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Japan Smaller Capitalization Fund Inc

JOF
Exchange
NYSE
SEC CIK
0000859796

In the last 90 days, Japan Smaller Capitalization Fund Inc insiders filed 6 open-market purchases and 1 sale; 56 institutions reported holding it in 13F filings for Q2 2026, worth $242.6M in total; no superinvestor holds it.

Holders of 5% or more of JOF

Holders whose latest Schedule 13D or 13G filing reports 5% or more of Japan Smaller Capitalization Fund Inc, largest stake first. The change is against the holder's previous filing.

Holders of 5% or more of JOF
HolderLatest formStakeChangeFirst filedLatest filingFiling
Allspring Global Investments Holdings, LLC13G/A13.40%3.80M shares−2.40 ppfrom 15.80%Dec 9, 20217 filingsOct 7, 2026SEC
City of London Investment Management Co Ltd13G/A12.60%3.22M shares−1.10 ppfrom 13.70%Feb 12, 20217 filingsOct 23, 2026SEC
Lazard Asset Management LLC13G12.30%3.48M shares+4.18 ppfrom 8.12%Feb 10, 20218 filingsDec 3, 2025SEC
Saba Capital Management, L.P.13D/A10.57%2.70M shares+1.77 ppfrom 8.80%Mar 10, 202511 filingsOct 15, 2026SEC
1607 Capital Partners, LLC13G/A9.61%2.72M shares−3.04 ppfrom 12.65%Feb 16, 20218 filingsAug 14, 2026SEC

Stakes are as of each holder's latest filing. Holders whose last filing was in the old format (before December 18, 2024) have no stake on record and are not listed, and after an acquisition or delisting holders usually stop filing.

13D and 13G filings

43 Schedule 13D and 13G filings on Japan Smaller Capitalization Fund Inc, newest first, including old-format filings without a stake.

