0000732847-11-000041.txt : 20110815 0000732847-11-000041.hdr.sgml : 20110815 20110815160813 ACCESSION NUMBER: 0000732847-11-000041 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110630 FILED AS OF DATE: 20110815 DATE AS OF CHANGE: 20110815 EFFECTIVENESS DATE: 20110815 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: 111036339 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 fwsm13f06302011.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: 06/30/2011 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 August 12, 2011 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: 186 Form13F Information Table Value Total: $646,091 (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 140 51290 SH SOLE 0 51290 ACME UTD CORP COM 004816104 2624 277309 SH SOLE 71776 205533 ADVANCED PHOTONIX INC CL A 00754E107 44 30000 SH SOLE 0 30000 ALASKA AIR GROUP INC COM 011659109 342 5000 SH SOLE 5000 0 AMERICAN CAP LTD COM 02503Y103 313 33200 SH SOLE 0 33200 AMERICAN GREETINGS CORP CL A 026375105 20638 859359 SH SOLE 175609 683750 AMERICAN WTR WKS CO INC NEW COM 030420103 31246 1062026 SH SOLE 237811 824215 AMERICAS CAR MART INC COM 03062T105 1163 35233 SH SOLE 0 35233 ANADARKO PETE CORP COM 032511107 445 5800 SH SOLE 0 5800 ANDERSONS INC COM 034164103 4863 115097 SH SOLE 0 115097 ARCH COAL INC COM 039380100 204 7650 SH SOLE 0 7650 ARCHER DANIELS MIDLAND CO COM 039483102 302 10000 SH SOLE 10000 0 ARLINGTON ASSET INVT CORP CL A NEW 041356205 595 19000 SH SOLE 0 19000 ASTA FDG INC COM 046220109 5406 645796 SH SOLE 98561 547235 AT&T INC COM 00206R102 576 18332 SH SOLE 13350 4982 ATLANTIC TELE NETWORK INC COM NEW 049079205 22900 597784 SH SOLE 114573 483211 AXIS CAPITAL HOLDINGS SHS G0692U109 4450 143749 SH SOLE 17250 126499 BANK COMM HLDGS COM 06424J103 1323 314984 SH SOLE 314984 0 BANK OF AMERICA CORPORATION COM 060505104 1125 102643 SH SOLE 0 102643 BARNWELL INDS INC COM 068221100 132 25660 SH SOLE 25660 0 BENIHANA INC COM 082047101 729 69962 SH SOLE 0 69962 BLACKROCK MUNIYIELD CALIF FD COM 09254M105 170 12297 SH SOLE 12297 0 BLOCK H & R INC COM 093671105 160 10000 SH SOLE 10000 0 BOFI HLDG INC COM 05566U108 484 33570 SH SOLE 12000 21570 CARRIAGE SVCS INC COM 143905107 7477 1323935 SH SOLE 77000 1246935 CASH AMER INTL INC COM 14754D100 25417 439652 SH SOLE 66175 373477 CASUAL MALE RETAIL GRP INC COM NEW 148711302 2672 643754 SH SOLE 0 643754 CCA INDS INC COM 124867102 901 145956 SH SOLE 5500 140456 CENTER FINL CORP CALIF COM 15146E102 3893 613444 SH SOLE 479377 134067 CENTRAL GARDEN & PET CO COM 153527106 2419 233047 SH SOLE 0 233047 CENTURYLINK INC COM 156700106 4881 120734 SH SOLE 45593 75141 CHINA BAK BATTERY INC COM 16936Y100 28 27410 SH SOLE 27210 200 CHINA FD INC COM 169373107 6832 218617 SH SOLE 796 217821 CHINA HOUSING & LAND DEV INC COM 16939V103 841 600698 SH SOLE 392612 208086 CHINA INFORMATION TECHNOLOGY COM 16950L109 1943 934265 SH SOLE 279400 654865 CHINA PHARMA HLDGS INC COM 16941T104 4720 2097599 SH SOLE 1072900 1024699 CHINA SEC & SURVE TECH INC COM 16942J105 274 51671 SH SOLE 44671 7000 CHINA YUCHAI INTL LTD COM G21082105 3728 177474 SH SOLE 0 177474 