Basic Stats
| LEI | 5493000KJSHWEB3YKZ37 |
| CIK | 859796 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Japan Smaller Capitalization Fund, Inc.
SEC Filings (Chronological Order)
This page provides a complete, chronological list of SEC Filings, excluding ownership filings which we provide elsewhere.
| October 24, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy Stat |
|
| October 9, 2024 |
SC 13G/A 1 Japansmaller20240930.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3) JAPAN SMALLER CAPITALIZATION FUND INC (Name of Issuer) COM (Title of Class of Securities) 47109U104 (CUSIP Number) September 30, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to |
|
| August 30, 2024 |
JAPAN SMALLER CAPITALIZATION FUND, INC. AMENDED AND RESTATED BYLAWS Dated: August 26, 2024 ARTICLE I Exhibit 3.1 JAPAN SMALLER CAPITALIZATION FUND, INC. AMENDED AND RESTATED BYLAWS Dated: August 26, 2024 ARTICLE I Offices Section 1. Principal Office. The principal office of the Corporation in the State of Maryland shall be located at such place as the Board of Directors may designate. Section 2. Principal Executive Office. The Corporation may have additional offices, including a principal executi |
|
| August 30, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 26, 2024 JAPAN SMALLER CAPITALIZATION FUND, INC. (Exact name of registrant as specified in its charter) Maryland 811-05992 13-3553469 (State or other jurisdiction of incorporat |
|
| February 14, 2024 |
JOF / Japan Smaller Capitalization Fund, Inc. / LAZARD ASSET MANAGEMENT LLC Passive Investment SC 13G/A 1 r13gajapansmallcap.htm SCHEDULE 13G/A CUSIP No: 47109U104 1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: Lazard Asset Management LLC 2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) o (b) x 3) SEC USE ONLY 4) CITIZENSHIP OR PLACE OF ORGANIZATION: Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 5) SOLE VOTING POWER: 3,219 |
|
| February 9, 2024 |
SC 13G/A 1 col13g18751f.htm CITY OF LONDON INVESTMENT MGT CO LTD / JAPAN SMALLER CAP FUND - SCH13G/A(#5) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 5)* Japan Smaller Capitalization Fund, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 47109U104 (CUSIP Number) December 31, 2023 (Date |
|
| February 8, 2024 |
JOF / Japan Smaller Capitalization Fund, Inc. / 1607 Capital Partners, LLC Passive Investment SC 13G/A 1 jof-123123a13.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 13)* Japan Smaller Capitalization Fund, Inc. (Name of Issuer) Common Stock, par value $0.10 per share (Title of Class of Securities) 47109U104 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statemen |
|
| January 12, 2024 |
SC 13G/A 1 Japansmaller20231231.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2) JAPAN SMALLER CAPITALIZATION FUND INC (Name of Issuer) COM (Title of Class of Securities) 47109U104 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to d |
|
| October 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy St |
|
| March 8, 2023 |
JOF / Japan Smaller Capitalization Fund Inc. / LAZARD ASSET MANAGEMENT LLC Passive Investment SCHEDULE 13G/A CUSIP No: 47109U104 1)NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: Lazard Asset Management LLC 2)CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)o (b)o 3)SEC USE ONLY 4)CITIZENSHIP OR PLACE OF ORGANIZATION: Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 5)SOLE VOTING POWER: 3,326,969 6)SHARED VOTING POWER: - 7)SOLE DISP |
|
| March 8, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8‑K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 28, 2023 JAPAN SMALLER CAPITALIZATION FUND, INC. (Exact name of registrant as specified in its charter) Investment Company Act File Number: 811-05992 Maryland (State or other |
|
| March 8, 2023 |
Exhibit 99(i) Japan Smaller Capitalization Fund, Inc. Report of Special Committee of Independent Directors February 28, 2023 This Report of the Special Committee of the Independent Directors of Japan Smaller Capitalization Fund, Inc. (the “Fund”) informs the Board of Directors (the “Board”) and the shareholders of the Fund of the work undertaken by the Special Committee, including the process for |
|
| February 14, 2023 |
JOF / Japan Smaller Capitalizaion Fund Inc. / 1607 Capital Partners, LLC Passive Investment SC 13G/A 1 jof-123122a12.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 12)* Japan Smaller Capitalization Fund (Name of Issuer) Common Stock, par value $0.10 per share (Title of Class of Securities) 47109U104 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of this Statement) Che |
|
| February 13, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4)* Japan Smaller Capitalization Fund, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 47109U104 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of This Statement) Check the appropriate box to designate the rule pursua |
|
| January 17, 2023 |
JAPAN SMALLER CAPITALIZATION FUND, INC. SCHEDULE OF INVESTMENTS November 30, 2022 (unaudited) JAPAN SMALLER CAPITALIZATION FUND, INC. SCHEDULE OF INVESTMENTS November 30, 2022 (unaudited) Shares Fair Value COMMON STOCKS — 98.6% JAPAN — 98.6% Banks — 10.7% Daishi Hokuetsu Financial Group, Inc. 65,100 $ 1,223,619 Okinawa Financial Group, Inc. 155,800 2,398,214 The Akita Bank, Ltd. 407,400 4,925,596 The Bank of Saga Ltd. 60,900 703,945 The Gunma Bank, Ltd. 182,300 590,281 The Hyakugo Bank, Lt |
|
| January 13, 2023 |
SC 13G/A 1 Japansmaller47109U104AMD1.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1) JAPAN SMALLER CAPITALIZATION FUND INC (Name of Issuer) COM (Title of Class of Securities) 47109U104 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box |
|
| December 20, 2022 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits 8-K 1 brhc100456998k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8‑K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 15, 2022 JAPAN SMALLER CAPITALIZATION FUND, INC. (Exact name of registrant as specified in its charter) Investment Company Act File Number: 811-0 |
|
| December 20, 2022 |
Exhibit (g)(1) MANAGEMENT AGREEMENT AGREEMENT made on December 15, 2022, by and between JAPAN SMALLER CAPITALIZATION FUND, INC. |
|
| November 7, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ?? Check the appropriate box: ?? ? ? Preliminary Proxy Statement ?? ? ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? ? ? Definit |
