Japan Smaller Capitalization Fund, Inc. (“JOF” or the “Fund”) is a non-diversified, closed-end management investment company listed on the New York Stock Exchange. The Fund’s investment objective is to provide shareholders with long-term capital appreciation and to invest, under normal circumstances, at least 80% of its total assets in smaller capitalization Japanese equity securities traded on the Tokyo, Nagoya, and JASDAQ Stock Exchanges, the Mothers, Centrex Markets, and other indices or markets determined by Nomura Asset Management U.S.A. Inc. to be appropriate indices or markets for smaller capitalization companies in Japan.
Company profile
Ticker
JOF
Exchange
Employees
Incorporated
Location
Fiscal year end
Former names
JAPAN OTC EQUITY FUND INC
SEC CIK
IRS number
133553469
JOF stock data
Latest filings (excl ownership)
N-CSRS
Certified semi-annual shareholder report (management investment company)
24 Oct 23
DEF 14A
Definitive proxy
10 Oct 23
N-PX
Annual report of proxy voting record
24 Aug 23
N-CSR
Certified annual shareholder report (management investment company)
5 May 23
N-CEN
Annual report (registered investment company)
3 May 23
8-K
Other Events
8 Mar 23
8-K
Entry into a Material Definitive Agreement
20 Dec 22
DEF 14A
Definitive proxy
7 Nov 22
PRER14A
Preliminary revised proxy
28 Oct 22
CORRESP
Correspondence with SEC
28 Oct 22
Latest ownership filings
SC 13G/A
LAZARD ASSET MANAGEMENT LLC
14 Feb 24
SC 13G/A
CITY OF LONDON INVESTMENT MANAGEMENT CO LTD
9 Feb 24
SC 13G/A
1607 Capital Partners, LLC
8 Feb 24
SC 13G/A
Allspring Global Investments Holdings, LLC
12 Jan 24
NPORT-P
Japan Smaller Capitalization Fund, Inc. (Nov 2023 report)
8 Jan 24
NPORT-P
Japan Smaller Capitalization Fund, Inc. (Aug 2023 report)
24 Oct 23
3
She Yi
25 Aug 23
NPORT-P
Monthly portfolio investment report
10 Jul 23
4
Rodney A Buck
29 Jun 23
NPORT-P
Japan Smaller Capitalization Fund, Inc. (Feb 2023 report)
27 Apr 23
Funds
Series | Ticker | %Monthly Return ? | $Assets | #Holdings | As of | ||
---|---|---|---|---|---|---|---|
Japan Smaller Capitalization Fund, Inc. | – | -1.79 | -2.97 | 6.35 | 257.45 mm | 90 | Nov 2023 |
Institutional ownership, Q2 2023
84.9% owned by funds/institutions
13F holders | Current |
---|---|
Total holders | 47 |
Opened positions | 4 |
Closed positions | 7 |
Increased positions | 11 |
Reduced positions | 15 |
13F shares | Current |
---|---|
Total value | 134.03 bn |
Total shares | 24.06 mm |
Total puts | 0.00 |
Total calls | 0.00 |
Total put/call ratio | – |
Largest owners | Shares | Value |
---|---|---|
Allspring Global Investments | 6.37 mm | $45.83 bn |
1607 Capital Partners | 4.88 mm | $35.16 bn |
City Of London Investment Management | 4.50 mm | $32.40 bn |
Lazard Asset Management | 3.69 mm | $26.58 mm |
City Of London Investment | 1.70 mm | $14.11 mm |
Karpus Management | 882.56 k | $6.35 bn |
MS Morgan Stanley | 373.30 k | $2.69 bn |
Barry Investment Advisors | 263.45 k | $1.90 bn |
Relative Value Partners | 194.00 k | $1.40 bn |
Raymond James & Associates | 131.30 k | $945.38 mm |
Recent insider trades
Date | Owner | Security | Transaction | Code | Indirect | 10b5-1 | $Price | #Shares | $Value | #Remaining |
---|---|---|---|---|---|---|---|---|---|---|
20 Jun 23 | Rodney A Buck | Common Stock | Buy | Acquire P | No | No | 7.4165 | 9,000 | 66.75 k | 15,210 |