Japan Smaller Capitalization Fund insider files Form 3

JAPAN SMALLER CAPITALIZATION FUND INC insider Shoichi Ohkoshi, described as CEO to the adviser of JOF, filed an initial ownership report on Form 3.

Rhea-AI Filing Summary

JAPAN SMALLER CAPITALIZATION FUND INC insider Shoichi Ohkoshi, described as CEO to the adviser of JOF, filed an initial ownership report on Form 3. The filing identifies him as a reporting person associated with the fund’s adviser but does not show any insider transactions in this submission.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What does the Ohkoshi Shoichi Form 3 filing for JOF show?

The Form 3 filing for JOF lists Shoichi Ohkoshi, CEO to the adviser, as a reporting person. It serves as his initial ownership report and does not disclose any insider transactions in this submission.

Who is the reporting person in the JAPAN SMALLER CAPITALIZATION FUND (JOF) Form 3?

The reporting person is Shoichi Ohkoshi, identified as CEO to the adviser of JAPAN SMALLER CAPITALIZATION FUND INC. The filing records his status as an insider related to the fund’s adviser without detailing specific trades.

Does the JOF Form 3 for Shoichi Ohkoshi report any stock transactions?

No, the Form 3 for JOF shows no insider stock transactions. Transaction counts in the filing are zero, indicating the document functions as an initial ownership statement rather than a record of recent trading activity.

Why is a Form 3 filed for JAPAN SMALLER CAPITALIZATION FUND insider Shoichi Ohkoshi?

Form 3 is filed to disclose an insider’s initial beneficial ownership position. For JOF, Shoichi Ohkoshi, CEO to the adviser, is formally recorded as a reporting person, establishing his disclosure obligations for future transactions.

What role does Shoichi Ohkoshi have in relation to JAPAN SMALLER CAPITALIZATION FUND (JOF)?

Shoichi Ohkoshi is described as CEO to the adviser of JOF. This role connects him to JAPAN SMALLER CAPITALIZATION FUND INC as an insider whose holdings and future trades will be reported in SEC ownership filings.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 04/08/2026 - 09:05 AM EDT Learn about SEC filing dates

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0104
Estimated average burden
hours per response:			0.5

1. Name and Address of Reporting Person^*

Ohkoshi Shoichi

(Last) (First) (Middle)

WORLDWIDE PLAZA

309 WEST 49TH STREET

(Street)

NEW YORK NEW YORK 10019

(City) (State) (Zip)

UNITED STATES

(Country)

2. Date of Event Requiring Statement (Month/Day/Year)
04/01/2026

3. Issuer Name and Ticker or Trading Symbol
JAPAN SMALLER CAPITALIZATION FUND INC [ JOF ]

3a. Foreign Trading Symbol

5. If Amendment, Date of Original Filed (Month/Day/Year)

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
	Officer (give title below)	X	Other (specify below)
			CEO to the Adviser of JOF

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

No securities are beneficially owned.

	/s/ Shoichi Ohkoshi	04/08/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 3: SEC 1473 (03-26)