|
| October 28, 2022 |
[DRAFT 10/28/22] UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
|
| October 28, 2022 |
CORRESP 1 filename1.htm SIDLEY AUSTIN LLP 787 SEVENTH AVENUE NEW YORK, NY 10019 +1 212 839 5300 +1 212 839 5599 FAX AMERICA • ASIA PACIFIC • EUROPE +1 212 839 8615 [email protected] U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Attention: Kimberly Browning October 28, 2022 Re: Japan Smaller Capitalization Fund, Inc. Preliminary Proxy Statement on Schedule 14A Fil |
|
| September 30, 2022 |
PRE 14A 1 hc10042453x1pre14a.htm PRE 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by |
|
| August 10, 2022 |
SIDLEY AUSTIN LLP 787 SEVENTH AVENUE NEW YORK, NY 10019 +1 212 839 5300 +1 212 839 5599 FAX AMERICA ? ASIA PACIFIC ? EUROPE +1 212 839 8615 JKEAN@SIDLEY. |
|
| July 14, 2022 |
JAPAN SMALLER CAPITALIZATION FUND, INC. SCHEDULE OF INVESTMENTS May 31, 2022 (unaudited) JAPAN SMALLER CAPITALIZATION FUND, INC. SCHEDULE OF INVESTMENTS May 31, 2022 (unaudited) Shares Fair Value COMMON STOCKS — 98.3% JAPAN — 98.3% Banks — 9.8% Fukuoka Financial Group, Inc. 78,000 1,334,543 Okinawa Financial Group, Inc. 127,000 2,113,620 The Akita Bank, Ltd. 360,900 4,282,221 The Gunma Bank, Ltd. 425,100 1,157,635 The Hyakugo Bank, Ltd. 151,000 374,783 The Keiyo Bank, Ltd. 846,200 3,0 |
|
| February 14, 2022 |
JOF / Japan Smaller Capitalizaion Fund Inc. / 1607 Capital Partners, LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. |
|
| February 11, 2022 |
SC 13G/A 1 col13g18540f.htm CITY OF LONDON INVESTMENT MGT CO LTD / JAPAN SMALLER CAP FUND UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* Japan Smaller Capitalization Fund, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 47109U104 (CUSIP Number) December 31, 2021 (Date of Event Whic |
|
| February 10, 2022 |
JOF / Japan Smaller Capitalizaion Fund Inc. / LAZARD ASSET MANAGEMENT LLC Passive Investment SC 13G/A 1 r13gajapansmallcap.htm SCHEDULE 13G/A CUSIP No: 47109U104 1)NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: Lazard Asset Management LLC 2)CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)o (b)o 3)SEC USE ONLY 4)CITIZENSHIP OR PLACE OF ORGANIZATION: Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 5)SOLE VOTING POWER: 3,340,660 6) |
|
| January 19, 2022 |
JAPAN SMALLER CAPITALIZATION FUND, INC. SCHEDULE OF INVESTMENTS November 30, 2021 (unaudited) JAPAN SMALLER CAPITALIZATION FUND, INC. SCHEDULE OF INVESTMENTS November 30, 2021 (unaudited) Shares Fair Value COMMON STOCKS — 98.8% JAPAN — 98.8% Banks — 7.2% Fukuoka Financial Group, Inc. 76,500 1,242,440 Okinawa Financial Group, Inc. 126,700 2,313,000 The Akita Bank, Ltd. 356,100 4,499,629 The Keiyo Bank, Ltd. 823,300 3,070,006 The Musashino Bank, Ltd. 173,600 2,389,934 The Taiko Bank, Ltd. 26 |
|
| December 9, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. ) JAPAN SMALLER CAPITALIZATION FUND INC (Name of Issuer) COM (Title of Class of Securities) 47109U104 (CUSIP Number) November 30, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which t |
|
| December 8, 2021 |
JOF / Japan Smaller Capitalizaion Fund Inc. / WELLS FARGO & COMPANY/MN Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 9) JAPAN SMALLER CAPITALIZATION (Name of Issuer) COM (Title of Class of Securities) 47109U104 (CUSIP Number) November 30, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sche |
|
| October 8, 2021 |
DEF 14A 1 hc10029268x1def14a.htm DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Prelimina |
|
| July 20, 2021 |
JAPAN SMALLER CAPITALIZATION FUND, INC. SCHEDULE OF INVESTMENTS May 31, 2021 (Unaudited) JAPAN SMALLER CAPITALIZATION FUND, INC. SCHEDULE OF INVESTMENTS May 31, 2021 (Unaudited) Shares Fair Value COMMON STOCKS — 98.4% JAPAN — 98.4% Banks — 7.1% Fukuoka Financial Group, Inc. 103,900 $ 1,987,472 The Akita Bank, Ltd. 340,400 4,407,054 The Bank of Okinawa, Ltd. 112,900 2,735,257 The Keiyo Bank, Ltd. 791,700 3,012,979 The Musashino Bank, Ltd. 162,300 2,630,254 The Taiko Bank, Ltd. 264,300 |
|
| February 16, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. |
|
| February 12, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2 )* Japan Smaller Capitalization Fund, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 47109U104 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of This Statement) Check the appropriate box to designate the rule pursu |
|
| February 11, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 8) JAPAN SMALLER CAPITALIZATION (Name of Issuer) COM (Title of Class of Securities) 47109U104 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sche |
|
| February 10, 2021 |
SCHEDULE 13G/A CUSIP No: 47109U104 1)NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: Lazard Asset Management LLC 2)CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)o (b)o 3)SEC USE ONLY 4)CITIZENSHIP OR PLACE OF ORGANIZATION: Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 5)SOLE VOTING POWER: 3,458,474 6)SHARED VOTING POWER: - 7)SOLE DISP |
|
| January 22, 2021 |
JAPAN SMALLER CAPITALIZATION FUND, INC. SCHEDULE OF INVESTMENTS November 30, 2020 (Unaudited) Shares Fair Value JAPANESE EQUITY SECURITIES Banks Fukuoka Financial Group, Inc. 90,500 $ 1,615,498 General banking services The Akita Bank, Ltd. 254,900 3,402,249 General banking services The Bank of Okinawa, Ltd. 84,700 2,396,580 General banking services The Keiyo Bank, Ltd. 575,200 2,518,722 General ba |
|
| October 13, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy St |
|
| July 24, 2020 |
Schedule of Investments Japan Smaller Capitalization Fund, Inc. May 29, 2020 (Unaudited) Fair Shares Value JAPANESE EQUITY SECURITIES Banks Fukuoka Financial Group, Inc. 84,900 $ 1,380,930 General banking services The Akita Bank, Ltd. 239,100 3,445,347 General banking services The Bank of Okinawa, Ltd. 76,800 2,358,692 General banking services The Keiyo Bank, Ltd. 520,300 2,500,723 General banking |
|
| April 2, 2020 |
SIDLEY AUSTIN LLP 787 SEVENTH AVENUE NEW YORK, NY 10019 +1 212 839 5300 +1 212 839 5599 FAX AMERICA • ASIA PACIFIC • EUROPE April 2, 2020 VIA EDGAR U. |
|
| March 30, 2020 |
Changes in Registrant's Certifying Accountant UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8‑K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 30, 2020 JAPAN SMALLER CAPITALIZATION FUND, INC. (Exact name of registrant as specified in its charter) Investment Company Act File Number: 811-05992 Maryland 13-3553469 (State |
