELD CALIF FD COM 09254M105 144 11156 SH SOLE 11156 0 BLOCK H & R INC COM 093671105 226 10000 SH SOLE 10000 0 BOOTS & COOTS INC COM NEW 099469504 1154 699245 SH SOLE 262245 437000 CARRIAGE SVCS INC COM 143905107 5526 1406062 SH SOLE 77000 1329062 CASCAL N V COM N1842P109 1087 200978 SH SOLE 23600 177378 CASH AMER INTL INC COM 14754D100 15595 446085 SH SOLE 60175 385910 CCA INDS INC COM 124867102 749 134930 SH SOLE 5500 129430 CENTER FINL CORP CALIF COM 15146E102 1837 399384 SH SOLE 219377 180007 CENTRAL GARDEN & PET CO COM 153527106 1957 182924 SH SOLE 0 182924 CENTURYTEL INC COM 156700106 4687 129440 SH SOLE 45593 83847 CHINA BAK BATTERY INC COM 16936Y100 76 27410 SH SOLE 27210 200 CHINA FD INC COM 169373107 7273 257716 SH SOLE 796 256920 CHINA FIRE & SEC GROUP INC COM 16938R103 4181 308987 SH SOLE 6250 302737 CHINA HOUSING & LAND DEV INC COM 16939V103 2624 635321 SH SOLE 392612 242709 CHINA INFORMATION SEC TECH I COM 16944F101 6371 1034302 SH SOLE 279400 754902 CHINA PHARMA HLDGS INC COM 16941T104 7749 2012625 SH SOLE 1072000 940625 CHINA SEC & SURVE TECH INC COM 16942J105 265 34671 SH SOLE 34671 0 CHINA SKY ONE MED INC COM 16941P102 200 8800 SH SOLE 8800 0 CHINA YUCHAI INTL LTD COM G21082105 3580 242874 SH SOLE 0 242874 CHINACAST EDU CORP COM 16946T109 4002 529382 SH SOLE 309732 219650 CHINDEX INTERNATIONAL INC COM 169467107 1571 111181 SH SOLE 63544 47637 CIBER INC COM 17163B102 3142 910763 SH SOLE 258400 652363 CIGNA CORP COM 125509109 353 10000 SH SOLE 10000 0 CNA SURETY CORP COM 12612L108 168 11300 SH SOLE 0 11300 COMPANHIA DE SANEAMENTO BASI SPONSORED ADR 20441A102 20239 517365 SH SOLE 116840 400525 CONOCOPHILLIPS COM 20825C104 854 16715 SH SOLE 1100 15615 CORINTHIAN COLLEGES INC COM 218868107 288 20950 SH SOLE 0 20950 CRAWFORD & CO CL A 224633206 310 92859 SH SOLE 63329 29530 CRM HOLDINGS LTD COM G2554P103 221 660519 SH SOLE 0 660519 CVS CAREMARK CORPORATION COM 126650100 290 9000 SH SOLE 9000 0 DISCOVER FINL SVCS COM 254709108 1626 110550 SH SOLE 0 110550 DORMAN PRODUCTS INC COM 258278100 789 50363 SH SOLE 4205 46158 DUKE ENERGY CORP NEW COM 26441C105 1403 81500 SH SOLE 30500 51000 DUOYUAN PRTG INC COM 26605B109 4287 532557 SH SOLE 356057 176500 EAST WEST BANCORP INC COM 27579R104 7310 462670 SH SOLE 50250 412420 EDUCATIONAL DEV CORP COM 281479105 2299 383253 SH SOLE 383253 0 EF JOHNSON TECHNOLOGIES INC COM 26843B101 2174 1958845 SH SOLE 18700 1940145 ENDURANCE SPECIALTY HLDGS LT SHS G30397106 11879 319060 SH SOLE 4350 314710 EPLUS INC COM 294268107 1433 86796 SH SOLE 0 86796 EXCEED COMPANY LTD SHS G32335104 3006 353686 SH SOLE 60950 292736 EZCORP INC CL A NON VTG 302301106 1683 97850 SH SOLE 0 97850 FIRST CASH FINL SVCS INC COM 31942D107 3532 159162 SH SOLE 0 159162 FIRST TRUST SPECIALTY FINANC COM BEN INTR 33733G109 1111 185797 SH SOLE 11900 173897 FUSHI COPPERWELD INC COM 36113E107 4027 397889 SH SOLE 250697 147192 GARMIN LTD ORD G37260109 3073 100100 SH SOLE 2000 98100 GATX CORP COM 361448103 592 20588 SH SOLE 0 20588 GENERAL ELECTRIC CO COM 369604103 3357 221847 SH SOLE 15000 206847 GREATER CHINA FD INC