JOF on NYSE

JAPAN SMALLER CAPITALIZATION FUND INC

Corporation based in New York, United States, incorporated in Maryland.

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Last updated Oct 18, 2026.

Overview

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TickerJOF on NYSE
HeadquartersNew York, United States
Incorporated inMD²
Business addressWorldwide Plaza, 309 West 49Th Street, New York, Ny 10019²

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Leadership

Who has led JAPAN SMALLER CAPITALIZATION FUND INC, and when. Pick a name to see everywhere that person has worked.

President

2010201520202025

PresidentYusuke Andoh Apr 11, 2025 to now³
PresidentYuichi Nomoto Apr 5, 2019 to Apr 5, 2019⁴

Board members and other officers (29)

TreasurerRobert A. Devault Aug 3, 2026 to now⁵
TreasurerThomas Perugini May 22, 2024 to May 22, 2024⁶
Assistant TreasurerShe Yi Aug 25, 2023 to Aug 25, 2023⁷
Vice PresidentShinichi Masuda Sep 1, 2022 to Sep 1, 2022⁸
Vice PresidentMichael Morrongiello Aug 26, 2021 to Aug 30, 2021⁹
Assistant TreasurerMelanie Dana Malc Dec 14, 2021 to Dec 14, 2021¹⁰
Vice PresidentTakeshi Toyoshima Aug 31, 2016 to Aug 31, 2016¹¹
Assistant TreasurerKelly So Young Lee Aug 28, 2015 to Aug 28, 2015¹²
TreasurerAmy J. Marose Oct 31, 2013 to Oct 31, 2013¹³
Assistant TreasurerJamie Alusick Oct 31, 2013 to Oct 31, 2013¹⁴
Vice PresidentMaria R. Premole Oct 31, 2013 to Oct 31, 2013¹⁵
Vice PresidentHiromichi Aoki Feb 29, 2012 to Feb 29, 2012¹⁶
Vice PresidentHiroyuki Nakano Aug 20, 2008 to Aug 20, 2008¹⁷
Vice PresidentJun Arima Aug 20, 2007 to Aug 20, 2007¹⁸
Board memberYusuke Andoh Apr 11, 2025 to now³
Board memberTina Jones Dec 1, 2025 to now¹⁹
Board memberArthur Blake Laby Nov 27, 2024 to Jan 14, 2025²⁰
Board memberPaige Ouimet Nov 30, 2021 to Dec 11, 2024²¹
Board memberYuichi Nomoto Apr 5, 2019 to Apr 5, 2019⁴
Board memberYutaka Itabashi Oct 11, 2013 to Oct 11, 2013²²
Board memberMarcia L. Macharg Nov 21, 2013 to Jul 29, 2015²³
Board memberMasashi Terachi Apr 9, 2012 to Apr 9, 2012²⁴
Board memberE. Han Kim Nov 23, 2010 to May 31, 2013²⁵
Board memberRodney A. Buck Feb 26, 2007 to Jun 29, 2023²⁶
Board memberShigeru Shinohara Jun 8, 2007 to Jun 8, 2007²⁷
Board memberDavid B. Chemidlin Oct 1, 2007 to now²⁸
Board memberJohn F. Wallace Jan 6, 2006 to Feb 7, 2006²⁹
Board memberChor Weng Tan Feb 23, 2006 to Aug 5, 2011³⁰
Board memberWilliam G. Grollman Jun 14, 2006 to Jun 14, 2006³¹

Former names

JAPAN OTC EQUITY FUND INCApr 23, 1996 to Apr 29, 2002²

Filings

119 filings to the SEC since October 2021: 3 major events, 17 insider forms, 38 large holders, 61 other. The latest 20:

Oct 15, 2026SCHEDULE 13D/A EDGAR
Oct 13, 2026DEF 14A JAPAN SMALLER CAPITALIZATION FUND INC - DEF 14A EDGAR
Oct 7, 2026SCHEDULE 13G/A EDGAR
Sep 23, 2026SCHEDULE 13D/A EDGAR
Aug 31, 2026SCHEDULE 13D/A EDGAR
Aug 14, 2026SCHEDULE 13G/A EDGAR
Aug 12, 2026N-PX EDGAR
Aug 3, 20263 EDGAR
Jul 31, 2026SCHEDULE 13G/A EDGAR
Jul 24, 2026SCHEDULE 13G/A EDGAR
Jul 16, 2026NPORT-P EDGAR
Jul 13, 2026SC TO-I/A EDGAR
Jun 1, 2026SC TO-I EDGAR
May 26, 2026SC TO-C EDGAR
May 15, 2026SCHEDULE 13G/A EDGAR
May 13, 2026N-CEN EDGAR
May 5, 202640-17G EDGAR
May 5, 2026N-CSR NOMURA JAPAN SMALLER CAPITALIZATION FUND - N-CSR EDGAR
Apr 30, 2026SCHEDULE 13D/A EDGAR
Apr 28, 2026NPORT-P EDGAR

The 119 filings since October 2021 can be filtered by form type and year here when JavaScript is on.