CHINACAST EDU CORP COM 16946T109 3565 688197 SH SOLE 203232 484965 CHINDEX INTERNATIONAL INC COM 169467107 2099 154144 SH SOLE 106857 47287 CIGNA CORP COM 125509109 977 19000 SH SOLE 19000 0 CISCO SYS INC COM 17275R102 949 60800 SH SOLE 50500 10300 CLECO CORP NEW COM 12561W105 200 5750 SH SOLE 0 5750 COMMERCIAL METALS CO COM 201723103 157 10950 SH SOLE 0 10950 COMPANHIA DE SANEAMENTO BASI SPONSORED ADR 20441A102 31899 535157 SH SOLE 116840 418317 CONOCOPHILLIPS COM 20825C104 1629 21665 SH SOLE 6050 15615 CORINTHIAN COLLEGES INC COM 218868107 52 12150 SH SOLE 0 12150 CRAWFORD & CO CL A 224633206 984 195556 SH SOLE 160179 35377 CVS CAREMARK CORPORATION COM 126650100 479 12750 SH SOLE 9000 3750 DEVRY INC DEL COM 251893103 16575 280539 SH SOLE 50450 230089 DISCOVER FINL SVCS COM 254709108 2290 85611 SH SOLE 0 85611 DORMAN PRODUCTS INC COM 258278100 1761 44495 SH SOLE 4205 40290 DUKE ENERGY CORP NEW COM 26441C105 1506 80000 SH SOLE 30500 49500 EAST WEST BANCORP INC COM 27579R104 8255 409357 SH SOLE 50250 359107 EDUCATIONAL DEV CORP COM 281479105 2066 383253 SH SOLE 383253 0 ENDURANCE SPECIALTY HLDGS LT SHS G30397106 10963 265248 SH SOLE 4350 260898 EPLUS INC COM 294268107 1897 71759 SH SOLE 0 71759 EXCEED COMPANY LTD SHS G32335104 2172 453498 SH SOLE 88800 364698 EXXON MOBIL CORP COM 30231G102 634 7791 SH SOLE 0 7791 EZCORP INC CL A NON VTG 302301106 2952 82975 SH SOLE 0 82975 FEDERAL AGRIC MTG CORP CL C 313148306 22616 1023567 SH SOLE 116183 907384 FIRST CASH FINL SVCS INC COM 31942D107 5250 125940 SH SOLE 0 125940 FIRST TRUST SPECIALTY FINANC COM BEN INTR 33733G109 1407 187913 SH SOLE 11900 176013 FMC TECHNOLOGIES INC COM 30249U101 331 7400 SH SOLE 0 7400 FRONTIER COMMUNICATIONS CORP COM 35906A108 1090 136176 SH SOLE 0 136176 FUSHI COPPERWELD INC COM 36113E107 4036 706029 SH SOLE 260697 445332 GARMIN LTD SHS H2906T109 2649 80513 SH SOLE 2000 78513 GATX CORP COM 361448103 571 15388 SH SOLE 0 15388 GENERAL ELECTRIC CO COM 369604103 4004 212654 SH SOLE 15000 197654 GENESEE & WYO INC CL A 371559105 498 8500 SH SOLE 0 8500 GP STRATEGIES CORP COM 36225V104 270 19731 SH SOLE 0 19731 GREATER CHINA FD INC COM 39167B102 3056 240655 SH SOLE 1633 239022 GRUBB & ELLIS CO COM PAR $0.01 400095204 9 26400 SH SOLE 26400 0 HANMI FINL CORP COM 410495105 388 362545 SH SOLE 93600 268945 HARBIN ELECTRIC INC COM 41145W109 7932 525624 SH SOLE 191004 334620 HARTFORD FINL SVCS GROUP INC COM 416515104 448 17000 SH SOLE 17000 0 HEALTHCARE SVCS GRP INC COM 421906108 266 16395 SH SOLE 645 15750 HEELYS INC COM 42279M107 1301 571436 SH SOLE 36449 534987 HELEN OF TROY CORP LTD COM G4388N106 859 24887 SH SOLE 0 24887 HONEYWELL INTL INC COM 438516106 310 5200 SH SOLE 0 5200 HOPFED BANCORP INC COM 439734104 1128 142595 SH SOLE 35700 106895 HORNBECK OFFSHORE SVCS INC N COM 440543106 329 11950 SH SOLE 0 11950 HORSEHEAD HLDG CORP COM 440694305 193 14500 SH SOLE 14500 0 HUMANA INC COM 444859102 2555 31726 SH SOLE 5000 26726 IMAX CORP COM 45245E109 26127 806530 SH SOLE 153900 652630 INDIA FD INC COM 454089103 695 22935 SH SOLE 0 22935 INNOSPEC INC COM 45768S105 19277 573535 SH SOLE 66235 507300 INTEL CORP COM 458140100 