JOF

Japan Smaller Capitalization Fund, Inc. JOF

Individual Beneficiary

Name of reporting person Citizenship or organization Sole voting power Shared voting power Sole dispositive power Shared dispositive power Amount beneficially owned Percent of class Accepted date
Funds Management, LLC Delaware 0 0 0 0 0 0 % 09/10/2024
Global Investments Holdings, LLC Delaware 5475845 0 5714329 0 5714329 20.17 % 09/10/2024
Global Investments, LLC Delaware 5475845 0 5714329 0 5714329 20.17 % 09/10/2024
City of London Investment Management Company Limited, a company incorporated under the laws of England and Wales England and Wales 4500984 0 4500984 0 4500984 15.9 % 09/02/2024
1607 Capital Partners, LLC Delaware, United States 5053077 0 5053077 0 0 17.8 % 08/02/2024
Global Investments Holdings, LLC Delaware 6054406 0 6202586 0 6202586 0 % 12/01/2024
Funds Management, LLC Delaware 0 0 0 0 0 0 % 12/01/2024
Global Investments, LLC Delaware 6054406 0 6202586 0 6202586 0 % 12/01/2024
Global Investments Holdings, LLC Delaware 6054406 0 6202586 0 6202586 0 % 12/01/2024
Funds Management, LLC Delaware 0 0 0 0 0 0 % 12/01/2024
Global Investments, LLC Delaware 6054406 0 6202586 0 6202586 0 % 12/01/2024
Lazard Asset Management LLC Delaware 3326969 0 3505260 0 3505260 12.37 % 08/03/2023
Lazard Asset Management LLC Delaware 3326969 0 3505260 0 3505260 12.37 % 08/03/2023
City of London Investment Management Company Limited, a company incorporated under the laws of England and Wales England and Wales 4547676 0 4547676 0 4547676 16.1 % 13/02/2023
Funds Management, LLC Delaware 0 0 0 0 0 0 % 13/01/2023
Global Investments, LLC Delaware 5918569 0 6372534 0 6372534 22.49 % 13/01/2023
Funds Management, LLC Delaware 0 0 0 0 0 0 % 13/01/2023
Global Investments Holdings, LLC Delaware 5918569 0 6372534 0 6372534 22.49 % 13/01/2023
Global Investments, LLC Delaware 5918569 0 6372534 0 6372534 22.49 % 13/01/2023
Global Investments Holdings, LLC Delaware 5918569 0 6372534 0 6372534 22.49 % 13/01/2023
City of London Investment Management Company Limited, a company incorporated under the laws of England and Wales England and Wales 4026225 0 4026225 0 4026225 14.2 % 11/02/2022
Funds Management, LLC Delaware 0 0 0 0 0 0 % 09/12/2021
Global Investments Holdings, LLC Delaware 5408449 0 5758849 0 5758849 20.32 % 09/12/2021
Global Investments, LLC Delaware 5408449 0 5758849 0 5758849 20.32 % 09/12/2021
Funds Management, LLC Delaware 0 0 0 0 0 0 % 09/12/2021
Global Investments Holdings, LLC Delaware 5408449 0 5758849 0 5758849 20.32 % 09/12/2021
Global Investments, LLC Delaware 5408449 0 5758849 0 5758849 20.32 % 09/12/2021
Fargo & Company Delaware 0 0 0 13322 13322 0.05 % 08/12/2021
Capital Partners, LLC Delaware United States 5484717 0 5484717 0 5484717 19.4 % 16/02/2021
City of London Investment Management Company Limited, a company incorporated under the laws of England and Wales England and Wales 2996178 0 2996178 0 2996178 10.6 % 12/02/2021
Lazard Asset Management LLC Delaware 3458474 0 3636765 0 3636765 12.84 % 10/02/2021
Lazard Asset Management LLC Delaware 3484283 0 3484283 0 3484283 12.3 % 11/02/2020
Fargo & Company Delaware 1 5055235 1 5584911 5584912 19.71 % 04/02/2020
RMB Capital Management, LLC Delaware 0 26612 0 26612 26612 0.09 % 14/02/2019
RMB Capital Holdings, LLC Delaware 0 26612 0 26612 26612 0.09 % 14/02/2019
Lazard Asset Management LLC Delaware 3621001 0 3621001 0 3621001 12.78 % 13/02/2019
Fargo & Company Delaware 0 53700 0 5918424 5918424 20.89 % 22/01/2019
