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JOF · Japan Smaller Capitalization Fund Inc · Holdings

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$11.80 -0.04 (-0.30%)
Rebalance outlook locked
Market Cap
$335.19M
Shares
28.33M
Volume · Oct 21 67.54K Avg daily vol (3M) 67.19K

Institutional ownership from SEC Form 13F filings. Investment managers with more than $100 million in U.S. equities must disclose their positions every quarter, within 45 days of quarter-end, so the holdings shown can lag the market by up to a quarter.

Use institutional holdings through the 13F API or MCP → See every holder of JOF: 13F, 13D and 13G, insiders and funds →
Institutional holdings are being reconciled with SEC filings. Holder totals and changes may be incomplete until reconciliation finishes.
The Sep 30, 2026 filing window is still open — showing the latest known positions. Funds that have not filed yet carry their prior-quarter positions; a fund that filed without this stock counts as sold out. Each fund's Change is measured against its own previous reported quarter, shown in the Reported column. Pick a completed quarter in the Quarter selector below to put every fund on one quarter and see the stock-wide activity breakdown.
Holders: 56
Total Value: $243,452,126
Total Shares: 20,643,617

Institutional Ownership Trend

27 quarters

Holder Concentration

Across 56 13F filers
Top Holder
21.8%
Sep 2023 → Jun 2026 · range 21.8% – 28.4%
of institutional value
Top 5
80.7%
Sep 2023 → Jun 2026 · range 79.7% – 91.4%
of institutional value
Top 10
89.5%
Sep 2023 → Jun 2026 · range 89.5% – 95.5%
of institutional value
HHI
1,416
Sep 2023 → Jun 2026 · range 1,416 – 1,983
Broadly held

Who Holds JOF

Last 8 quarters through Sep 30, 2026 (filing window open)

Each kind of 13F filer's share of the common shares 13F filers report. Holder type comes from regulatory records, never the filer's name; style, turnover and horizon are measured from each filer's own 13F book. The quarter selector does not change this card.

Jun 30, 2026, the newest closed quarter: 56 filers, like-for-like change -5.7%; actively managed books -4.7%; index-like books -45.9%.

Holder type Share Filers Change
Registered adviser 50.4% 30 -4.4%
Adviser 19.9% 3 +1.0%
Bank 2.2% 5 +1.5%
Broker-dealer 0.7% 1 +26.5%
Holding company 23.2% 3 -14.9%
Exempt adviser 0.0% 0 -100.0%
Unknown 3.5% 14 -0.2%

The Sep 30, 2026 filing window is still open, so its bar carries the Jun 30, 2026 positions of filers that have not filed yet.

How the mix is measured

Shares are 13F common shares restated to today's split basis; options and principal amounts are left out. The change compares only filers with a 13F in both quarters and keeps each filer in its bucket of the later quarter on both sides; a filer that continues under a new CIK is compared through its successor. Holder type comes from each filer's current regulatory profile; client base and private funds come from the Form ADV roster current at each quarter end (rosters from December 2019, so an earlier quarter reads Unknown). Style, turnover, horizon and book size are measured from each filer's 13F book in the newest measured quarter, and Not measured means none was. Actively managed books are those measured systematic-like, concentrated or diversified active.

Excluded 1 holder with no observed 2026-06-30 13F.

Conviction and Crowding

56 13F filers, quarter ended Jun 30, 2026

Measured across every 13F filer's common-share book once the quarter's filing window closed. Crowding counts filers with high turnover or that advise private funds on Form ADV.

Conviction holders
1
1.79% of filers hold it in their top 10
Mar 31, 2026: 1
Holders above 5%
0
median weight 0.015%
Mar 31, 2026: 0
Crowding
—
no cover-page share count is dated within about a year of the quarter end
Private-fund advisers
—
of shares outstanding
Institutional ownership
—
no cover-page share count is dated within about a year of the quarter end
Top 10 holders
89.5%
of 13F shares, Herfindahl 0.142
Active holders
-4.7%
like-for-like share change of active filers
5% stakes on record
5
1 13D, 4 13G (4 institutional, 0 passive, 0 exempt)
How long holders have held it value-weighted 21.0 quarters
Under 1 year 4.22% 1 to 3 years 13.3% 3 years or more 82.5% Since coverage start 0.000%

Managers in the top fifth by current three-year FundScore alpha were net buyers of $0 (0 buying, 0 selling).

Estimated Holder Cost Basis

Quarter ended Jun 30, 2026, on that quarter's share basis

Estimated, never filed: each 13F buy is costed at its quarter's average traded price and each sale keeps the average cost, so this is what holders paid on average if they traded evenly through each quarter.

Estimated avg cost
$9.50
estimated per share
Mar 31, 2026: $9.16
Quarter-end price
$11.78
implied by 13F values
Estimated gain or loss
+24.0%
price against the estimated cost
Estimated at a loss
0.000%
of costed 13F value

Estimated cost covers 19.2% of the 13F shares; positions already held when a filer's 13F history starts, or bought in a quarter without a trusted average price, have no estimate.

Fund Ownership of JOF by Fund Type

Registered funds' Form N-PORT reports for the quarter ended Jun 30, 2026

Index funds and index ETFs hold 0.00% of shares outstanding.

