JOFNYSEFiscal year ends February 28
JAPAN SMALLER CAPITALIZATION FUND INC
$11.92+0.03 (+0.25%)
Close on Oct 19, 2026
- Market cap
- –
- P/E (TTM)
- –
- Dividend yield
- –
Ownership
Institutional holdings as of Jun 30, 2026, from 13F filings
Held by institutions
21M
Shares held, 13F filers
Institutional holders
57
12 new, 9 sold out
Net institutional buying
-1M
In Q2 2026
Insider trades, 12 months
1 buys · 0 sales
Net bought $10.26K
Shares held by institutions
Holders of more than 5%
Latest Schedule 13D (active) or 13G (passive) filed by each holder
| Holder | Shares | % of class | Filing | As of |
|---|---|---|---|---|
| City of London Investment Management Company Limited | 3,894,571 | 13.70% | 13G (passive) amendment | Jun 30, 2026 |
| Allspring Global Investments Holdings, LLC | 3,795,783 | 13.40% | 13G (passive) amendment | Sep 30, 2026 |
| Lazard Asset Management LLC | 3,480,024 | 12.30% | 13G (passive) | Nov 28, 2025 |
| 1607 Capital Partners, LLC | 2,724,109 | 9.61% | 13G (passive) amendment | Jun 30, 2026 |
| Saba Capital Management GP, LLC | 2,696,154 | 10.57% | 13D (active) amendment | Oct 13, 2026 |
| Saba Capital Management, L.P. | 2,494,542 | 8.80% | 13D (active) amendment | Sep 21, 2026 |
| Boaz R. Weinstein | 2,190,551 | 7.73% | 13D (active) amendment | Aug 28, 2026 |
Top institutional holders
13F holdings as of Jun 30, 2026
| Holder | Shares | % of JOF | Value | Change | % of portfolio |
|---|---|---|---|---|---|
| Allspring Global Investments Holdings, LLC | 4,483,067 | – | $52.81M | −592,502 | 0.08% |
| City Of London Investment Management Co Ltd | 3,894,571 | – | $45.88M | +174,562 | 2.76% |
| Lazard Asset Management LLC | 3,560,978 | – | $41.95M | +60,365 | 0.06% |
| 1607 Capital Partners, LLC | 2,724,109 | – | $32.09M | −860,491 | 2.79% |
| Saba Capital Management, L.P. | 1,948,781 | – | $22.96M | +346,975 | 0.59% |
| Bank Of America Corp /De/ | 443,293 | – | $5.22M | – | 0.00% |
| Karpus Management, Inc. | 417,754 | – | $4.92M | −18,700 | 0.14% |
| Almitas Capital LLC | 386,375 | – | $4.55M | −16,581 | 1.09% |
| Morgan Stanley | 289,647 | – | $3.41M | −246,176 | 0.00% |
| Pekin Hardy Strauss, Inc. | 281,705 | – | $3.32M | +47,136 | 0.29% |
| Raffles Associates LP | 221,934 | – | $2.61M | +110,967 | 1.15% |
| Mraz, Amerine & Associates, Inc. | 202,362 | – | $2.38M | +6,909 | 0.34% |
| Bulldog Investors, LLP | 187,557 | – | $2.21M | +83,376 | 0.49% |
| Flagship Harbor Advisors, LLC | 162,571 | – | $1.92M | New | 0.07% |
| LPL Financial LLC | 150,688 | – | $1.78M | +31,520 | 0.00% |
| Altium Capital Management LP | 150,412 | – | $1.77M | – | 3.73% |
| Raymond James Financial Inc | 106,861 | – | $1.26M | +650 | 0.00% |
| Cibc World Market Inc. | 105,444 | – | $1.24M | +11,096 | 0.00% |
| Hara Capital LLC | 98,764 | – | $1.16M | −1,200 | 0.61% |
| Shaker Financial Services, LLC | 93,079 | – | $1.10M | +3,000 | 0.34% |
Institutional buying and selling by quarter
Positions opened, added to, reduced and closed by 13F filers
| Quarter | Holders | Shares held | New / added | Reduced / closed | Shares bought | Shares sold |
|---|---|---|---|---|---|---|
| Q2 2026 | 57 | 21M | 12 / 16 | 14 / 9 | 1M | 2M |
| Q1 2026 | 55 | 22M | 9 / 14 | 20 / 5 | 1M | 1M |
| Q4 2025 | 51 | 22M | 11 / 10 | 20 / 6 | 2M | 2M |
| Q3 2025 | 46 | 22M | 2 / 13 | 21 / 6 | 1M | 1M |
| Q2 2025 | 50 | 22M | 4 / 15 | 18 / 7 | 2M | 2M |
| Q1 2025 | 53 | 22M | 4 / 14 | 21 / 7 | 1M | 1M |
| Q4 2024 | 56 | 23M | 7 / 16 | 19 / 6 | 2M | 1M |
| Q3 2024 | 56 | 23M | 9 / 18 | 15 / 2 | 1M | 1M |
| Q2 2024 | 50 | 22M | 4 / 19 | 9 / 3 | 1M | 1M |
| Q1 2024 | 50 | 22M | 6 / 14 | 13 / 5 | 0M | 1M |
| Q4 2023 | 50 | 23M | 7 / 18 | 14 / 8 | 1M | 1M |
| Q3 2023 | 51 | 22M | 7 / 9 | 17 / 3 | 0M | 0M |
Top mutual fund and ETF holders
Latest monthly portfolio reports (Form N-PORT)
