JOF SEC Filing News — Japan Smaller Capitalization Fund, Inc.

JOF insider Saba Capital Management, L.P. (10% Owner) bought 13,133 shares (~$161.9K)

Saba Capital Management, L.P., listed as 10% Owner at JAPAN SMALLER CAPITALIZATION FUND INC, reported an open-market purchase of 13,133 JOF shares in a Form 4 filing. Insider buying is often treated as a bullish signal because company insiders are committing their own capital.

The insider bought shares on the open market with their own money. This is the only Form 4 category that requires a discretionary cash outlay at the prevailing price.

JOF insider Jones Tina (Director) bought 950 shares (~$10.3K)

Jones Tina, listed as Director at JAPAN SMALLER CAPITALIZATION FUND INC, reported an open-market purchase of 950 JOF shares in a Form 4 filing. Insider buying is often treated as a bullish signal because company insiders are committing their own capital.

The insider bought shares on the open market with their own money. This is the only Form 4 category that requires a discretionary cash outlay at the prevailing price.

JOF insider Chemidlin David B (Director) bought 2,000 shares (~$21.8K)

Chemidlin David B, listed as Director at JAPAN SMALLER CAPITALIZATION FUND INC, reported an open-market purchase of 2,000 JOF shares in a Form 4 filing. Insider buying is often treated as a bullish signal because company insiders are committing their own capital.

The insider bought shares on the open market with their own money. This is the only Form 4 category that requires a discretionary cash outlay at the prevailing price.

JOF insider Laby Arthur Blake (Director) bought 3,306 shares (~$25.0K)

Laby Arthur Blake, listed as Director at JAPAN SMALLER CAPITALIZATION FUND INC, reported an open-market purchase of 3,306 JOF shares in a Form 4 filing. Insider buying is often treated as a bullish signal because company insiders are committing their own capital.

The insider bought shares on the open market with their own money. This is the only Form 4 category that requires a discretionary cash outlay at the prevailing price.

JOF insider Ouimet Paige (Director) bought 3,111 shares (~$25.0K)

Ouimet Paige, listed as Director at JAPAN SMALLER CAPITALIZATION FUND INC, reported an open-market purchase of 3,111 JOF shares in a Form 4 filing. Insider buying is often treated as a bullish signal because company insiders are committing their own capital.

The insider bought shares on the open market with their own money. This is the only Form 4 category that requires a discretionary cash outlay at the prevailing price.

JOF insider Buck Rodney A (Director) bought 9,000 shares (~$66.7K)

Buck Rodney A, listed as Director at JAPAN SMALLER CAPITALIZATION FUND INC, reported an open-market purchase of 9,000 JOF shares in a Form 4 filing. Insider buying is often treated as a bullish signal because company insiders are committing their own capital.

The insider bought shares on the open market with their own money. This is the only Form 4 category that requires a discretionary cash outlay at the prevailing price.

JOF insider MacHarg Marcia L (Director) bought 945 shares (~$10.0K)

MacHarg Marcia L, listed as Director at JAPAN SMALLER CAPITALIZATION FUND INC, reported an open-market purchase of 945 JOF shares in a Form 4 filing. Insider buying is often treated as a bullish signal because company insiders are committing their own capital.

The insider bought shares on the open market with their own money. This is the only Form 4 category that requires a discretionary cash outlay at the prevailing price.

JOF insider Kim E. Han (Director) bought 5,000 shares (~$44.4K)

Kim E. Han, listed as Director at JAPAN SMALLER CAPITALIZATION FUND INC, reported an open-market purchase of 5,000 JOF shares in a Form 4 filing. Insider buying is often treated as a bullish signal because company insiders are committing their own capital.

The insider bought shares on the open market with their own money. This is the only Form 4 category that requires a discretionary cash outlay at the prevailing price.

JOF insider Chemidlin David B (Director) bought 130 shares (~$944.49)

Chemidlin David B, listed as Director at JAPAN SMALLER CAPITALIZATION FUND INC, reported an open-market purchase of 130 JOF shares in a Form 4 filing. Insider buying is often treated as a bullish signal because company insiders are committing their own capital.

The insider bought shares on the open market with their own money. This is the only Form 4 category that requires a discretionary cash outlay at the prevailing price.

