Japan Smaller Capitalization Fund (JOF) lists treasurer as reporting insider

Rhea-AI Filing Summary

Japan Smaller Capitalization Fund Inc. reported that Robert A. Devault serves as Treasurer and is an officer of the company.

This initial insider statement lists no equity transactions or holdings for him in the fund’s securities, and he is not identified as a 10% beneficial owner.

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

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Available on EDGAR 08/03/2026 - 12:40 PM Accepted by SEC EDGAR 08/03/2026 - 12:40 PM Learn about SEC filing dates

FAQ

Who is the reporting insider in JOF's latest insider statement?

The reporting insider is Robert A. Devault, who is identified as the Treasurer of Japan Smaller Capitalization Fund Inc. He is classified as an officer, not a director and not a 10% beneficial owner in this statement.

Does the JOF insider filing show any stock transactions by Robert A. Devault?

No. The insider data show no reported purchases, sales, or other transactions by Robert A. Devault in Japan Smaller Capitalization Fund Inc. securities, with all transaction counts and share amounts reported as zero in the transaction summary.

Is Robert A. Devault a 10% owner of JOF according to this filing?

No. In this insider statement, Robert A. Devault is not marked as a 10% owner of Japan Smaller Capitalization Fund Inc.; his status is reported solely as an officer serving in the role of Treasurer.

What officer role does Robert A. Devault hold at Japan Smaller Capitalization Fund Inc. (JOF)?

Robert A. Devault is identified as the Treasurer of Japan Smaller Capitalization Fund Inc. He is reported as an officer of the company and is not indicated as serving as a director in this insider disclosure.

Does the JOF insider report include any derivative security positions for Robert A. Devault?

No. The derivative section of the insider data is empty, and the derivative transaction count is zero, indicating no reported options, warrants, or other derivative positions for Robert A. Devault in Japan Smaller Capitalization Fund Inc. securities.

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^*

DEVAULT ROBERT A

(Last) (First) (Middle)

C/O JAPAN SMALLER CAPITALIZATION FUND

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)
08/01/2026

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
X	Officer (give title below)		Other (specify below)
	Treasurer

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/ Robert A. DeVault	08/03/2026
	** 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)