| Fund | Shares | % of JOF | Value | % of fund | As of |
|---|---|---|---|---|---|
| Saba Closed-End Funds ETF | 647,123 | – | $7.64M | 1.81% | May 31, 2026 |
| The Institutional International Equity Portfolio | 424,852 | – | $5.00M | 0.39% | Jun 30, 2026 |
| Modern Capital Tactical Income Fund | 38,600 | – | $454.71K | 0.67% | Jun 30, 2026 |
| Multi-Hedge Strategies Fund | 249 | – | $2.93K | 0.01% | Jun 30, 2026 |
| Guggenheim Multi-Hedge Strategies Fund | 88 | – | $1.04K | 0.01% | Jun 30, 2026 |
Officers, directors and major owners
People who filed Forms 3, 4 or 5 in the last two years
| Name | Role | Shares owned | Latest filing |
|---|---|---|---|
| Yusuke Andoh | President, Director | – | Apr 11, 2025 |
| Robert A. Devault | Treasurer | – | Aug 3, 2026 |
| Tina Jones | Director | 950 | Dec 23, 2025 |
| David B. Chemidlin | Director | 2,432 | Sep 19, 2025 |
| Arthur Blake Laby | Director | 3,306 | Jan 14, 2025 |
| Paige Ouimet | Director | 3,111 | Dec 11, 2024 |
| Shoichi Ohkoshi | – | – | Apr 8, 2026 |
Insider trades
Common stock transactions reported on Form 4, newest first
| Insider | Date | Transaction | Shares | Price | Value | Shares after |
|---|---|---|---|---|---|---|
| Tina Jones Director | Dec 22, 2025 | Buy | +950 | $10.80 | $10.26K | 950 |
| David B. Chemidlin Director | Sep 17, 2025 | Buy | +2,000 | $10.90 | $21.80K | 2,432 |
| Arthur Blake Laby Director | Jan 13, 2025 | Buy | +3,306 | $7.56 | $24.99K | 3,306 |
| Paige Ouimet Director | Dec 11, 2024 | Buy | +3,111 | $8.02 | $24.95K | 3,111 |
| Rodney A. Buck Director | Jun 20, 2023 | Buy | +9,000 | $7.42 | $66.78K | 15,210 |
| Marcia L. MacHarg Director | Jul 27, 2015 | Buy | +945 | $10.61 | $10.03K | 945 |
| E. Han Kim Director | May 31, 2013 | Buy | +5,000 | $8.88 | $44.40K | 5,000 |
| David B. Chemidlin Director | Jan 9, 2013 | Buy | +130 | $7.27 | $945 | 130 |
| Rodney A. Buck Director | Aug 4, 2011 | Option exercise | +2,210 | $7.60 | $16.80K | 6,210 |
| Chor Weng Tan Director | Aug 4, 2011 | Option exercise | +1,105 | $7.60 | $8.40K | 3,105 |
| Chor Weng Tan Director | Oct 7, 2009 | Sale | −170 | $7.68 | $1.31K | 2,000 |
| Chor Weng Tan Director | Oct 7, 2009 | Sale | −170 | $7.68 | $1.31K | 2,170 |
| Chor Weng Tan Director | Oct 7, 2009 | Sale | −1,000 | $7.68 | $7.68K | 2,340 |
| Rodney A. Buck Director | Sep 15, 2008 | Buy | +2,000 | $7.40 | $14.80K | 4,000 |
| Chor Weng Tan Director | Dec 27, 2007 | Buy | +500 | $9.46 | $4.73K | 3,340 |
| Chor Weng Tan Director | Dec 26, 2007 | Buy | +500 | $9.64 | $4.82K | 2,840 |
| Chor Weng Tan Director | Dec 26, 2007 | Buy | +500 | $9.64 | $4.82K | 2,840 |
| Rodney A. Buck Director | Feb 23, 2007 | Sale | −1,477 | $13.80 | $20.38K | 2,000 |
| Rodney A. Buck Director | Feb 23, 2007 | Buy | −1,477 | $13.80 | $20.38K | 2,000 |
| William G. Grollman Director | Apr 5, 2006 | Sale | −600 | $17.63 | $10.58K | 400 |
| William G. Grollman Director | Apr 5, 2006 | Sale | −400 | $17.62 | $7.05K | 0 |
| Chor Weng Tan Director | Mar 1, 2006 | Gift | +1,000 | – | – | 2,340 |
| Chor Weng Tan Director | Feb 21, 2006 | Buy | +1,000 | $15.55 | $15.55K | 1,340 |
| William G. Grollman Director | Jan 17, 2006 | Buy | +1,000 | $15.80 | $15.80K | 1,000 |
| John F. Wallace Director | Dec 15, 2005 | Option exercise | +466 | $13.98 | $6.51K | 1,866 |
| John F. Wallace Director | Dec 15, 2005 | Buy | +146 | $13.98 | $2.04K | 2,146 |
| John F. Wallace Director | Dec 15, 2005 | Option exercise | +134 | $13.98 | $1.87K | 2,000 |
| John F. Wallace Director | Dec 15, 2005 | Option exercise | +134 | $13.98 | $1.87K | 2,000 |
| John F. Wallace Director | Dec 15, 2005 | Option exercise | +466 | $13.98 | $6.51K | 1,866 |
Awards, option exercises, tax withholding and gifts are shown alongside open-market buys and sales. Each name links to the filing on SEC EDGAR.