0001504304-18-000034.txt : 20180910
0001504304-18-000034.hdr.sgml : 20180910
20180910162933
ACCESSION NUMBER: 0001504304-18-000034
CONFORMED SUBMISSION TYPE: SC 13D/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20180910
DATE AS OF CHANGE: 20180910
GROUP MEMBERS: ANDREW DAKOS
GROUP MEMBERS: PHILLIP GOLDSTEIN
GROUP MEMBERS: STEVEN SAMUELS
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: ABERDEEN JAPAN EQUITY FUND, INC.
CENTRAL INDEX KEY: 0000866095
IRS NUMBER: 223060893
STATE OF INCORPORATION: MD
FISCAL YEAR END: 1031
FILING VALUES:
FORM TYPE: SC 13D/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-60837
FILM NUMBER: 181063091
BUSINESS ADDRESS:
STREET 1: C/O ABERDEEN ASSET MANAGEMENT INC.
STREET 2: 1735 MARKET STREET, 32ND FLOOR
CITY: PHILADELPHIA
STATE: PA
ZIP: 19103
BUSINESS PHONE: 2154055700
MAIL ADDRESS:
STREET 1: C/O ABERDEEN ASSET MANAGEMENT INC.
STREET 2: 1735 MARKET STREET, 32ND FLOOR
CITY: PHILADELPHIA
STATE: PA
ZIP: 19103
FORMER COMPANY:
FORMER CONFORMED NAME: JAPAN EQUITY FUND INC
DATE OF NAME CHANGE: 19920703
FORMER COMPANY:
FORMER CONFORMED NAME: JAPAN EMERGING EQUITY FUND INC
DATE OF NAME CHANGE: 19920407
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: Bulldog Investors, LLC
CENTRAL INDEX KEY: 0001504304
IRS NUMBER: 270926182
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13D/A
BUSINESS ADDRESS:
STREET 1: PARK 80 WEST - PLAZA TWO
STREET 2: 250 PEHLE AVE. SUITE 708
CITY: SADDLE BROOK
STATE: NJ
ZIP: 07663
BUSINESS PHONE: 201 556-0092
MAIL ADDRESS:
STREET 1: PARK 80 WEST - PLAZA TWO
STREET 2: 250 PEHLE AVE. SUITE 708
CITY: SADDLE BROOK
STATE: NJ
ZIP: 07663
FORMER COMPANY:
FORMER CONFORMED NAME: Brooklyn Capital Management LLC
DATE OF NAME CHANGE: 20101026
SC 13D/A
1
thirda.txt
SCHEDULE 13D/A
DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT
9/7/18
1. NAME OF REPORTING PERSON
Bulldog Investors, LLC
2. CHECK THE BOX IF MEMBER OF A GROUP a[ ]
b[]
3. SEC USE ONLY
4. SOURCE OF FUNDS
WC
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) AND 2(e) []
6. CITIZENSHIP OR PLACE OF ORGANIZATION
DE
___________________________________________________________
7. SOLE VOTING POWER
337,490
8. SHARED VOTING POWER
551,300
9. SOLE DISPOSITIVE POWER
337,490
_______________________________________________________
10. SHARED DISPOSITIVE POWER
551,300
11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON
888,790 (Footnote 1)
12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES
[]
___________________________________________________________
13. PERCENT OF CLASS REPRESENTED BY ROW 11
6.64%
14. TYPE OF REPORTING PERSON
IA
____________________________________________________________
1. NAME OF REPORTING PERSON
Phillip Goldstein
2. CHECK THE BOX IF MEMBER OF A GROUP a[X]
b[]
3. SEC USE ONLY
4. SOURCE OF FUNDS
WC
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) AND 2(e) []
6. CITIZENSHIP OR PLACE OF ORGANIZATION
USA
___________________________________________________________
7. SOLE VOTING POWER
337,490
8. SHARED VOTING POWER
551,300
9. SOLE DISPOSITIVE POWER
337,490
_______________________________________________________
10. SHARED DISPOSITIVE POWER
551,300
11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON
888,790 (Footnote 1)
12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES
[]
___________________________________________________________
13. PERCENT OF CLASS REPRESENTED BY ROW 11
6.64%
14. TYPE OF REPORTING PERSON
IN
__________________________________________________________
1. NAME OF REPORTING PERSON
Andrew Dakos
2. CHECK THE BOX IF MEMBER OF A GROUP a[ ]
b[]
3. SEC USE ONLY
4. SOURCE OF FUNDS
WC
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) AND 2(e) []
6. CITIZENSHIP OR PLACE OF ORGANIZATION
USA
___________________________________________________________
7. SOLE VOTING POWER
337,490
8. SHARED VOTING POWER
551,300
9. SOLE DISPOSITIVE POWER
337,490
_______________________________________________________
10. SHARED DISPOSITIVE POWER
551,300
11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON
888,790 (Footnote 1)
12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES
[]
___________________________________________________________
13. PERCENT OF CLASS REPRESENTED BY ROW 11