|
| March 4, 2020 |
Exhibit 16.1 March 4, 2020 Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Ladies and Gentlemen: We have read the statements made by Japan Smaller Capitalization Fund, Inc. in its Form 8-K dated March 4, 2020, which we understand will be filed with the Commission pursuant to Item 4 of Form 8-K. We agree with the statements concerning our Firm in such Form 8-K. Very truly y |
|
| March 4, 2020 |
Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8‑K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 27, 2020 JAPAN SMALLER CAPITALIZATION FUND, INC. (Exact name of registrant as specified in its charter) Investment Company Act File Number: 811-05992 Maryland 13-3553469 (Sta |
|
| February 14, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. |
|
| February 12, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
|
| February 11, 2020 |
JOF / Japan Smaller Capitalization Fund, Inc. / LAZARD ASSET MANAGEMENT LLC Passive Investment SCHEDULE 13G/A CUSIP No: 47109U104 1)NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: Lazard Asset Management LLC 2)CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)o (b)o 3)SEC USE ONLY 4)CITIZENSHIP OR PLACE OF ORGANIZATION: Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 5)SOLE VOTING POWER: 3,484,283 6)SHARED VOTING POWER: - 7)SOLE DISP |
|
| February 4, 2020 |
JOF / Japan Smaller Capitalization Fund, Inc. / WELLS FARGO & COMPANY/MN Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 7) JAPAN SMALLER CAPTLZTN FD IN (Name of Issuer) COM (Title of Class of Securities) 47109U104 (CUSIP Number) December 31, 2019 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sche |
|
| January 23, 2020 |
Japan Smaller Capitalization Fund, Inc. Worldwide Plaza 309 West 49th Street New York, New York 10019 CERTIFICATIONS I, Yuichi Nomoto, certify that: 1. I have reviewed this report on Form N-Q of Japan Smaller Capitalization Fund, Inc. (the “Registrant”); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make |
|
| January 23, 2020 |
JOF / Japan Smaller Capitalization Fund, Inc. N-Q - Quarterly Schedule of Portfolio Holdings - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-05992 JAPAN SMALLER CAPITALIZATION FUND, INC. |
|
| October 11, 2019 |
JOF / Japan Smaller Capitalization Fund, Inc. DEF 14A - - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy State |
|
| July 26, 2019 |
Japan Smaller Capitalization Fund, Inc. Worldwide Plaza 309 West 49th St. New York, New York 10019 Exhibit (a) Japan Smaller Capitalization Fund, Inc. Worldwide Plaza 309 West 49th St. New York, New York 10019 CERTIFICATIONS I, Yuichi Nomoto, certify that: 1. I have reviewed this report on Form N-Q of Japan Smaller Capitalization Fund, Inc. (the “Registrant”); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessar |
|
| July 26, 2019 |
JOF / Japan Smaller Capitalization Fund, Inc. N-Q - Quarterly Schedule of Portfolio Holdings - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-05992 JAPAN SMALLER CAPITALIZATION FUND, INC. |
|
| February 14, 2019 |
JOF / Japan Smaller Capitalization Fund, Inc. / RMB Capital Management, LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. |
|
| February 14, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. |
|
| February 13, 2019 |
JOF / Japan Smaller Capitalization Fund, Inc. / LAZARD ASSET MANAGEMENT LLC Passive Investment SCHEDULE 13G/A CUSIP No: 47109U104 1)NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: Lazard Asset Management LLC 2)CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)o (b)o 3)SEC USE ONLY 4)CITIZENSHIP OR PLACE OF ORGANIZATION: Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 5)SOLE VOTING POWER: 3,621,001 6)SHARED VOTING POWER: - 7)SOLE DISP |
|
| February 8, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
|
| January 24, 2019 |
JOF / Japan Smaller Capitalization Fund, Inc. N-Q (Quarterly Schedule of Portfolio Holdings) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-05992 JAPAN SMALLER CAPITALIZATION FUND, INC. |
|
| January 24, 2019 |
Japan Smaller Capitalization Fund, Inc. Worldwide Plaza 309 West 49th St. New York, New York 10019 Exhibit (a) Japan Smaller Capitalization Fund, Inc. Worldwide Plaza 309 West 49th St. New York, New York 10019 CERTIFICATIONS I, Yutaka Itabashi, certify that: 1. I have reviewed this report on Form N-Q of Japan Smaller Capitalization Fund, Inc. (the “Registrant”); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necess |
|
| January 22, 2019 |
JOF / Japan Smaller Capitalization Fund, Inc. / WELLS FARGO & COMPANY/MN Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 6) JAPAN SMALLER CAPTLZTN FD IN (Name of Issuer) COM (Title of Class of Securities) 47109U104 (CUSIP Number) December 31, 2018 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sche |
|
| December 10, 2018 |
JOF / Japan Smaller Capitalization Fund, Inc. / WELLS FARGO & COMPANY/MN Passive Investment SC 13G/A 1 wfjapansmall-47109u104.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 5) JAPAN SMALLER CAPTLZTN FD IN (Name of Issuer) COM (Title of Class of Securities) 47109U104 (CUSIP Number) November 30, 2018 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designat |
|
| October 5, 2018 |
JOF / Japan Smaller Capitalization Fund, Inc. DEF 14A DEF 14A 1 efc18-579fmdef14a.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6 |
|
| July 27, 2018 |
JOF / Japan Smaller Capitalization Fund, Inc. N-Q (Quarterly Schedule of Portfolio Holdings) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-05992 JAPAN SMALLER CAPITALIZATION FUND, INC. |
|
| July 27, 2018 |
Japan Smaller Capitalization Fund, Inc. Worldwide Plaza 309 West 49th St. New York, New York 10019 Exhibit (a) Japan Smaller Capitalization Fund, Inc. Worldwide Plaza 309 West 49th St. New York, New York 10019 CERTIFICATIONS I, Yutaka Itabashi, certify that: 1. I have reviewed this report on Form N-Q of Japan Smaller Capitalization Fund, Inc. (the “Registrant”); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necess |
|
| April 27, 2018 |