Fund type Of shares outstanding Shares
Index funds 0.00% 0
Index ETFs 0.00% 0
Active ETFs 2.28% 647,123
Active funds 2.07% 585,787
Unclassified 0.00% 0
All registered funds 4.35% 1,232,910
How fund types are measured

Each fund series counts once, with its latest Form N-PORT report dated inside the quarter; only long share positions count, restated to today's split basis. The fund type is the series' latest Form N-CEN answer on or before the quarter end (the index-fund box and the exchange-traded flag), never its name. Unclassified funds have no usable N-CEN; unit investment trusts are among them, so index ownership is a floor. Funds sit inside their advisers' 13F reports, so these shares overlap the 13F figures and are never added to them.

Holder type: Registered adviser 31 Adviser 3 Bank 5 Broker-dealer 1 Holding company 3 Unknown 13
Showing 56 of 56
All Common Calls Puts
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Holder Value (USD) % of 13F Shares Open
Allspring Global Investments Holdings, LLC $52,810,529 21.69% 4,483,067
CITY OF LONDON INVESTMENT MANAGEMENT CO LTD $45,878,046 18.84% 3,894,571
LAZARD ASSET MANAGEMENT LLC $41,948,320 17.23% 3,560,978
1607 Capital Partners, LLC $32,090,004 13.18% 2,724,109
Saba Capital Management, L.P. $22,956,640 9.43% 1,948,781
BANK OF AMERICA CORP /DE/ $5,221,991 2.14% 443,293
Karpus Management, Inc. $4,921,142 2.02% 417,754
Almitas Capital LLC $4,551,497 1.87% 386,375
MORGAN STANLEY $3,412,040 1.40% 289,647
Pekin Hardy Strauss, Inc. $3,318,484 1.36% 281,705
Mraz, Amerine & Associates, Inc. $2,383,824 0.98% 202,362
Bulldog Investors, LLP $2,209,421 0.91% 187,557
FLAGSHIP HARBOR ADVISORS, LLC $1,915,086 0.79% 162,571
LPL Financial LLC $1,775,104 0.73% 150,688
Altium Capital Management LLC $1,771,853 0.73% 150,412
RAFFLES ASSOCIATES LP $1,307,191 0.54% 110,967
RAYMOND JAMES FINANCIAL INC $1,258,822 0.52% 106,861
CIBC WORLD MARKET INC. $1,242,130 0.51% 105,444
Shaker Financial Services, LLC $1,172,795 0.48% 93,079
Hara Capital LLC $1,163,439 0.48% 98,764
Verition Fund Management LLC $936,957 0.38% 79,538
Barry Investment Advisors, LLC $926,780 0.38% 73,554
Noble Wealth Management PBC $912,303 0.37% 72,405
CSS LLC/IL $809,038 0.33% 68,679
Baird Financial Group, Inc. $747,122 0.31% 63,423
BARD ASSOCIATES INC $686,644 0.28% 58,289
HRT FINANCIAL LP $497,610 0.20% 42,242
Corient Private Wealth LLC $495,938 0.20% 42,100
CITADEL ADVISORS LLC $457,240 0.19% 38,815
DKM Wealth Management, Inc. $428,412 0.18% 34,001
Quantinno Capital Management LP $425,258 0.17% 36,100
BEAM WEALTH ADVISORS, INC. $288,610 0.12% 24,500
Triasima Portfolio Management inc. $274,680 0.11% 21,800
READYSTATE ASSET MANAGEMENT LP $262,093 0.11% 22,249
INGALLS & SNYDER LLC $235,600 0.10% 20,000
SAX WEALTH ADVISORS, LLC $234,927 0.10% 18,645
ROBERTS GLORE & CO INC /IL/ $207,716 0.09% 17,633
XTX Topco Ltd $189,375 0.08% 16,076
Successful Portfolios LLC $189,000 0.08% 15,000
Mills Wealth Advisors LLC $151,054 0.06% 12,823
Sanctuary Advisors, LLC $144,894 0.06% 12,300
WELLS FARGO & COMPANY/MN $121,239 0.05% 10,292
North Ground Capital $117,800 0.05% 10,000
OSAIC HOLDINGS, INC. $108,187 0.04% 9,184
PNC FINANCIAL SERVICES GROUP, INC. $71,327 0.03% 6,055
Colonial Trust Advisors $66,545 0.03% 5,649
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC $45,942 0.02% 3,900
United Financial Planning Group LLC $32,984 0.01% 2,800
JPMORGAN CHASE & CO $24,820 0.01% 2,107
US BANCORP \DE\ $17,964 0.01% 1,525
CoreCap Advisors, LLC $12,600 0.01% 1,000
Thomas J. Herzfeld Advisors, Inc. $9,223 0.00% 783
Ancora Advisors LLC $5,890 0.00% 500
JONES FINANCIAL COMPANIES LLLP $3,922 0.00% 333
HIGHLINE WEALTH PARTNERS LLC $2,520 0.00% 200
ASSETMARK, INC $1,554 0.00% 132
Key facts CIK 859796 CUSIP 47109U104 13F (30d) 9 filings 9 filers Visit website