Schedule 13D and 13G filings on JOF
Filed (ET)FilerFormStakeChangeEvent dateFiling
Oct 23, 20264:05 PM ETCity of London Investment Management Co Ltd13G/A12.60%3.22M shares−1.10 ppfrom 13.70%Sep 30, 2026SEC
Oct 15, 20267:56 PM ETSaba Capital Management, L.P.and 2 others13D/A10.57%2.70M shares+1.77 ppfrom 8.80%Oct 13, 2026SEC
Oct 7, 20261:29 PM ETAllspring Global Investments Holdings, LLC13G/A13.40%3.80M shares−2.40 ppfrom 15.80%Sep 30, 2026SEC
Sep 23, 202611:00 AM ETSaba Capital Management, L.P.and 2 others13D/A8.80%2.49M shares+1.07 ppfrom 7.73%Sep 21, 2026SEC
Aug 31, 20264:36 PM ETSaba Capital Management, L.P.and 2 others13D/A7.73%2.19M shares+1.00 ppfrom 6.73%Aug 28, 2026SEC
Aug 14, 20262:17 PM ET1607 Capital Partners, LLC13G/A9.61%2.72M shares−3.04 ppfrom 12.65%Jun 30, 2026SEC
Jul 31, 20261:54 PM ETAllspring Global Investments Holdings, LLC13G/A15.80%4.48M shares−2.70 ppfrom 18.50%Jun 30, 2026SEC
Jul 24, 20264:02 PM ETCity of London Investment Management Co Ltd13G/A13.70%3.89M shares+1.30 ppfrom 12.40%Jun 30, 2026SEC
May 15, 20264:00 PM ET1607 Capital Partners, LLC13G/A12.65%3.58M shares−2.35 ppfrom 15.00%Mar 31, 2026SEC
Apr 30, 20263:19 PM ETSaba Capital Management, L.P.and 2 others13D/A6.73%1.91M shares+1.13 ppfrom 5.60%Apr 29, 2026SEC
Feb 18, 20261:33 PM ETSaba Capital Management, L.P.and 2 others13D/A5.60%1.59M shares+0.67 ppfrom 4.93%Feb 13, 2026SEC
Jan 22, 202612:23 PM ETSaba Capital Management, L.P.and 2 others13D/A4.93%1.40M shares−0.22 ppfrom 5.15%Below 5%Jan 20, 2026SEC
Jan 15, 20265:17 PM ETSaba Capital Management, L.P.and 2 others13D/A5.15%1.46M shares−1.12 ppfrom 6.27%Jan 14, 2026SEC
Dec 3, 20253:30 PM ETLazard Asset Management LLC13G12.30%3.48M shares+4.18 ppfrom 8.12%Nov 28, 2025SEC
Nov 14, 20254:02 PM ETCity of London Investment Management Co Ltd13G/A12.40%3.52M shares–Sep 30, 2025SEC
Nov 10, 20256:40 PM ETSaba Capital Management, L.P.and 2 others13D/A6.27%1.78M shares−1.17 ppfrom 7.44%Nov 6, 2025SEC
Aug 14, 20255:05 PM ET1607 Capital Partners, LLC13G/A15.00%4.25M shares−1.12 ppfrom 16.12%Jun 30, 2025SEC
May 23, 20251:30 PM ETSaba Capital Management, L.P.and 2 others13D/A7.44%2.11M shares+1.07 ppfrom 6.37%May 21, 2025SEC
May 15, 20253:39 PM ETLazard Asset Management LLC13G/A8.12%2.30M shares+0.27 ppfrom 7.85%Mar 31, 2025SEC
May 15, 202510:35 AM ET1607 Capital Partners, LLC13G/A16.12%4.57M shares–Mar 31, 2025SEC
Apr 23, 20252:36 PM ETSaba Capital Management, L.P.and 2 others13D/A6.37%1.81M shares+1.26 ppfrom 5.11%Apr 22, 2025SEC
Mar 10, 20258:16 PM ETSaba Capital Management, L.P.and 2 others13D5.11%1.45M sharesNewMar 6, 2025SEC
Feb 14, 20252:50 PM ETLazard Asset Management LLC13G7.85%2.22M shares−0.08 ppfrom 7.93%Dec 31, 2024SEC
Jan 13, 20252:57 PM ETAllspring Global Investments Holdings, LLC13G/A18.50%5.24M shares–Dec 31, 2024SEC
Nov 14, 20245:55 PM ETLazard Asset Management LLC13G7.93%2.25M shares–Sep 30, 2024SEC
Oct 9, 2024Allspring Global Investments Holdings, LLC13G/AOld format–––SEC
Feb 14, 2024Lazard Asset Management LLC13G/AOld format–––SEC
Feb 9, 2024City of London Investment Management Co Ltd13G/AOld format–––SEC
Feb 8, 20241607 Capital Partners, LLC13G/AOld format–––SEC
Jan 12, 2024Allspring Global Investments Holdings, LLC13G/AOld format–––SEC
Mar 8, 2023Lazard Asset Management LLC13G/AOld format–––SEC
Feb 14, 20231607 Capital Partners, LLC13G/AOld format–––SEC
Feb 13, 2023City of London Investment Management Co Ltd13G/AOld format–––SEC
Jan 13, 2023Allspring Global Investments Holdings, LLC13G/AOld format–––SEC
Feb 14, 20221607 Capital Partners, LLC13G/AOld format–––SEC
Feb 11, 2022City of London Investment Management Co Ltd13G/AOld format–––SEC
Feb 10, 2022Lazard Asset Management LLC13G/AOld format–––SEC
Dec 9, 2021Allspring Global Investments Holdings, LLC13GOld format–New–SEC
Dec 8, 20214:19 PM ETWells Fargo & Company13G/AOld format–––SEC
Feb 16, 20211607 Capital Partners, LLC13G/AOld format–––SEC
Feb 12, 2021City of London Investment Management Co Ltd13G/AOld format–––SEC
Feb 11, 20215:15 PM ETWells Fargo & Company13G/AOld format–––SEC
Feb 10, 2021Lazard Asset Management LLC13G/AOld format–––SEC

Form 144: proposed insider sales

Notices from officers, directors and other affiliates planning to sell Japan Smaller Capitalization Fund Inc shares.

No Form 144 notices for Japan Smaller Capitalization Fund Inc are on file.