Welcome to our dedicated page for JAPAN SMALLER CAPITALIZATION FUND SEC filings (Ticker: JOF), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
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Saba Capital Management and related reporting persons filed Amendment No. 5 to their Schedule 13D for Japan Smaller Capitalization Fund, Inc. (JOF), updating their ownership disclosure. The group reports beneficial ownership of 1,398,051 common shares, representing 4.93% of the fund’s common stock, based on 28,333,893 shares outstanding as of 9/26/25 as disclosed in the company’s DEF 14A. The filing states that approximately $11,423,177 was paid in total to acquire these shares, using investor subscription proceeds, capital appreciation, and ordinary-course margin borrowings. Recent open-market transactions between 1/15/26 and 1/20/26 are referenced in Schedule A, and the purpose-of-transaction and contracts/arrangements items are marked not applicable.
Saba Capital Management and affiliates filed an amended Schedule 13D reporting a significant position in Japan Smaller Capitalization Fund, Inc. They report beneficial ownership of 1,459,643 common shares, representing 5.15% of the outstanding common stock, based on 28,333,893 shares outstanding as of 9/26/25. All voting and dispositive power over these shares is shared among the reporting persons, with no sole voting or dispositive authority.
The filing states that approximately $11,926,432 was paid to acquire the reported shares. Funds came from investor subscription proceeds, capital appreciation, and ordinary-course margin borrowings. The reporting persons describe their principal businesses as investment management and related general partner activities, and they list recent open-market transactions in a separate Schedule A referenced in the amendment.
Japan Smaller Capitalization Fund Inc. director Tina Jones reported buying common stock of the fund. On 12/22/2025, she purchased 950 shares of common stock at a price of $10.8003 per share in a transaction coded “P,” indicating a purchase. Following this transaction, she beneficially owns 950 shares, held in direct ownership. The filing covers activity by one reporting person and does not show any derivative securities transactions.
Lazard Asset Management LLC has filed a Schedule 13G reporting a passive ownership stake in Japan Smaller Capitalization Fund Inc. Lazard reports beneficial ownership of 3,480,024 shares of the fund’s equity, representing 12.3% of the outstanding class. Lazard has sole voting and sole dispositive power over all of these shares, with no shared voting or dispositive authority.
The filing states that the securities were acquired and are held in the ordinary course of business and not for the purpose of changing or influencing control of the fund. This positions Lazard as a significant but passive institutional investor in Japan Smaller Capitalization Fund Inc.
Japan Smaller Capitalization Fund Inc. (JOF) reported an initial ownership filing for a director as of 11/13/2025. The Form 3 indicates that the reporting person serves as a director of the fund and has filed individually, not as part of a group. The filing states in the explanation of responses that no securities are beneficially owned, meaning the director reports no direct or indirect holdings of JOF shares or derivative securities at this time.
City of London Investment Management Company Limited filed Amendment No. 6 to a Schedule 13G reporting a passive stake in Japan Smaller Capitalization Fund Inc. (JOF). The firm reported beneficial ownership of 3,520,068 shares of common stock, representing 12.4% of the class as of the event date.
City of London reported sole voting and dispositive power over the same 3,520,068 shares and certified the securities were acquired and are held in the ordinary course of business, not to influence control. The event date was 09/30/2025.
Saba Capital Management, together with Saba Capital Management GP, LLC and Boaz R. Weinstein, filed Amendment No. 3 to Schedule 13D on Japan Smaller Capitalization Fund, Inc. (JOF), reporting beneficial ownership of 1,775,557 common shares, or 6.27% of the class as of the event date 11/06/2025. The group holds shared voting and dispositive power over all reported shares and no sole power.
The stake size is calculated against 28,333,893 shares outstanding as of 9/26/25, as disclosed in the company’s DEF 14A. Saba states it paid approximately $14,507,698 to acquire the reported shares, using investor subscription proceeds, related capital appreciation, and ordinary-course margin account borrowings. Recent open‑market transactions within the prior sixty days are listed in Schedule A.
Japan Smaller Capitalization Fund, Inc. (JOF) set its annual shareholder meeting for November 13, 2025, 10:30 a.m. Eastern, at Nomura Asset Management U.S.A., New York. Shareholders will vote on the election of six Directors, and the Board recommends voting FOR all nominees.
The record date is September 26, 2025; shareholders are entitled to one vote per share. 28,333,893 shares of common stock were outstanding as of the record date. Shareholders may vote in person, by Internet, by telephone, or by returning a proxy card. Under NYSE rules for investment companies, director elections are considered “routine,” permitting brokers to exercise discretion if no instructions are received.
The Audit Committee recommended inclusion of audited financials for the year ended February 28, 2025; E&Y billed $110,865 in audit fees and $30,935 in tax fees. Notable beneficial owners include Allspring 18.5%, 1607 Capital 15%, Lazard 8.12%, and Saba 7.44%. Independent Director fees for fiscal 2025 totaled $232,336.
David B. Chemidlin, a director of Japan Smaller Capitalization Fund Inc. (JOF), reported a purchase of 2,000 common shares on 09/17/2025 at a price of $10.8965 per share. After the transaction he beneficially owns 2,432 shares in total; that total includes 302 shares acquired under the issuer's Dividend Reinvestment Plan, which were exempt from Section 16 reporting under Rule 16a-11. The Form 4 was signed by Mr. Chemidlin on 09/19/2025 and filed to disclose this change in beneficial ownership.
1607 Capital Partners, LLC reports beneficial ownership of 4,248,790 shares of Japan Smaller Capitalization Fund, Inc. common stock (CUSIP 47109U104), representing 15% of the class. The filer states it has sole voting and sole dispositive power over these shares and certifies the securities were acquired and are held in the ordinary course of business and not for the purpose of changing or influencing control of the issuer. The filing identifies the issuer's principal executive offices and provides the filer’s registered address and Delaware organization status.