Report of Independent Registered Public Accounting Firm EXHIBIT 99.77B ACCT LTTR Report of Independent Registered Public Accounting Firm To the Board of Directors and Shareholders Japan Smaller Capitalization Fund, Inc. In planning and performing our audit of the financial statements of Japan Smaller Capitalization Fund, Inc. (the Fund), as of and for the year ended February 28, 2018, in accordance with the standards of the Public Company Accounting Ov |
|
| February 14, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. |
|
| February 14, 2018 |
JOF / Japan Smaller Capitalization Fund, Inc. / Karpus Management, Inc. Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13 G Under the Securities Exchange Act of 1934 (Amendment No. 2) Japan Smaller Capitalization Fund (JOF) (Name of Issuer) Common Stock (Title of Class of Securities) 47109U104 (CUSIP Number) December 31, 2017 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursua |
|
| February 13, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. |
|
| February 8, 2018 |
JOF / Japan Smaller Capitalization Fund, Inc. / LAZARD ASSET MANAGEMENT LLC Passive Investment SC 13G/A 1 r13gajapansmallcap.htm SCHEDULE 13G/A CUSIP No: 47109U104 1)NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: Lazard Asset Management LLC 2)CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)o (b)o 3)SEC USE ONLY 4)CITIZENSHIP OR PLACE OF ORGANIZATION: Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 5)SOLE VOTING POWER: 3,826,202 6) |
|
| January 29, 2018 |
JOF / Japan Smaller Capitalization Fund, Inc. / WELLS FARGO & COMPANY/MN Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4) JAPAN SMALLER CAPTLZTN FD IN (Name of Issuer) COM (Title of Class of Securities) 47109U104 (CUSIP Number) December 31, 2017 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sche |
|
| January 26, 2018 |
Japan Smaller Capitalization Fund, Inc. Worldwide Plaza 309 West 49th St. New York, New York 10019 EX-99.CERT 2 efc18-066ex99cert.htm Exhibit (a) Japan Smaller Capitalization Fund, Inc. Worldwide Plaza 309 West 49th St. New York, New York 10019 CERTIFICATIONS I, Yutaka Itabashi, certify that: 1. I have reviewed this report on Form N-Q of Japan Smaller Capitalization Fund, Inc. (the “Registrant”); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or o |
|
| January 26, 2018 |
Japan Smaller Capitalization Fund Inc - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-05992 JAPAN SMALLER CAPITALIZATION FUND, INC. |
|
| October 13, 2017 |
Japan Smaller Capitalization Fund 14A efc15-498fmnq.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Defi |
|
| July 7, 2017 |
Japan Smaller Capitalization Fund, Inc. Worldwide Plaza 309 West 49th St. New York, New York 10019 Exhibit (a) Japan Smaller Capitalization Fund, Inc. Worldwide Plaza 309 West 49th St. New York, New York 10019 CERTIFICATIONS I, Yutaka Itabashi, certify that: 1. I have reviewed this report on Form N-Q of Japan Smaller Capitalization Fund, Inc. (the ?Registrant?); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necess |
|
| July 7, 2017 |
Japan Smaller Capitalization Fund Inc - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-05992 JAPAN SMALLER CAPITALIZATION FUND, INC. |
|
| April 28, 2017 |
Report of Independent Registered Public Accounting Firm Exhibit 77B ? Accountant's Report on Internal Control Report of Independent Registered Public Accounting Firm To the Board of Directors and Shareholders Japan Smaller Capitalization Fund, Inc. |
|
| February 14, 2017 |
JOF / Japan Smaller Capitalization Fund, Inc. / Karpus Management, Inc. Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13 G Under the Securities Exchange Act of 1934 (Amendment No. 1) Japan Smaller Capitalization Fund Inc (JOF) (Name of Issuer) Common Stock (Title of Class of Securities) 47109U104 (CUSIP Number) January 31, 2016 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pur |
|
| February 13, 2017 |
JOF / Japan Smaller Capitalization Fund, Inc. / RMB Capital Management, LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. |
|
| February 13, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. |
|
| February 8, 2017 |
JOF / Japan Smaller Capitalization Fund, Inc. / LAZARD ASSET MANAGEMENT LLC Passive Investment SCHEDULE 13G/A CUSIP No: 47109U104 1)NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: Lazard Asset Management LLC 2)CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)o (b)o 3)SEC USE ONLY 4)CITIZENSHIP OR PLACE OF ORGANIZATION: Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 5)SOLE VOTING POWER: 3,248,755 6)SHARED VOTING POWER: - 7)SOLE DISP |
|
| January 30, 2017 |
Japan Smaller Capitalization Fund (Quarterly Schedule of Portfolio Holdings) N-Q 1 efc17-100.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-05992 JAPAN SMALLER CAPITALIZATION FUND, INC. (Exact name of registrant as specified in charter) Worldwide Plaza 309 West 49th St New York, New York 10019 (Address of principal |
|
| January 30, 2017 |
Exhibit (a) Japan Smaller Capitalization Fund, Inc. Worldwide Plaza 309 West 49th Street New York, New York 10019 CERTIFICATIONS I, Yutaka Itabashi, certify that: 1. I have reviewed this report on Form N-Q of Japan Smaller Capitalization Fund, Inc. (the ?Registrant?); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact nec |
|
| January 24, 2017 |
JOF / Japan Smaller Capitalization Fund, Inc. / WELLS FARGO & COMPANY/MN Passive Investment SC 13G/A 1 wfjapansmall-47109u104.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3) JAPAN SMALLER CAPTLZTN FD IN (Name of Issuer) COM (Title of Class of Securities) 47109U104 (CUSIP Number) December 31, 2016 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designat |
|
| October 13, 2016 |
Japan Smaller Capitalization Fund 14A efc15-498fmnq.htm JAPAN SMALLER CAPITALIZATION FUND, INC. Worldwide Plaza, 309 West 49 th Street New York, New York 10019-7316 NOTICE OF 2016 ANNUAL MEETING OF SHAREHOLDERS November 17, 2016 TO THE SHAREHOLDERS OF JAPAN SMALLER CAPITALIZATION FUND, INC.: Important Notice Regarding the Availability of Proxy Materials for the Annual Meeting of Shareholders to be held on Thursday, November 17, 2016: |
|
| July 25, 2016 |
Japan Smaller Capitalization Fund (Quarterly Schedule of Portfolio Holdings) Submission Documents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-05992 JAPAN SMALLER CAPITALIZATION FUND, INC. |
|
| July 25, 2016 |