Every filing from the last three years, summarized. The full record is on SEC EDGAR.

Insider trades and holders

Large holders

Investors who own more than 5% must tell the SEC: a 13D if they may seek to influence the company, a 13G if they hold passively. 38 such filings since October 2021, the latest 10:

From Forms 4 and Schedules 13D and 13G filed with the SEC.

Held by these funds

The largest holders among investment managers' 13F reports for the quarter ending Jun 30, 2026, the top 25 of 57. Change is in shares since the quarter before.

Fund	Shares	Value	Share of the fund	Change
Allspring Global Investments Holdings, LLC	4,483,067	$52.8M	0.1%	−592,502
City Of London Investment Management Co Ltd	3,894,571	$45.9M	2.8%	+174,562
Lazard Asset Management LLC	3,560,978	$41.9M	0.1%	+60,365
1607 Capital Partners, LLC	2,724,109	$32.1M	2.8%	−860,491
Saba Capital Management, L.P.	1,948,781	$23.0M	0.7%	+346,975
Bank Of America Corp /de/	443,293	$5.2M	0.0%	No change
Karpus Management, Inc.	417,754	$4.9M	0.1%	−18,700
Almitas Capital LLC	386,375	$4.6M	1.1%	−16,581
Morgan Stanley	289,647	$3.4M	0.0%	−246,176
Pekin Hardy Strauss, Inc.	281,705	$3.3M	0.3%	+47,136
Raffles Associates LP	221,934	$2.6M	1.1%	+110,967
Mraz, Amerine & Associates, Inc.	202,362	$2.4M	0.3%	+6,909
Bulldog Investors, LLP	187,557	$2.2M	0.5%	+83,376
Flagship Harbor Advisors, LLC	162,571	$1.9M	0.1%	New
LPL Financial LLC	150,688	$1.8M	0.0%	+31,520
Altium Capital Management LLC	150,412	$1.8M	3.7%	No change
Raymond James Financial Inc	106,861	$1.3M	0.0%	+650
Cibc World Market Inc.	105,444	$1.2M	0.0%	+11,096
Hara Capital LLC	98,764	$1.2M	0.6%	−1,200
Shaker Financial Services, LLC	93,079	$1.1M	0.3%	+3,000
Verition Fund Management LLC	79,538	$937.0K	0.0%	−175,907
Css Llc/il	68,679	$809.0K	0.1%	+43,387
Baird Financial Group, Inc.	63,423	$747.1K	0.0%	No change
Bard Associates Inc	58,289	$686.6K	0.2%	+19,067
Barry Investment Advisors, LLC	57,510	$677.5K	0.1%	−58,007

13F reports cover disclosed long positions in U.S. stocks only.

Sources

The numbers on this page point here. Each one links to the record it came from.

1
SEC EDGARJAPAN SMALLER CAPITALIZATION FUND INC filings on SEC EDGAR
2
SEC EDGARJAPAN SMALLER CAPITALIZATION FUND INC filings on SEC EDGAR
3
SEC EDGARYusuke Andoh, President
4
SEC EDGARYuichi Nomoto, President
5
SEC EDGARRobert A. Devault, Treasurer
6
SEC EDGARThomas Perugini, Treasurer
7
SEC EDGARShe Yi, Assistant Treasurer
8
SEC EDGARShinichi Masuda, Vice President
9
SEC EDGARMichael Morrongiello, Vice President
10
SEC EDGARMelanie Dana Malc, Assistant Treasurer
11
SEC EDGARTakeshi Toyoshima, Vice President
12
SEC EDGARKelly So Young Lee, Assistant Treasurer
13
SEC EDGARAmy J. Marose, Treasurer
14
SEC EDGARJamie Alusick, Assistant Treasurer
15
SEC EDGARMaria R. Premole, Vice President
16
SEC EDGARHiromichi Aoki, Vice President
17
SEC EDGARHiroyuki Nakano, Vice President
18
SEC EDGARJun Arima, Vice President
19
SEC EDGARTina Jones, Board member
20
SEC EDGARArthur Blake Laby, Board member
21
SEC EDGARPaige Ouimet, Board member
22
SEC EDGARYutaka Itabashi, Board member
23
SEC EDGARMarcia L. Macharg, Board member
24
SEC EDGARMasashi Terachi, Board member
25
SEC EDGARE. Han Kim, Board member
26
SEC EDGARRodney A. Buck, Board member
27
SEC EDGARShigeru Shinohara, Board member
28
SEC EDGARDavid B. Chemidlin, Board member
29
SEC EDGARJohn F. Wallace, Board member
30
SEC EDGARChor Weng Tan, Board member
31
SEC EDGARWilliam G. Grollman, Board member