332 15000 SH SOLE 15000 0 INTERNATIONAL BUSINESS MACHS COM 459200101 515 3000 SH SOLE 3000 0 INTEST CORP COM 461147100 767 228240 SH SOLE 0 228240 INVENTURE FOODS INC COM 461212102 4434 1115528 SH SOLE 317826 797702 ISHARES TR S&P SMLCP GROW 464287887 330 4100 SH SOLE 0 4100 JAKKS PAC INC COM 47012E106 457 24798 SH SOLE 20000 4798 JAPAN EQUITY FD INC COM 471057109 135 22200 SH SOLE 1200 21000 JAPAN SMALLER CAPTLZTN FD IN COM 47109U104 192 23298 SH SOLE 11133 12165 JINPAN INTL LTD ORD G5138L100 10611 949150 SH SOLE 149628 799522 JOHNSON & JOHNSON COM 478160104 436 6550 SH SOLE 0 6550 KIRBY CORP COM 497266106 374 6600 SH SOLE 0 6600 KOREA EQUITY FD INC COM 50063B104 365 25228 SH SOLE 2666 22562 KOREA FD COM NEW 500634209 348 7068 SH SOLE 0 7068 KSW INC COM 48268R106 67 17180 SH SOLE 0 17180 LANNET INC COM 516012101 1181 237213 SH SOLE 200000 37213 LGL GROUP INC COM 50186A108 652 65969 SH SOLE 0 65969 LILLY ELI & CO COM 532457108 769 20500 SH SOLE 20500 0 LINCOLN EDL SVCS CORP COM 533535100 9182 536268 SH SOLE 72560 463708 LML PMT SYS INC COM 50208P109 84 21350 SH SOLE 0 21350 MALAYSIA FD INC COM 560905101 163 14480 SH SOLE 0 14480 MANITEX INTL INC COM 563420108 5890 1067021 SH SOLE 384500 682521 MANNATECH INC COM 563771104 313 325963 SH SOLE 0 325963 MARATHON OIL CORP COM 565849106 298 5650 SH SOLE 0 5650 MCG CAPITAL CORP COM 58047P107 4634 762702 SH SOLE 231922 530780 MDU RES GROUP INC COM 552690109 5107 226994 SH SOLE 30150 196844 METHANEX CORP COM 59151K108 3513 111945 SH SOLE 20000 91945 METLIFE INC COM 59156R108 1886 43000 SH SOLE 35000 8000 MICROFINANCIAL INC COM 595072109 655 118480 SH SOLE 0 118480 MICROSOFT CORP COM 594918104 910 35000 SH SOLE 13000 22000 MILLER INDS INC TENN COM NEW 600551204 2887 154841 SH SOLE 6600 148241 MITCHAM INDS INC COM 606501104 3411 197184 SH SOLE 21650 175534 MOBILE MINI INC COM 60740F105 7378 348171 SH SOLE 0 348171 MONSANTO CO NEW COM 61166W101 363 5000 SH SOLE 5000 0 MONTPELIER RE HOLDINGS LTD SHS G62185106 623 34600 SH SOLE 0 34600 MOTORCAR PTS AMER INC COM 620071100 9443 629111 SH SOLE 176000 453111 NAM TAI ELECTRS INC COM PAR $0.02 629865205 171 30986 SH SOLE 0 30986 NATIONAL WESTN LIFE INS CO CL A 638522102 4566 28635 SH SOLE 800 27835 NATURES SUNSHINE PRODUCTS IN COM 639027101 24388 1253476 SH SOLE 254391 999085 NETSOL TECHNOLOGIES INC COM NEW 64115A204 1387 797307 SH SOLE 0 797307 NEW IRELAND FUND INC COM 645673104 130 15173 SH SOLE 0 15173 NOKIA CORP SPONSORED ADR 654902204 161 25100 SH SOLE 25100 0 NUTRACEUTICAL INTL CORP COM 67060Y101 338 21956 SH SOLE 0 21956 NUVEEN CA DIV ADV MUNI FD 3 COM SH BEN INT 67070Y109 1802 143018 SH SOLE 143018 0 NUVEEN CA DIV ADVANTG MUN FD COM 67069X104 625 46025 SH SOLE 45900 125 NUVEEN CA DIVIDEND ADV MUN F COM SHS 67066Y105 1310 102842 SH SOLE 102842 0 NUVEEN CA INVT QUALITY MUN F COM 67062A101 159 12100 SH SOLE 12100 0 NUVEEN CA MUN MKT OPPORTUNT COM 67062U107 257 19000 SH SOLE 19000 0 NUVEEN CA SELECT QUALITY MUN COM 670975101 500 37000 SH SOLE 37000 0 NUVEEN CALIF PERFORM PLUS MU COM 67062Q106 608 46157 SH SOLE 46157 0 NUVEEN CALIF QUALITY INCM MU COM 670985100 286 20200 SH SOLE 19300 900 