Japan Smaller Capitalization Fund, Inc. Worldwide Plaza 309 West 49th St. New York, New York 10019 Exhibit (a) Japan Smaller Capitalization Fund, Inc. Worldwide Plaza 309 West 49th St. New York, New York 10019 CERTIFICATIONS I, Yutaka Itabashi, certify that: 1. I have reviewed this report on Form N-Q of Japan Smaller Capitalization Fund, Inc. (the ?registrant?); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necess |
|
| April 29, 2016 |
Report of Independent Registered Public Accounting Firm Exhibit 99.77B Accountant Letter Report of Independent Registered Public Accounting Firm To the Board of Directors and Shareholders Japan Smaller Capitalization Fund, Inc. In planning and performing our audit of the financial statements of Japan Smaller Capitalization Fund, Inc. (the ?Fund?), as of and for the year ended February 29, 2016, in accordance with the standards of the Public Company Acc |
|
| February 16, 2016 |
SC 13G/A 1 jof123115a5.htm 13G AMENDMENT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 5)* Japan Smaller Capitalization Fund (Name of Issuer) Closed End Mutual Fund (Title of Class of Securities) 47109U104 (CUSIP Number) December 31, 2015 (Date of Event Which Requires Filing of this Statement) Check the |
|
| February 12, 2016 |
JOF / Japan Smaller Capitalization Fund, Inc. / Karpus Management, Inc. Passive Investment SC 13G 1 jof13g.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Japan Smaller Capitalization Fund, Inc. (JOF) (Name of Issuer) Common Stock (Title of Class of Securities) 47109U104 (CUSIP Number) December 31, 2015 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule |
|
| February 9, 2016 |
JOF / Japan Smaller Capitalization Fund, Inc. / LAZARD ASSET MANAGEMENT LLC Passive Investment SCHEDULE 13G/A CUSIP No: 47109U104 1)NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: Lazard Asset Management LLC 2)CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)o (b)o 3)SEC USE ONLY 4)CITIZENSHIP OR PLACE OF ORGANIZATION: Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 5)SOLE VOTING POWER: 2,744,861 6)SHARED VOTING POWER: - 7)SOLE DISP |
|
| February 1, 2016 |
SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment) Japan Smaller Capitalization Fund Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 47109u104 (CUSIP Number) December 31, 2015 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pur |
|
| January 29, 2016 |
Japan Smaller Capitalization Fund (Quarterly Schedule of Portfolio Holdings) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-05992 JAPAN SMALLER CAPITALIZATION FUND, INC. |
|
| January 29, 2016 |
Japan Smaller Capitalization Fund, Inc. Worldwide Plaza 309 West 49th St. New York, New York 10019 Exhibit (a) Japan Smaller Capitalization Fund, Inc. Worldwide Plaza 309 West 49th St. New York, New York 10019 CERTIFICATIONS I, Yutaka Itabashi, certify that: 1. I have reviewed this report on Form N-Q of Japan Smaller Capitalization Fund, Inc. (the ?registrant?); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necess |
|
| January 27, 2016 |
JOF / Japan Smaller Capitalization Fund, Inc. / WELLS FARGO & COMPANY/MN Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2) JAPAN SMALLER CAPTLZTN FD IN (Name of Issuer) COM (Title of Class of Securities) 47109U104 (CUSIP Number) December 31, 2015 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sche |
|
| October 15, 2015 |
Japan Smaller Capitalization Fund 14A efc15-498fmnq.htm JAPAN SMALLER CAPITALIZATION FUND, INC. Worldwide Plaza, 309 West 49 th Street New York, New York 10019-7316 NOTICE OF 2015 ANNUAL MEETING OF SHAREHOLDERS November 19, 2015 TO THE SHAREHOLDERS OF JAPAN SMALLER CAPITALIZATION FUND, INC.: Important Notice Regarding the Availability of Proxy Materials for the Annual Meeting of Shareholders to be held on Thursday, November 19, 2015: |
|
| July 1, 2015 |
Japan Smaller Capitalization Fund (Quarterly Schedule of Portfolio Holdings) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-05992 JAPAN SMALLER CAPITALIZATION FUND, INC. |
|
| July 1, 2015 |
efc15-498ex99cert.htm Exhibit (a) Japan Smaller Capitalization Fund, Inc. Worldwide Plaza 309 West 49th Street New York, New York 10019 Telephone (800) 833-0018 CERTIFICATIONS I, Yutaka Itabashi, certify that: 1. I have reviewed this report on Form N-Q of Japan Smaller Capitalization Fund, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit |
|
| May 14, 2015 |
efc15-427ex9977kii.htm Exhibit 99.77K(ii) May 14, 2015, Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Ladies and Gentlemen: We have read Item 77-K of Form N-SAR dated May 14, 2015, of Japan Smaller Capitalization Fund, Inc. and are in agreement with the statements contained in paragraphs one and two therein. We have no basis to agree or disagree with other statements o |
|
| May 14, 2015 |
Report of Independent Registered Public Accounting Firm efc15-427ex9977b.htm Exhibit 99.77B Accountant Letter Report of Independent Registered Public Accounting Firm To the Board of Directors and Shareholders of Japan Smaller Capitalization Fund, Inc. In planning and performing our audit of the financial statements of Japan Smaller Capitalization Fund, Inc. (the Fund), as of and for the year ended February 28, 2015, in accordance with the standards of |
|
| May 14, 2015 |
Sub-Item 77K - Changes in Registrant’s Certifying Accountant efc15-427ex9977ki.htm Exhibit 99.77K(i) Sub-Item 77K - Changes in Registrant?s Certifying Accountant The Registrant was advised on April 24, 2015 by Ernst & Young LLP ("E&Y"), its independent public accounting firm, that E&Y is not independent under the Commission's Rules and Regulations as it pertains to the Registrant due to a transaction which occurred in the last quarter of 2014. E&Y subsequen |
|
| April 30, 2015 |
Japan Smaller Capitalization Fund CSR NT-NCSR 1 efc15-367fm12b25.htm United States Securities and Exchange Commission Washington, D.C. 20549 FORM 12b-25 Notification of Late Filing (Amendment No. 0)* OMB Number 3235-0058 SEC File Number 811-05992 CUSIP Number 47109U104 (Check one): Form 10-K Form 20-F Form 11-K Form 10-Q Form 10-D Form N-SAR √ Form N-CSR For Period Ended: February 28, 2015 Transition Report on Form 10-K Transition Rep |
|
| April 30, 2015 |
Unassociated Document EY Logo Ernst & Young LLP 5 Times Square New York, NY 10036-6530 Tel: +1 212 773 3000 Fax: +1 212 773 6350 www. |
|
| April 29, 2015 |
Unassociated Document EY Logo Ernst & Young LLP 5 Times Square New York, NY 10036-6530 Tel: +1 212 773 3000 Fax: +1 212 773 6350 www. |