JOF insider Form 4 filed for equity award, exercise, or tax withholding

Tan Chor Weng (Director) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

The insider converted options into shares. The exercise price was fixed when the options were granted, so the timing usually tracks an expiry schedule.

JOF insider Form 4 filed for equity award, exercise, or tax withholding

Buck Rodney A (Director) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

The insider converted options into shares. The exercise price was fixed when the options were granted, so the timing usually tracks an expiry schedule.

JOF insider Tan Chor Weng (Director) sold 1,340 shares (~$10.3K)

Tan Chor Weng, listed as Director at JAPAN SMALLER CAPITALIZATION FUND INC, reported an open-market sale of 1,340 JOF shares in a Form 4 filing. This is a confirmed insider sale, not just a proposed sale notice.

The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.

JOF insider Buck Rodney A (Director) bought 2,000 shares (~$14.8K)

Buck Rodney A, listed as Director at JAPAN SMALLER CAPITALIZATION FUND INC, reported an open-market purchase of 2,000 JOF shares in a Form 4 filing. Insider buying is often treated as a bullish signal because company insiders are committing their own capital.

The insider bought shares on the open market with their own money. This is the only Form 4 category that requires a discretionary cash outlay at the prevailing price.

JOF insider Tan Chor Weng (Director) bought 500 shares (~$4.7K)

Tan Chor Weng, listed as Director at JAPAN SMALLER CAPITALIZATION FUND INC, reported an open-market purchase of 500 JOF shares in a Form 4 filing. Insider buying is often treated as a bullish signal because company insiders are committing their own capital.

The insider bought shares on the open market with their own money. This is the only Form 4 category that requires a discretionary cash outlay at the prevailing price.

JOF insider Tan Chor Weng (Director) bought 500 shares (~$4.8K)

Tan Chor Weng, listed as Director at JAPAN SMALLER CAPITALIZATION FUND INC, reported an open-market purchase of 500 JOF shares in a Form 4 filing. Insider buying is often treated as a bullish signal because company insiders are committing their own capital.

The insider bought shares on the open market with their own money. This is the only Form 4 category that requires a discretionary cash outlay at the prevailing price.

JOF filed 8-K — Amendments to Articles or Bylaws

JAPAN SMALLER CAPITALIZATION FUND INC filed an 8-K with the SEC. Item 5.03: Amendments to Articles or Bylaws; Item 9.01: Financial Statements and Exhibits. Filing excerpt: 8-K 1 ef20035310_8k.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): 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 incorporation) (Investment Company Act File Number) (IRS Employer Identification No.) Worldwide Plaza…

JOF filed 8-K — Other Events

JAPAN SMALLER CAPITALIZATION FUND INC filed an 8-K with the SEC. Item 8.01: Other Events; Item 9.01: Financial Statements and Exhibits. Filing excerpt: 8-K 1 brhc10049470_8k.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): 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 jurisdiction of incorporation) 13-3553469 (IRS Employer Identification No.) Worldwide…

JOF filed 8-K — Entered into Material Agreement

JAPAN SMALLER CAPITALIZATION FUND INC filed an 8-K with the SEC. Item 1.01: Entered into Material Agreement; Item 9.01: Financial Statements and Exhibits. Filing excerpt: 8-K 1 brhc10045699_8k.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: 811-05992 Maryland 13-3553469 (State or other jurisdiction of incorporation) (IRS Employer Identification No.) Worldwide…

JOF filed 8-K — Changes in Registrant's Auditor

JAPAN SMALLER CAPITALIZATION FUND INC filed an 8-K with the SEC. Item 4.01: Changes in Registrant's Auditor. Filing excerpt: 8-K 1 efc20-316_8k.htm 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 or other jurisdiction of incorporation) (IRS Employer Identification No.) Worldwide Plaza 309…

JOF filed 8-K — Changes in Registrant's Auditor

JAPAN SMALLER CAPITALIZATION FUND INC filed an 8-K with the SEC. Item 4.01: Changes in Registrant's Auditor; Item 9.01: Financial Statements and Exhibits. Filing excerpt: 8-K 1 efc20-278_8k.htm 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 (State or other jurisdiction of incorporation) (IRS Employer Identification No.) Worldwide Plaza 309…