Fargo & Company Delaware 0 59691 0 5729092 5729092 20.22 % 10/12/2018
Karpus Management, Inc., d/b/a Karpus Investment ManagementI.D. New York 1151658 1151658 1151658 4.06 % 14/02/2018
Karpus Management, Inc., d/b/a Karpus Investment ManagementI.D. New York 1151658 1151658 1151658 4.06 % 14/02/2018
1607 Capital Partners, LLC Virginia, United States 4252761 0 4252761 0 0 15 % 14/02/2018
RMB Capital Holdings, LLC Delaware 0 2216115 0 2216115 2216115 7.8 % 13/02/2018
RMB Capital Management, LLC Delaware 0 2216115 0 2216115 2216115 7.8 % 13/02/2018
Lazard Asset Management LLC Delaware 3826202 0 3826202 0 3826202 13.5 % 08/02/2018
Fargo & Company Delaware 1 3926799 1 4269244 4269245 15.07 % 29/01/2018
Karpus Management, Inc., d/b/a Karpus Investment ManagementI.D. New York 1757186 1757186 1757186 6.2 % 14/02/2017
Karpus Management, Inc., d/b/a Karpus Investment ManagementI.D. New York 1757186 1757186 1757186 6.2 % 14/02/2017
RMB Capital Holdings, LLC Delaware 0 2103572 0 2103572 2103572 7.4 % 13/02/2017
RMB Capital Management, LLC Delaware 0 2103572 0 2103572 2103572 7.4 % 13/02/2017
Lazard Asset Management LLC Delaware 3248755 0 3248755 0 3248755 11.47 % 08/02/2017
Fargo & Company Delaware 0 3757564 0 4820531 4820531 17.01 % 24/01/2017
1607 Capital Partners, LLC Virginia, United States 3734063 0 3734063 0 0 13.2 % 16/02/2016
Karpus Management, Inc., d/b/a Karpus Investment ManagementI.D. New York 1611197 1611197 1611197 5.69 % 12/02/2016
Karpus Management, Inc., d/b/a Karpus Investment ManagementI.D. New York 1611197 1611197 1611197 5.69 % 12/02/2016
Lazard Asset Management LLC Delaware 2744861 0 2744861 0 2744861 9.69 % 09/02/2016
Nos. of above person RMB Capital Holdings, LLC Delaware 0 2621348 0 2621348 2621348 9.25 % 01/02/2016
Nos. of above person RMB Capital Management, LLC Delaware 0 2621348 0 2621348 2621348 9.25 % 01/02/2016
Nos. of above person RMB Capital Management, LLC Delaware 0 2621348 0 2621348 2621348 9.25 % 01/02/2016
Nos. of above person RMB Capital Holdings, LLC Delaware 0 2621348 0 2621348 2621348 9.25 % 01/02/2016
Fargo & Company Delaware 0 3291256 0 4329868 4329868 15.28 % 27/01/2016
1607 Capital Partners, LLC Virginia, United States 3320413 0 3320413 0 0 11.7 % 17/02/2015
1607 Capital Partners, LLC Virginia, United States 3320413 0 3320413 0 0 11.7 % 17/02/2015
Nos. of above person RMB Capital Holdings, LLC Delaware 0 2583765 0 2583765 2583765 9.12 % 05/02/2015
Nos. of above person RMB Capital Management, LLC Delaware 0 2583765 0 2583765 2583765 9.12 % 05/02/2015
Lazard Asset Management LLC Delaware 2284416 0 2284416 0 2284416 8.06 % 04/02/2015
Fargo & Company Delaware 1 2010981 1 2975870 2975871 10.5 % 12/01/2015
1607 Capital Partners, LLC Virginia, United States 2842401 0 2842401 0 0 10.03 % 11/08/2014
1607 Capital Partners, LLC Virginia, United States 2842401 0 2842401 0 0 10.03 % 11/08/2014
Lazard Asset Management LLC Delaware 3011754 0 3179854 0 3179854 11.22 % 14/02/2014
Fargo & Company Delaware 1 1033378 1 1629922 1629923 5.75 % 27/01/2014
Lazard Asset Management LLC Delaware 3017553 0 3017553 0 3017553 10.65 % 09/08/2013
Lazard Asset Management LLC Delaware 3017553 0 3017553 0 3017553 10.65 % 09/08/2013
Lazard Asset Management LLC Delaware 2140043 0 2140043 0 2140043 7.55 % 05/02/2013
Lazard Asset Management LLC Delaware 1611824 0 1611824 0 1611824 5.69 % 08/02/2012

Senat trading

Bureau Date de la transaction Date de réception Type Amount Commentaire

Senat Divulgation

Représentant Date de la transaction Date de divulgation Type Amount District