COM 39167B102 2910 209087 SH SOLE 1225 207862 GREEN MTN COFFEE ROASTERS IN COM 393122106 367 4500 SH SOLE 0 4500 GRUBB & ELLIS CO COM PAR $0.01 400095204 34 26400 SH SOLE 26400 0 HANMI FINL CORP COM 410495105 243 202506 SH SOLE 46800 155706 HARBIN ELECTRIC INC COM 41145W109 18829 916677 SH SOLE 384147 532530 HARTFORD FINL SVCS GROUP INC COM 416515104 395 17000 SH SOLE 17000 0 HAWKINS INC COM 420261109 226 10340 SH SOLE 0 10340 HEALTHCARE SVCS GRP INC COM 421906108 235 10930 SH SOLE 430 10500 HEELYS INC COM 42279M107 1464 671526 SH SOLE 36449 635077 HELEN OF TROY CORP LTD COM G4388N106 731 29887 SH SOLE 0 29887 HORSEHEAD HLDG CORP COM 440694305 185 14500 SH SOLE 14500 0 HUMANA INC COM 444859102 1478 33675 SH SOLE 5000 28675 IMAX CORP COM 45245E109 38005 2855407 SH SOLE 510030 2345377 INDIA FD INC COM 454089103 958 31197 SH SOLE 0 31197 INNOSPEC INC COM 45768S105 5549 549966 SH SOLE 66235 483731 INTERNATIONAL ABSORBENTS INC COM NO PAR 45885E203 4325 942329 SH SOLE 54283 888046 INVENTURE GROUP INC COM 461214108 1089 461509 SH SOLE 125357 336152 INVITEL HLDGS A/S ADS 46186X106 1304 288490 SH SOLE 0 288490 JAKKS PAC INC COM 47012E106 301 24798 SH SOLE 20000 4798 JAPAN EQUITY FD INC COM 471057109 127 24200 SH SOLE 1200 23000 JAPAN SMALLER CAPTLZTN FD IN COM 47109U104 178 24298 SH SOLE 11133 13165 JINPAN INTL LTD ORD G5138L100 15740 330191 SH SOLE 74814 255377 KOREA EQUITY FD INC COM 50063B104 247 26694 SH SOLE 2666 24028 KOREA FD COM NEW 500634209 251 7068 SH SOLE 0 7068 KRAFT FOODS INC CL A 50075N104 217 8000 SH SOLE 5000 3000 LANNET INC COM 516012101 156 26400 SH SOLE 0 26400 LASERCARD CORP COM 51807U101 1206 207959 SH SOLE 59752 148207 MALAYSIA FD INC COM 560905101 143 19000 SH SOLE 0 19000 MANITEX INTL INC COM 563420108 1423 741260 SH SOLE 375000 366260 MCG CAPITAL CORP COM 58047P107 3527 816423 SH SOLE 231922 584501 MDU RES GROUP INC COM 552690109 5389 228348 SH SOLE 30150 198198 METHANEX CORP COM 59151K108 2234 114645 SH SOLE 20000 94645 METLIFE INC COM 59156R108 1273 36000 SH SOLE 30000 6000 MICROFINANCIAL INC COM 595072109 503 162300 SH SOLE 0 162300 MILLER INDS INC TENN COM NEW 600551204 2094 184474 SH SOLE 6600 177874 MILLICOM INTL CELLULAR S A SHS NEW L6388F110 6454 87487 SH SOLE 16396 71091 MITCHAM INDS INC COM 606501104 1499 203334 SH SOLE 21650 181684 MOBILE MINI INC COM 60740F105 895 63488 SH SOLE 0 63488 MONTPELIER RE HOLDINGS LTD SHS G62185106 1156 66750 SH SOLE 0 66750 MOTORCAR PTS AMER INC COM 620071100 2973 585214 SH SOLE 156000 429214 NATIONAL WESTN LIFE INS CO CL A 638522102 504 2901 SH SOLE 800 2101 NATURES SUNSHINE PRODUCTS IN COM 639027101 9709 1136908 SH SOLE 244841 892067 NETSOL TECHNOLOGIES INC COM NEW 64115A204 527 492921 SH SOLE 0 492921 NEW IRELAND FUND INC COM 645673104 119 16750 SH SOLE 0 16750 NIGHTHAWK RADIOLOGY HLDGS IN COM 65411N105 89 19650 SH SOLE 0 19650 NOKIA CORP SPONSORED ADR 654902204 323 25100 SH SOLE 25100 0 NUVEEN CA DIV ADV MUNI FD 3 COM SH BEN INT 67070Y109 1780 143518 SH SOLE 143018 500 NUVEEN CA DIV ADVANTG MUN FD COM 67069X104 392 29125 SH SOLE 28900 225 NUVEEN CA DIVIDEND