NUVEEN INSD CA PREM INCOME 2 COM 67061U108 564 43182 SH SOLE 43182 0 NUVEEN INSD CALIF DIVID COM 67071M104 570 41038 SH SOLE 41038 0 OVERHILL FARMS INC COM 690212105 912 163460 SH SOLE 130014 33446 OWENS ILL INC COM NEW 690768403 15125 586666 SH SOLE 69940 516726 PEABODY ENERGY CORP COM 704549104 707 12000 SH SOLE 10000 2000 PETMED EXPRESS INC COM 716382106 142 12000 SH SOLE 12000 0 PETSMART INC COM 716768106 574 12650 SH SOLE 12500 150 PFIZER INC COM 717081103 9359 454325 SH SOLE 21048 433277 PHC INC MASS CL A 693315103 744 225487 SH SOLE 0 225487 PINNACLE DATA SYS INC COM 723454104 533 389145 SH SOLE 389145 0 PRGX GLOBAL INC COM NEW 69357C503 1085 151818 SH SOLE 0 151818 PRO-DEX INC COLO COM NEW 74265M205 624 301882 SH SOLE 14447 287435 QC HLDGS INC COM 74729T101 500 125083 SH SOLE 0 125083 RENAISSANCERE HOLDINGS LTD COM G7496G103 3598 51441 SH SOLE 0 51441 RENT A CTR INC NEW COM 76009N100 28907 947114 SH SOLE 162901 784213 SANFILIPPO JOHN B & SON INC COM 800422107 603 71246 SH SOLE 7700 63546 SEABRIGHT HOLDINGS INC COM 811656107 376 38000 SH SOLE 0 38000 SEAGATE TECHNOLOGY PLC SHS G7945M107 3655 226203 SH SOLE 500 225703 SERVICE CORP INTL COM 817565104 9976 855123 SH SOLE 33226 821897 SHINER INTL INC COM 824568109 1974 2407556 SH SOLE 988880 1418676 SIMULATIONS PLUS INC COM 829214105 57 19500 SH SOLE 0 19500 SINGAPORE FD INC COM 82929L109 744 51300 SH SOLE 0 51300 SINOHUB INC COM 82935L101 169 154875 SH SOLE 154575 300 SMART MODULAR TECHNOLOGIES I ORD SHS G82245104 535 58369 SH SOLE 0 58369 SOUTHWALL TECHNOLOGIES INC COM NEW 844909200 773 61496 SH SOLE 61496 0 SPAN AMER MED SYS INC COM 846396109 446 29734 SH SOLE 29734 0 SPECTRA ENERGY CORP COM 847560109 722 26350 SH SOLE 2000 24350 STEWART ENTERPRISES INC CL A 860370105 131 18000 SH SOLE 18000 0 SUTOR TECH GROUP LTD COM 869362103 64 50434 SH SOLE 50434 0 SUTRON CORP COM 869380105 998 148689 SH SOLE 0 148689 THAI CAP FD INC COM NEW 882905201 1966 205915 SH SOLE 2000 203915 TRANSCEND SERVICES INC COM NEW 893929208 1528 51999 SH SOLE 0 51999 TRAVELERS COMPANIES INC COM 89417E109 10037 172021 SH SOLE 44546 127475 TUPPERWARE BRANDS CORP COM 899896104 28012 415803 SH SOLE 42200 373603 UNITIL CORP COM 913259107 1779 67645 SH SOLE 0 67645 UNIVERSAL POWER GROUP INC COM 913788105 274 88226 SH SOLE 0 88226 US ECOLOGY INC COM 91732J102 301 17600 SH SOLE 0 17600 WELLS FARGO & CO NEW COM 949746101 340 12100 SH SOLE 10000 2100 WHOLE FOODS MKT INC COM 966837106 317 5000 SH SOLE 5000 0 WILSHIRE BANCORP INC COM 97186T108 4340 1477339 SH SOLE 926964 550375 WINDSTREAM CORP COM 97381W104 13446 1040507 SH SOLE 319459 721048 WINNER MEDICAL GRP INC COM NEW 97476P204 2120 459776 SH SOLE 0 459776 WONDER AUTO TECHNOLOGY INC COM 978166106 0 30800 SH SOLE 0 30800 WOWJOINT HOLDINGS LIMITED *W EXP 05/15/201 G9796W119 7 50000 SH SOLE 50000 0 WPCS INTL INC COM NEW 92931L203 1495 501616 SH SOLE 20000 481616 YONGYE INTL INC COM 98607B106 569 108411 SH SOLE 100 108311 YUCHENG TECHNOLOGIES LTD COM G98777108 1177 360067 SH SOLE 37700 322367 ZHONGPIN INC COM 98952K107 9558 912840 SH SOLE 216525 696315 ZIMMER HLDGS INC COM 98956P102 209 3300 SH SOLE 0 3300