|
| April 29, 2015 |
Japan Smaller Capitalization Fund SAR NT-NSAR 1 form12b25.htm United States Securities and Exchange Commission Washington, D.C. 20549 FORM 12b-25 Notification of Late Filing (Amendment No. 0)* OMB Number 3235-0058 SEC File Number 811-05992 CUSIP Number 47109U104 (Check one): Form 10-K Form 20-F Form 11-K Form 10-Q Form 10-D √ Form N-SAR Form N-CSR For Period Ended: February 28, 2015 Transition Report on Form 10-K Transition Report on |
|
| February 17, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. |
|
| February 4, 2015 |
JOF / Japan Smaller Capitalization Fund, Inc. / LAZARD ASSET MANAGEMENT LLC Passive Investment SCHEDULE 13G/A CUSIP No: 47109U104 1)NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: Lazard Asset Management LLC 2)CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)o (b)o 3)SEC USE ONLY 4)CITIZENSHIP OR PLACE OF ORGANIZATION: Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 5)SOLE VOTING POWER: 2,284,416 6)SHARED VOTING POWER: - 7)SOLE DISP |
|
| January 29, 2015 |
Japan Smaller Capitalization Fund Inc UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-05992 JAPAN SMALLER CAPITALIZATION FUND, INC. |
|
| January 29, 2015 |
Exhibit (a) Japan Smaller Capitalization Fund, Inc. Worldwide Plaza 309 West 49th Street New York, New York 10019 Telephone (800) 833-0018 CERTIFICATIONS I, Yutaka Itabashi, certify that: 1. I have reviewed this report on Form N-Q of Japan Smaller Capitalization Fund, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fa |
|
| January 12, 2015 |
JOF / Japan Smaller Capitalization Fund, Inc. / WELLS FARGO & COMPANY/MN Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1) JAPAN SMALLER CAPTLZTN FD IN (Name of Issuer) COM (Title of Class of Securities) 47109U104 (CUSIP Number) December 31, 2014 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sche |
|
| October 17, 2014 |
JOF / Japan Smaller Capitalization Fund, Inc. DEF 14A - - JAPAN SMALLER CAPITALIZATION FUND, INC. Worldwide Plaza, 309 West 49th Street New York, New York 10019-7316 NOTICE OF 2014 ANNUAL MEETING OF SHAREHOLDERS November 20, 2014 TO THE SHAREHOLDERS OF JAPAN SMALLER CAPITALIZATION FUND, INC.: Important Notice Regarding the Availability of Proxy Materials for Annual Meeting of Shareholders to be held on Thursday, November 20, 2014: The Notice of Annual Me |
|
| August 11, 2014 |
JOF / Japan Smaller Capitalization Fund, Inc. / 1607 Capital Partners, LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. |
|
| July 21, 2014 |
Exhibit (a) Japan Smaller Capitalization Fund, Inc. Worldwide Plaza 309 West 49th Street New York, New York 10019 Telephone (800) 833-0018 CERTIFICATIONS I, Yutaka Itabashi, certify that: 1. I have reviewed this report on Form N-Q of Japan Smaller Capitalization Fund, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fa |
|
| July 21, 2014 |
JOF / Japan Smaller Capitalization Fund, Inc. N-Q - Quarterly Schedule of Portfolio Holdings - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-05992 JAPAN SMALLER CAPITALIZATION FUND, INC. |
|
| April 28, 2014 |
Report of Independent Registered Public Accounting Firm Report of Independent Registered Public Accounting Firm To the Shareholders and Board of Directors of Japan Smaller Capitalization Fund, Inc. |
|
| February 24, 2014 |
Exhibit (a) Japan Smaller Capitalization Fund, Inc. Worldwide Plaza 309 West 49th Street New York, New York 10019 Telephone (800) 833-0018 CERTIFICATIONS I, Yutaka Itabashi, certify that: 1. I have reviewed this report on Form N-Q of Japan Smaller Capitalization Fund, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fa |
|
| February 24, 2014 |
Quarterly Schedule of Portfolio Holdings - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-05992 JAPAN SMALLER CAPITALIZATION FUND, INC. |
|
| February 14, 2014 |
JOF / Japan Smaller Capitalization Fund, Inc. / LAZARD ASSET MANAGEMENT LLC Passive Investment SC 13G/A 1 r13gajapansmallcap.htm SCHEDULE 13G/A CUSIP No: 47109U104 1)NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: Lazard Asset Management LLC 2)CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)o (b)o 3)SEC USE ONLY 4)CITIZENSHIP OR PLACE OF ORGANIZATION: Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 5)SOLE VOTING POWER: 3,011,754 6) |
|
| February 14, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. |
|
| January 27, 2014 |
JOF / Japan Smaller Capitalization Fund, Inc. / WELLS FARGO & COMPANY/MN Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. ) JAPAN SMALLER CAPTLZTN FD IN (Name of Issuer) COM (Title of Class of Securities) 47109U104 (CUSIP Number) December 31, 2013 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sched |
|
| October 11, 2013 |
JAPAN SMALLER CAPITALIZATION FUND, INC. Worldwide Plaza, 309 West 49th Street New York, New York 10019-7316 NOTICE OF 2013 ANNUAL MEETING OF SHAREHOLDERS November 14, 2013 TO THE SHAREHOLDERS OF JAPAN SMALLER CAPITALIZATION FUND, INC.: Important Notice Regarding the Availability of Proxy Materials for Annual Meeting of Shareholders to be held on Thursday, November 14, 2013: The Notice of Annual Me |
|
| August 9, 2013 |
JOF / Japan Smaller Capitalization Fund, Inc. / LAZARD ASSET MANAGEMENT LLC Passive Investment SCHEDULE 13G/A CUSIP No: 47109U104 1)NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: Lazard Asset Management LLC 2)CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)o (b)o 3)SEC USE ONLY 4)CITIZENSHIP OR PLACE OF ORGANIZATION: Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 5)SOLE VOTING POWER: 3,017,553 6)SHARED VOTING POWER: - 7)SOLE DISP |
|
| July 23, 2013 |
Quarterly Schedule of Portfolio Holdings - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-05992 JAPAN SMALLER CAPITALIZATION FUND, INC. |
|
| July 23, 2013 |
Exhibit (a) Japan Smaller Capitalization Fund, Inc. Two World Financial Center, Building B New York, New York 10281 Telephone (800) 833-0018 CERTIFICATIONS I, Masashi Terachi, certify that: 1. I have reviewed this report on Form N-Q of Japan Smaller Capitalization Fund, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material |
|
| April 25, 2013 |
