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JOF on NYSE

JAPAN SMALLER CAPITALIZATION FUND INC

JAPAN SMALLER CAPITALIZATION FUND INC is a corporation based in New York, United States, incorporated in Maryland.2 Its shares trade on NYSE under the symbol JOF.2

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Last updated Oct 21, 2026.

Overview

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  • TickerJOF on NYSE2
  • HeadquartersNew York, United States2
  • Incorporated inMD3
  • Business addressWorldwide Plaza, 309 West 49Th Street, New York, Ny 100193
  • Legal formStock Corporation2
  • LEI5493000KJSHWEB3YKZ372
  • StatusActive2
  • LEI statusLapsed (not renewed)2
  • Registered address7 ST. PAUL STREET, 21202 Baltimore, United States2
  • Registered withBusiness Services (Maryland Department of Assessments and Taxation), D029473232

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Corporate structure

JAPAN SMALLER CAPITALIZATION FUND INC sits at the top of its group. 1 entity, 1 country on record. Switch between the flow chart and the network, and select any entity to see its details.

Major holders of JAPAN SMALLER CAPITALIZATION FUND INC

  • JAPAN SMALLER CAPITALIZATION FUND INC New York, New York, United States

Built from parent and subsidiary links from GLEIF, the Global Legal Entity Identifier Foundation (CC0); major holders from Schedules 13D and 13G. Each entity in the chart links to its source.

Leadership

Who has led JAPAN SMALLER CAPITALIZATION FUND INC, and when. Pick a name to see everywhere that person has worked.

President

  1. Yuichi Nomoto2019
  2. Yusuke Andoh2025–now
2010201520202025
Board members and other officers (29)

Former names

  • JAPAN OTC EQUITY FUND INCApr 23, 1996 to Apr 29, 20023

Timeline

  1. Aug 30, 20248-K Bylaws or fiscal year changed33
  2. Mar 8, 20238-K Other events34
  3. Dec 20, 20228-K Entered a material agreement35

Filings

119 filings to the SEC since October 2021: 3 major events, 17 insider forms, 38 large holders, 61 other. The latest 20:

  1. Oct 15, 2026SCHEDULE 13D/A EDGAR
  2. Oct 13, 2026DEF 14A JAPAN SMALLER CAPITALIZATION FUND INC - DEF 14A EDGAR
  3. Oct 7, 2026SCHEDULE 13G/A EDGAR
  4. Sep 23, 2026SCHEDULE 13D/A EDGAR
  5. Aug 31, 2026SCHEDULE 13D/A EDGAR
  6. Aug 14, 2026SCHEDULE 13G/A EDGAR
  7. Aug 12, 2026N-PX EDGAR
  8. Aug 3, 20263 EDGAR
  9. Jul 31, 2026SCHEDULE 13G/A EDGAR
  10. Jul 24, 2026SCHEDULE 13G/A EDGAR
  11. Jul 16, 2026NPORT-P EDGAR
  12. Jul 13, 2026SC TO-I/A EDGAR
  13. Jun 1, 2026SC TO-I EDGAR
  14. May 26, 2026SC TO-C EDGAR
  15. May 15, 2026SCHEDULE 13G/A EDGAR
  16. May 13, 2026N-CEN EDGAR
  17. May 5, 202640-17G EDGAR
  18. May 5, 2026N-CSR NOMURA JAPAN SMALLER CAPITALIZATION FUND - N-CSR EDGAR
  19. Apr 30, 2026SCHEDULE 13D/A EDGAR
  20. Apr 28, 2026NPORT-P EDGAR

The 119 filings since October 2021 can be filtered by form type and year here when JavaScript is on.

Every filing from the last five years, summarized. The full record is on SEC EDGAR.

Insider trades

5 open-market trades by officers, directors and large owners since October 2021: 5 buys and 0 sales. Grants, option exercises and gifts are left out.

DateWhoTradeSharesPriceValueFiling
Dec 22, 2025Jones TinaDirectorBuy950$10.80$10.3KForm 4
Sep 17, 2025Chemidlin David BDirectorBuy2,000$10.90$21.8KForm 4
Jan 13, 2025Laby Arthur BlakeDirectorBuy3,306$7.56$25.0KForm 4
Dec 11, 2024Ouimet PaigeDirectorBuy3,111$8.02$24.9KForm 4
Jun 20, 2023Buck Rodney ADirectorBuy9,000$7.42$66.8KForm 4

From Forms 4 filed with the SEC.