ADV MUN F COM SHS 67066Y105 1238 99842 SH SOLE 99842 0 NUVEEN CA INVT QUALITY MUN F COM 67062A101 155 12100 SH SOLE 12100 0 NUVEEN CA MUN MKT OPPORTUNT COM 67062U107 250 19000 SH SOLE 19000 0 NUVEEN CA SELECT QUALITY MUN COM 670975101 465 35000 SH SOLE 35000 0 NUVEEN CALIF PERFORM PLUS MU COM 67062Q106 572 46157 SH SOLE 46157 0 NUVEEN CALIF QUALITY INCM MU COM 670985100 261 19300 SH SOLE 19300 0 OVERHILL FARMS INC COM 690212105 666 137014 SH SOLE 130014 7000 OWENS ILL INC COM NEW 690768403 10671 324643 SH SOLE 44240 280403 PEABODY ENERGY CORP COM 704549104 452 10000 SH SOLE 10000 0 PERMA-FIX ENVIRONMENTAL SVCS COM 714157104 82 36250 SH SOLE 0 36250 PETSMART INC COM 716768106 338 12650 SH SOLE 12500 150 PFIZER INC COM 717081103 9226 507224 SH SOLE 21048 486176 PHC INC MASS CL A 693315103 308 272287 SH SOLE 0 272287 PINNACLE DATA SYS INC COM 723454104 386 820590 SH SOLE 820590 0 PRO-DEX INC COLO COM 74265M106 542 1073321 SH SOLE 43345 1029976 QC HLDGS INC COM 74729T101 716 148852 SH SOLE 0 148852 RENAISSANCERE HOLDINGS LTD COM G7496G103 12518 235513 SH SOLE 0 235513 RENESOLA LTD SPONS ADS 75971T103 1937 407000 SH SOLE 7000 400000 RENT A CTR INC NEW COM 76009N100 17800 1004537 SH SOLE 162901 841636 SANFILIPPO JOHN B & SON INC COM 800422107 355 22728 SH SOLE 7700 15028 SEABRIGHT INSURANCE HLDGS IN COM 811656107 503 43800 SH SOLE 0 43800 SEAGATE TECHNOLOGY SHS G7945J104 4666 256503 SH SOLE 500 256003 SEARCHMEDIA HOLDINGS LTD SHS G8005Y106 618 84530 SH SOLE 5000 79530 SERVICE CORP INTL COM 817565104 7424 906422 SH SOLE 33226 873196 SHINER INTL INC COM 824568109 2674 1910274 SH SOLE 468980 1441294 SIMULATIONS PLUS INC COM 829214105 28 20010 SH SOLE 0 20010 SINGAPORE FD INC COM 82929L109 793 59600 SH SOLE 0 59600 SINOHUB INC COM 82935L101 618 154575 SH SOLE 154575 0 SPAN AMER MED SYS INC COM 846396109 429 25723 SH SOLE 25723 0 SPECTRA ENERGY CORP COM 847560109 672 32750 SH SOLE 7750 25000 STARLIMS TECHNOLOGIES LTD SHS M8484K109 1456 104826 SH SOLE 0 104826 STEWART ENTERPRISES INC CL A 860370105 93 18000 SH SOLE 18000 0 SUTOR TECH GROUP LTD COM 869362103 134 50434 SH SOLE 50434 0 SUTRON CORP COM 869380105 722 100443 SH SOLE 0 100443 THAI CAP FD INC COM NEW 882905201 2084 212022 SH SOLE 2000 210022 TRANSCEND SERVICES INC COM NEW 893929208 1111 51999 SH SOLE 0 51999 TRAVELERS COMPANIES INC COM 89417E109 8620 172883 SH SOLE 34546 138337 TUPPERWARE BRANDS CORP COM 899896104 22057 473639 SH SOLE 42200 431439 UNITIL CORP COM 913259107 1758 76500 SH SOLE 0 76500 UNIVERSAL POWER GROUP INC COM 913788105 332 107186 SH SOLE 0 107186 VOLT INFORMATION SCIENCES IN COM 928703107 223 22340 SH SOLE 4000 18340 WILSHIRE BANCORP INC COM 97186T108 5482 669334 SH SOLE 46100 623234 WPCS INTL INC COM NEW 92931L203 445 157240 SH SOLE 19900 137340 YONGYE INTL INC COM 98607B106 330 40539 SH SOLE 40539 0 YUCHENG TECHNOLOGIES LTD COM G98777108 2008 235456 SH SOLE 27500 207956 ZBB ENERGY CORPORATION COM 98876R204 14 12000 SH SOLE 0 12000 ZHONGPIN INC COM 98952K107 10202 653535 SH SOLE 200525 453010
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