Report of Independent Registered Public Accounting Firm Exhibit 99.77B ACCT LTTR Report of Independent Registered Public Accounting Firm To the Shareholders and Board of Directors of Japan Smaller Capitalization Fund, Inc. In planning and performing our audit of the financial statements of Japan Smaller Capitalization Fund, Inc. (the “Fund”) as of and for the year ended February 28, 2013, in accordance with the standards of the Public Company Accountin |
|
| February 14, 2013 |
SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. |
|
| February 5, 2013 |
JOF / Japan Smaller Capitalization Fund, Inc. / LAZARD ASSET MANAGEMENT LLC Passive Investment SCHEDULE 13G/A CUSIP No: 47109U104 1)NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: Lazard Asset Management LLC 2)CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)o (b)o 3)SEC USE ONLY 4)CITIZENSHIP OR PLACE OF ORGANIZATION: Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 5)SOLE VOTING POWER: 2,140,043 6)SHARED VOTING POWER: - 7)SOLE DISP |
|
| January 28, 2013 |
Quarterly Schedule of Portfolio Holdings - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-05992 JAPAN SMALLER CAPITALIZATION FUND, INC. |
|
| January 28, 2013 |
Japan Smaller Capitalization Fund, Inc. Two World Financial Center, Building B New York, New York 10281 Telephone (800) 833-0018 CERTIFICATIONS I, Masashi Terachi, certify that: 1. I have reviewed this report on Form N-Q of Japan Smaller Capitalization Fund, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessa |
|
| November 8, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Definitive |
|
| October 12, 2012 |
JAPAN SMALLER CAPITALIZATION FUND, INC. Two World Financial Center, Building B New York, New York 10281 NOTICE OF 2012 ANNUAL MEETING OF SHAREHOLDERS November 14, 2012 TO THE SHAREHOLDERS OF JAPAN SMALLER CAPITALIZATION FUND, INC.: Important Notice Regarding the Availability of Proxy Materials for Annual Meeting of Shareholders to be held on Wednesday, November 14, 2012: The Notice of Annual Meeti |
|
| July 24, 2012 |
Exhibit (a) Japan Smaller Capitalization Fund, Inc. Two World Financial Center, Building B New York, New York 10281 Telephone (800) 833-0018 CERTIFICATIONS I, Masashi Terachi, certify that: 1. I have reviewed this report on Form N-Q of Japan Smaller Capitalization Fund, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material |
|
| July 24, 2012 |
Quarterly Schedule of Portfolio Holdings - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-05992 JAPAN SMALLER CAPITALIZATION FUND, INC. |
|
| April 27, 2012 |
Ernst & Young LLP 5 Times Square New York, New York 10036-6530 Tel: (212) 773-3000 www.ey.com Ernst & Young LLP 5 Times Square New York, New York 10036-6530 Tel: (212) 773-3000 www. |
|
| February 27, 2012 |
Quarterly Schedule of Portfolio Holdings - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-05992 JAPAN SMALLER CAPITALIZATION FUND, INC. |
|
| February 27, 2012 |
EX-99.CERT 2 efc12-216ex99cert.htm Exhibit (a) Japan Smaller Capitalization Fund, Inc. Two World Financial Center, Building B New York, New York 10281 Telephone (800) 833-0018 CERTIFICATIONS I, Shigeru Shinohara, certify that: 1. I have reviewed this report on Form N-Q of Japan Smaller Capitalization Fund, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a mater |
|
| February 8, 2012 |
JOF / Japan Smaller Capitalization Fund, Inc. / LAZARD ASSET MANAGEMENT LLC Passive Investment SCHEDULE 13G CUSIP No: 47109U104 1)NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: Lazard Asset Management LLC 2)CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)o (b)o 3)SEC USE ONLY 4)CITIZENSHIP OR PLACE OF ORGANIZATION: Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 5)SOLE VOTING POWER: 1,611,824 6)SHARED VOTING POWER: - 7)SOLE DISPOS |
|
| October 13, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ý Definitive |
|
| August 5, 2011 |
EX-24.1 2 poa1.htm POWER OF ATTORNEY POWER OF ATTORNEY The undersigned, as a Director and/or officer of each of the registered investment companies listed below, hereby authorizes Kenneth L. Munt, Neil A. Daniele, and Rita Chopra-Brathwaite or any of them, as attorney-in-fact, to sign on his behalf on any form, or any amendment to such form, required to be filed by the undersigned pursuant to the |
|
| August 5, 2011 |
Exhibit 24 POWER OF ATTORNEY The undersigned, as a Director and/or officer of each of the registered investment companies listed below, hereby authorizes Kenneth Munt, Neil A. |
|
| July 28, 2011 |
EX-99.CERT 2 efc11-449ex99cert.htm Exhibit (a) Japan Smaller Capitalization Fund, Inc. Two World Financial Center, Building B New York, New York 10281 Telephone (800) 833-0018 CERTIFICATIONS I, Shigeru Shinohara, certify that: 1. I have reviewed this report on Form N-Q of Japan Smaller Capitalization Fund, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a mater |
|
| July 28, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-05992 JAPAN SMALLER CAPITALIZATION FUND, INC. |
|
| June 22, 2011 |
AMENDMENT TO THE ACCOUNTING AGENCY AGREEMENT Exhibit 99.2(k)(2) AMENDMENT TO THE ACCOUNTING AGENCY AGREEMENT AMENDMENT entered into as of this 8th day of November , 2007 to the Accounting Agency Agreement between JAPAN SMALLER CAPITALIZATION FUND, INC. (the ?Fund?) and BROWN BROTHERS HARRIMAN & CO. (the ?Accounting Agent?) dated as of April 26, 2007 (the ?Agreement?). In consideration of the Accounting Agent?s offering performance measuremen |
|
| June 22, 2011 |
Exhibit 99.2(g)(2) INVESTMENT ADVISORY AGREEMENT AGREEMENT made this 25th day of April, 2007, by and between NOMURA ASSET MANAGEMENT U.S.A. INC., a New York corporation (hereinafter referred to as the ?Manager?), and NOMURA ASSET MANAGEMENT CO., LTD., a Japanese corporation (hereinafter referred to as the ?Investment Adviser which replaces and supersedes any existing agreement with respect to the |
|
| June 22, 2011 |
As filed with the Securities and Exchange Commission on June 22, 2011 As filed with the Securities and Exchange Commission on June 22, 2011 Securities Act File No. |
|
| June 22, 2011 |
JAPAN SMALLER CAPITALIZATION FUND, INC. DIVIDEND REINVESTMENT PLAN EX-99.2(E) 3 efc11-400ex992e.htm Exhibit 99.2(e) JAPAN SMALLER CAPITALIZATION FUND, INC. DIVIDEND REINVESTMENT PLAN The Dividend Reinvestment Plan (the “Plan”) is available automatically for any holder of Common Stock with shares registered in his/her own name who wishes to purchase additional shares with income dividends or capital gains distributions received on shares owned, unless such shareho |