Major holders

Investors who own more than 5% of the shares must tell the SEC: a 13D if they may seek to influence the company, a 13G if they hold passively.

Held by these funds

The largest holders among investment managers' 13F reports for the quarter ending Jun 30, 2026, the top 25 of 57. Change is in shares since the quarter before.

FundSharesValueShare of the fundChange
Allspring Global Investments Holdings, LLC4,483,067$52.8M0.1%−592,502
City Of London Investment Management Co Ltd3,894,571$45.9M2.8%+174,562
Lazard Asset Management LLC3,560,978$41.9M0.1%+60,365
1607 Capital Partners, LLC2,724,109$32.1M2.8%−860,491
Saba Capital Management, L.P.1,948,781$23.0M0.7%+346,975
Bank Of America Corp /de/443,293$5.2M0.0%No change
Karpus Management, Inc.417,754$4.9M0.1%−18,700
Almitas Capital LLC386,375$4.6M1.1%−16,581
Morgan Stanley289,647$3.4M0.0%−246,176
Pekin Hardy Strauss, Inc.281,705$3.3M0.3%+47,136
Raffles Associates LP221,934$2.6M1.1%+110,967
Mraz, Amerine & Associates, Inc.202,362$2.4M0.3%+6,909
Bulldog Investors, LLP187,557$2.2M0.5%+83,376
Flagship Harbor Advisors, LLC162,571$1.9M0.1%New
LPL Financial LLC150,688$1.8M0.0%+31,520
Altium Capital Management LLC150,412$1.8M3.7%No change
Raymond James Financial Inc106,861$1.3M0.0%+650
Cibc World Market Inc.105,444$1.2M0.0%+11,096
Hara Capital LLC98,764$1.2M0.6%−1,200
Shaker Financial Services, LLC93,079$1.1M0.3%+3,000
Verition Fund Management LLC79,538$937.0K0.0%−175,907
Css Llc/il68,679$809.0K0.1%+43,387
Baird Financial Group, Inc.63,423$747.1K0.0%No change
Bard Associates Inc58,289$686.6K0.2%+19,067
Barry Investment Advisors, LLC57,510$677.5K0.1%−58,007

13F reports cover disclosed long positions in U.S. stocks only.

SEC filer profile

How JAPAN SMALLER CAPITALIZATION FUND INC is registered with the Securities and Exchange Commission, from its EDGAR record and the cover page of its latest annual report.

  • Name on EDGARJAPAN SMALLER CAPITALIZATION FUND INC1
  • CIK0000859796
  • Employer ID (EIN)13-35534691
  • Incorporated inMaryland1
  • Fiscal year endsFebruary 281
  • Business addressWorldwide Plaza, 309 West 49Th Street, New York, NY 100191
  • Phone80083300181
  • On EDGAR sinceApr 23, 19961
  • Filings457 in all: SC 13G/A (57), 3 (45), 40-17G (31), N-Q (31), DEF 14A (30), N-CSR (30), NPORT-P (25), N-PX (23)1
    All 42 form types

    NSAR-A (23), NSAR-B (22), 4 (20), N-CSRS (16), SC 13G (13), SCHEDULE 13D/A (10), SCHEDULE 13G/A (10), N-30D (8), N-CEN (8), PRE 14A (6), 8-K (5), N-2/A (5), DEFA14A (4), 4/A (3), 497 (3), CORRESP (3), N-2 (3), N-CSR/A (3), SCHEDULE 13G (3), 40-APP/A (2), 497AD (2), 3/A (1), 40-17G/A (1), 40-APP (1), EFFECT (1), NT-NCSR (1), NT-NSAR (1), POS EX (1), PRER14A (1), SC TO-C (1), SC TO-I (1), SC TO-I/A (1), SCHEDULE 13D (1), UPLOAD (1)

  • Latest filingsProxy statement (DEF 14A) Oct 13, 2026
    Latest 8-K (8-K) Aug 30, 2024

Sources

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    SEC EDGAROther events
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