6.64%
14. TYPE OF REPORTING PERSON
IN
___________________________________________________________
1. NAME OF REPORTING PERSON
Steven Samuels
2. CHECK THE BOX IF MEMBER OF A GROUP a[ ]
b[]
3. SEC USE ONLY
4. SOURCE OF FUNDS
WC
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) AND 2(e) []
6. CITIZENSHIP OR PLACE OF ORGANIZATION
USA
___________________________________________________________
7. SOLE VOTING POWER
337,490
8. SHARED VOTING POWER
551,300
9. SOLE DISPOSITIVE POWER
337,490
_______________________________________________________
10. SHARED DISPOSITIVE POWER
551,300
11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON
888,790 (Footnote 1)
12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES
[]
___________________________________________________________
13. PERCENT OF CLASS REPRESENTED BY ROW 11
6.64%
14. TYPE OF REPORTING PERSON
IN
_______________________________________________________
Item 1. SECURITY AND ISSUER
This statement constitutes Amendment #2 to the schedule 13d
filed April 20, 2018. Except as specifically set forth
herein, the Schedule 13d remains unmodified.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER
(a) As per the N-CSRS filed on July 3, 2018, there were 13,389,072 shares
of common stock outstanding as of April 30, 2018. The percentages set forth
herein were derived using such number. Phillip Goldstein, Andrew Dakos and
Steven Samuels own Bulldog Investors, LLC, a registered investment advisor.
As of September 7, 2018, Bulldog Investors, LLC is deemed to be the beneficial
owner of 888,790 shares of JEQ (representing 6.64% of JEQ's outstanding
shares) solely by virtue of Bulldog Investors LLC's power to direct the vote
of,and dispose of, these shares. These 888,790 shares of JEQ include 337,490
shares (representing 2.52% of JEQ's outstanding shares) that are beneficially
owned by Mr. Goldstein, and the following entities over which Messrs.
Goldstein, Dakos and Samuels exercise control: Opportunity Partners LP,
Calapasas West Partners LP, Full Value Special Situations Fund, LP, Full
Value Partners, LP, and MCM Opportunity Partners, LP (collectively,
"Bulldog Investors Group of Funds").All other shares included in the
aforementioned 888,790 shares of JEQ beneficially owned by Bulldog
Investors, LLC (solely by virtue of its power to sell or direct the vote
of these shares) are also beneficially owned by clients of Bulldog
Investors, LLC who are not members of any group. The total number of these
"non-group" shares is 551,300 shares (representing 4.12% of JEQ's outstanding
shares).
(b)Bulldog Investors,LLC has sole power to dispose of and vote 377,490 shares.
Bulldog Investors, LLC has shared power to dispose of and vote 551,300 shares.
Certain of Bulldog Investors, LLC's clients (none of whom beneficially own more
than 5% of JEQ's shares) share this power with Bulldog Investors, LLC. Messrs.
Goldstein, Dakos and Samuels are control persons of Bulldog Investors, LLC.
c) During the last 60 days the following shares of JEQ were Sold:
Date: Shares: Price:
07/12/18 (500) 8.4100
07/26/18 (796) 8.6613
07/27/18 (650) 8.6400
08/13/18 (980) 8.3098
08/17/18 (2,566) 8.2300
08/20/18 (25,000) 8.2250
08/22/18 (1,000) 8.2530
08/28/18 (10,710) 8.3343
08/30/18 (297) 8.3200
08/31/18 (1,200) 8.3650
09/04/18 (10,500) 8.2800
09/05/18 (1,215) 8.1900
09/07/18 (50,925) 8.1012
d) Clients of Bulldog Investors, LLC are entitled to receive any dividends or
sales proceeds.
e) N/A
ITEM 6. CONTRACTS,ARRANGEMENTS,UNDERSTANDINGS OR RELATIONSHIPS
WITH RESPECT TO SECURITIES OF THE ISSUER.
None
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS
None
After reasonable inquiry and to the best of my knowledge
and belief, I certify that the information set forth in this
statement is true, complete and correct.
Dated: 9/10/18
By: /S/ Phillip Goldstein
Name: Phillip Goldstein
By: /S/ Andrew Dakos
Name: Andrew Dakos
By: /S/ Steven Samuels
Name: Steven Samuels
Bulldog Investors, LLC
By: /s/ Andrew Dakos
Andrew Dakos, Member
Footnote 1: The reporting persons disclaim beneficial ownership except
to the extent of any pecuniary interest therein.