Japan Smaller Capitalization Fund Inc (JOF) — SEC Filings
Japan Smaller Capitalization Fund Inc (JOF) — 9 SEC filings. Latest: N-CSR (May 5, 2026). Includes 5 SC 13G/A, 2 DEF 14A, 1 N-CSR.
View Japan Smaller Capitalization Fund Inc on SEC EDGAR
Overview
Japan Smaller Capitalization Fund Inc (JOF) is a publicly traded company tracked on ReadTheFiling. The most recent enriched filing is a DEF 14A filed on Oct 14, 2025: JAPAN SMALLER CAPITALIZATION FUND INC (JOF) is holding its Annual Meeting of Shareholders on November 13, 2025, to elect six Directors for a one-year term. The Board of Directors recommends shareholders vote FOR the election of all nominees. The record date for voting eligibility is September 26, 20
Sentiment Summary
Across 9 filings, the sentiment breakdown is: 1 bullish, 8 neutral. The dominant filing sentiment for Japan Smaller Capitalization Fund Inc is neutral.
Filing Type Overview
Japan Smaller Capitalization Fund Inc (JOF) has filed 1 N-CSR, 2 DEF 14A, 5 SC 13G/A, 1 8-K with the SEC between Jan 2024 to May 2026.
Filings by Year
Recent SEC Filings (9)
| Date | Form | Description | Risk |
|---|---|---|---|
| May 5, 2026 | N-CSR | N-CSR Filing | |
| Oct 14, 2025 | DEF 14A | JOF to Elect Six Directors, Bolstering Independent Oversight | low |
| Oct 24, 2024 | DEF 14A | Japan Smaller Capitalization Fund Files Proxy Statement | low |
| Oct 9, 2024 | SC 13G/A | SC 13G/A Filing | |
| Aug 30, 2024 | 8-K | Japan Smaller Capitalization Fund Files 8-K | low |
| Feb 14, 2024 | SC 13G/A | SC 13G/A Filing | |
| Feb 9, 2024 | SC 13G/A | City of London IM Amends Japan Smaller Cap Fund Stake | low |
| Feb 8, 2024 | SC 13G/A | 1607 Capital Partners Holds 19.9% Stake in Japan Smaller Cap Fund | low |
| Jan 12, 2024 | SC 13G/A | Allspring Global Investments Amends JAPAN SMALLER CAP FUND Stake |
Risk Profile
Risk Assessment: Of JOF's 5 recent filings, 0 were flagged as high-risk, 0 as medium-risk, and 5 as low-risk. The overall risk profile suggests relatively low risk with generally favorable filings.
Key Executives
- David B. Chemidlin
- Tina Jones
- Arthur B. Laby
- Marcia L. MacHarg
- Paige P. Ouimet
- Yusuke Andoh
Industry Context
The Japan Smaller Capitalization Fund operates within the specialized segment of actively managed investment funds focusing on smaller Japanese companies. This sector is characterized by potentially higher growth opportunities but also increased volatility and unique market dynamics compared to larger-cap funds. The competitive landscape includes other specialized Japanese equity funds and broader Asian equity funds, requiring strong research capabilities and risk management to navigate the specific economic and regulatory environment of Japan.
Top Tags
institutional-ownership (3) · amendment (3) · fund-holdings (2) · Closed-End Fund (1) · Corporate Governance (1) · Director Election (1) · Proxy Statement (1) · Investment Management (1) · Shareholder Meeting (1) · Japan Equities (1)
Key Numbers
| Metric | Value | Context |
|---|---|---|
| Annual Meeting Date | November 13, 2025 | Date shareholders will vote on director elections |
| Record Date | September 26, 2025 | Date for determining shareholders entitled to vote |
| Number of Directors to be elected | 6 | Total number of director nominees for a one-year term |
| Shares of common stock outstanding | 28,333,893 | Total shares eligible to vote as of the Record Date |
| Number of Independent Director Nominees | 5 | Majority of the board nominees are independent |
| Number of Interested Director Nominees | 1 | Yusuke Andoh is the sole interested director nominee |
| Meeting Time | 10:30 a.m. | Eastern time for the Annual Meeting of Shareholders |
| Director Meeting Attendance | 75% | Minimum attendance rate for current Directors and Independent Directors at Board and Committee meetings during the fiscal year ended February 28, 2025 |
| Filing Date | 20241024 | Date the definitive proxy statement was filed with the SEC. |
| Fiscal Year End | 20250228 | The end date of the fiscal year for which the proxy statement is relevant. |
| Shares Beneficially Owned | 5,053,077 | This is the total number of shares of Common Stock in Japan Smaller Capitalization Fund, Inc. owned by 1607 Capital Partners, LLC as of December 31, 2023. |
| Percentage of Class | 14.9% | This represents the percentage of the total outstanding Common Stock of Japan Smaller Capitalization Fund, Inc. owned by 1607 Capital Partners, LLC, indicating a significant stake. |
| Par Value per Share | $0.10 | This is the stated par value of the Common Stock of Japan Smaller Capitalization Fund, Inc. |
| Date of Event | December 31, 2023 | This is the date as of which the ownership stake was calculated for this filing. |
Forward-Looking Statements
- {"claim":"1607 Capital Partners, LLC will maintain a significant, passive stake in Japan Smaller Capitalization Fund, Inc.","entity":"1607 Capital Partners, LLC","targetDate":"December 31, 2024","confidence":"high"}
Frequently Asked Questions
What are the latest SEC filings for Japan Smaller Capitalization Fund Inc (JOF)?
Japan Smaller Capitalization Fund Inc has 9 recent SEC filings from Jan 2024 to May 2026, including 5 SC 13G/A, 2 DEF 14A, 1 N-CSR. Each filing includes an AI-generated plain-English summary.
What is the overall sentiment of JOF filings?
Across 9 filings, the sentiment breakdown is: 1 bullish, 8 neutral. The dominant sentiment is neutral.
Where can I find Japan Smaller Capitalization Fund Inc SEC filings explained simply?
ReadTheFiling provides AI-powered plain-English summaries of all Japan Smaller Capitalization Fund Inc (JOF) SEC filings, including 10-K annual reports, 10-Q quarterly reports, 8-K current reports, and insider trades.
What are the key financial highlights for Japan Smaller Capitalization Fund Inc?
Financial highlights for Japan Smaller Capitalization Fund Inc are available when 10-K or 10-Q filings are enriched with AI analysis. Check back as new filings are processed.
What is the investment thesis for JOF?
The investment thesis for JOF includes bull, base, and bear case scenarios derived from AI analysis of recent SEC filings.
Who are the key executives at Japan Smaller Capitalization Fund Inc?
Key executives identified across Japan Smaller Capitalization Fund Inc's filings include David B. Chemidlin, Tina Jones, Arthur B. Laby, Marcia L. MacHarg, Paige P. Ouimet and 1 others.
What are the main risk factors for Japan Smaller Capitalization Fund Inc stock?
Of JOF's 5 assessed filings, 0 were flagged high-risk, 0 medium-risk, and 5 low-risk.
What are recent predictions and forward guidance from Japan Smaller Capitalization Fund Inc?
Recent forward-looking statements from Japan Smaller Capitalization Fund Inc include guidance on {"claim":"1607 Capital Partners, LLC will maintain a significant, passive stake in Japan Smaller Capitalization Fund, In.