|
| June 22, 2011 |
Exhibit 99.2(g)(1) MANAGEMENT AGREEMENT AGREEMENT made this 8th day of November, 2006, by and between JAPAN SMALLER CAPITALIZATION FUND, INC., a Maryland corporation (hereinafter referred to as the ?Fund?), and NOMURA ASSET MANAGEMENT U.S.A. INC., a New York corporation (hereinafter referred to as the ?Manager?). W I T N E S S E T H: WHEREAS, the Fund is engaged in business as a non-diversified, c |
|
| June 22, 2011 |
JAPAN SMALLER CAPITALIZATION FUND, INC. ARTICLES SUPPLEMENTARY EX-99.2(A)(3) 2 efc11-400ex992a3.htm Exhibit 99.2(a)(3) JAPAN SMALLER CAPITALIZATION FUND, INC. ARTICLES SUPPLEMENTARY The Japan Smaller Capitalization Fund, Inc., a Maryland corporation (the “Corporation”), hereby certifies to the State Department of Assessments and Taxation of Maryland (the “SDAT”), that: FIRST: Under a power contained in Title 3, Subtitle 8 of the Maryland General Corporation L |
|
| June 16, 2011 |
POWER OF ATTORNEY The undersigned, as a Director and/or officer of each of the registered investment companies listed below, hereby authorizes Hiroyuki Nakano, Neil A. |
|
| January 14, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-05992 JAPAN SMALLER CAPITALIZATION FUND, INC. |
|
| January 14, 2011 |
Exhibit (a) Japan Smaller Capitalization Fund, Inc. Two World Financial Center, Building B New York, New York 10281 Telephone (800) 833-0018 CERTIFICATIONS I, Shigeru Shinohara, certify that: 1. I have reviewed this report on Form N-Q of Japan Smaller Capitalization Fund, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a materia |
|
| November 23, 2010 |
Exhibit 24.1 POWER OF ATTORNEY The undersigned, as a Director and/or officer of each of the registered investment companies listed below, hereby authorizes Kenneth L. Munt, Neil A. Daniele and Rita Chopra-Brathwaite or any of them, as attorney-in-fact, to sign on his or her behalf on any form, or any amendment to such form, required to be filed by the undersigned pursuant to the reporting requirem |
|
| October 21, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ý Definitive |
|
| July 19, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-05992 JAPAN SMALLER CAPITALIZATION FUND, INC. |
|
| July 19, 2010 |
Exhibit (a) Japan Smaller Capitalization Fund, Inc. Two World Financial Center, Building B New York, New York 10281 Telephone (800) 833-0018 CERTIFICATIONS I, Shigeru Shinohara, certify that: 1. I have reviewed this report on Form N-Q of Japan Smaller Capitalization Fund, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a materia |
|
| January 25, 2010 |
EX-99.CERT 2 efc10-27ex99cert.htm Exhibit (a) Japan Smaller Capitalization Fund, Inc. Two World Financial Center, Building B New York, New York 10281 Telephone (800) 833-0018 CERTIFICATIONS I, Shigeru Shinohara, certify that: 1. I have reviewed this report on Form N-Q of Japan Smaller Capitalization Fund, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a materi |
|
| January 25, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-05992 JAPAN SMALLER CAPITALIZATION FUND, INC. |
|
| October 9, 2009 |
JAPAN SMALLER CAPITALIZATION FUND, INC. Two World Financial Center, Building B New York, New York 10281 NOTICE OF 2009 ANNUAL MEETING OF SHAREHOLDERS November 12, 2009 TO THE SHAREHOLDERS OF JAPAN SMALLER CAPITALIZATION FUND, INC.: Important Notice Regarding the Availability of Proxy Materials for Annual Meeting of Shareholders to be held on Thursday, November 12, 2009: The Notice of Annual Meetin |
|
| July 28, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-05992 JAPAN SMALLER CAPITALIZATION FUND, INC. |
|
| January 22, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-5992 JAPAN SMALLER CAPITALIZATION FUND, INC. |
|
| October 10, 2008 |
JAPAN SMALLER CAPITALIZATION FUND, INC. Two World Financial Center, Building B New York, New York 10281 NOTICE OF 2008 ANNUAL MEETING OF SHAREHOLDERS November 13, 2008 To The Shareholders Of Japan Smaller Capitalization Fund, Inc.: Notice is hereby given that the 2008 Annual Meeting of Shareholders (the ?Meeting?) of Japan Smaller Capitalization Fund, Inc., a Maryland corporation (the ?Fund?), wil |
|
| July 16, 2008 |
EX-99.CERT 2 efc8-1039emailex99cert.htm Exhibit 99.CERT Japan Smaller Capitalization Fund, Inc. Two World Financial Center, Building B, New York, N.Y. 10281-1712 Telephone (800) 833-0018 CERTIFICATION PURSUANT TO SECTION 302 OF THE SARBANES-OXLEY ACT OF 2002 I, Rita Chopra-Brathwaite, certify that: 1. I have reviewed this report on Form N-Q of Japan Smaller Capitalization Fund, Inc. (the “registra |
|
| July 16, 2008 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-05992 JAPAN SMALLER CAPITALIZATION FUND, INC. |
|
| January 7, 2008 |
EX-99.CERT 2 efc8-0002ex99cert.htm Japan Smaller Capitalization Fund, Inc. Two World Financial Center, Building B, New York, N.Y. 10281-1712 Telephone (800) 833-0018 CERTIFICATION PURSUANT TO SECTION 302 OF THE SARBANES-OXLEY ACT OF 2002 I, Rita Chopra-Brathwaite, certify that: 1. I have reviewed this report on Form N-Q of Japan Smaller Capitalization Fund, Inc. (the “registrant”); 2. Based on my |
|
| January 7, 2008 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-5992 JAPAN SMALLER CAPITALIZATION FUND, INC. |
|
| October 3, 2007 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e) |
|
| July 2, 2007 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-5992 JAPAN SMALLER CAPITALIZATION FUND, INC. |
|
| July 2, 2007 |
EX-99.CERT 2 efc7-17376256857ex99cert.htm EXHIBIT 99 CERT Japan Smaller Capitalization Fund, Inc. Two World Financial Center, Building B, New York, N.Y. 10281-1712 Telephone (800) 833-0018 CERTIFICATION PURSUANT TO SECTION 302 OF THE SARBANES-OXLEY ACT OF 2002 I, Rita Chopra-Brathwaite, certify that: 1. I have reviewed this report on Form N-Q of Japan Smaller Capitalization Fund, Inc. (the “regist |
|
| January 24, 2007 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-5992 JAPAN SMALLER CAPITALIZATION FUND, INC. |
|
| January 24, 2007 |
CERTIFICATION PURSUANT TO SECTION 302 OF THE SARBANES-OXLEY ACT OF 2002 Exhibit 99.CERT CERTIFICATION PURSUANT TO SECTION 302 OF THE SARBANES-OXLEY ACT OF 2002 I, Rita Chopra-Brathwaite, certify that: 1. I have reviewed this report on Form N-Q of Japan Smaller Capitalization Fund, Inc. (the “registrant”); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made |
