-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, C1sgF1ckQNvnGXLeA3/GoowOLk+vS4MLhh6CmSBvmsYJFMtGnZwdh21opWkOl1xE rO3MWBGkfi3T16QRiqUdjQ== 0000883511-05-000009.txt : 20050829 0000883511-05-000009.hdr.sgml : 20050829 20050829122800 ACCESSION NUMBER: 0000883511-05-000009 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20050829 DATE AS OF CHANGE: 20050829 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: JAPAN SMALLER CAPITALIZATION FUND INC CENTRAL INDEX KEY: 0000859796 IRS NUMBER: 133553469 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-59337 FILM NUMBER: 051054165 BUSINESS ADDRESS: STREET 1: 2 WORLD FINANCIAL CENTER STREET 2: BUILDING B, 22ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10281-1712 BUSINESS PHONE: 8008330018 MAIL ADDRESS: STREET 1: 2 WORLD FINANCIAL CENTER STREET 2: BUILDING B, 22ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10281-1712 FORMER COMPANY: FORMER CONFORMED NAME: JAPAN OTC EQUITY FUND INC DATE OF NAME CHANGE: 19920703 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: DUDLEY & SHANLEY, LLC CENTRAL INDEX KEY: 0000883511 IRS NUMBER: 133324085 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 130 MAPLE AVENUE STREET 2: SUITE EB2 CITY: RED BANK STATE: NJ ZIP: 07701 BUSINESS PHONE: 7329361030 MAIL ADDRESS: STREET 1: 130 MAPLE AVENUE STREET 2: SUITE EB2 CITY: RED BANK STATE: NJ ZIP: 07701 FORMER COMPANY: FORMER CONFORMED NAME: DUDLEY & CO LLC DATE OF NAME CHANGE: 20030821 FORMER COMPANY: FORMER CONFORMED NAME: DUDLEY & CO LLC /NY DATE OF NAME CHANGE: 19990406 FORMER COMPANY: FORMER CONFORMED NAME: DUDLEY & CO DATE OF NAME CHANGE: 19980601 SC 13G 1 sc13g-jof.txt SCHEDULE 13-G JOF UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Japan Smaller Capitalization Fund, Inc. (Name of Issuer) Closed-end Fund traded on NYSE (Title of Class of Securities) 47109U104 (CUSIP Number) July 29, 2004 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: ___ Rule 13d-1(b) _X_ Rule 13d-1(c) ___ Rule 13d-1(d) * The remainder of this cover page shall be filled out for a reporting persons initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be filed for the purpose of Section 18 of the Securities Exchange Act of 1934 (Act) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). CUSIP No. 47109U104 1. Names of Reporting Persons I.R.S. Identification Nos. of above persons (entities only). Dudley & Shanley, LLC Tax I.D.: 13-3324085 2. Check the Appropriate Box if a Member of a Group (see Instructions) (a) (b) X 3. SEC Use Only 4. Citizenship or Place of Organization State of Delaware, U.S.A. Number of Shares Beneficially Owned by Each Reporting Person With: 5. Sole Voting Power 831,000 6. Shared Voting Power 68,000 7. Sole Dispositive Power 831,000 8. Shared Dispositive Power 68,000 9. Aggregate Amount Beneficially Owned by Each Reporting Person 899,000 shares 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares 11. Percent of Class Represented by Amount in Row (9) 5.7% 12. Type of Reporting Person IA Item 1. (a) Japan Smaller Capitalization Fund, Inc. (b) 2 World Financial Center, Building B, 22nd Floor, New York, NY 10281-1712 Item 2. (a) Dudley & Shanley, LLC (b) 130 Maple Avenue, Suite EB2, Red Bank, NJ 07701 (c) Delaware, U.S.A. (d) Closed-end Fund traded on NYSE (e) 47109U104 Item 3. If this statement is filed pursuant to Rule 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a: Not applicable Item 4. Ownership (a) 899,000 shares (b) 5.7% (i) 831,000 (ii) 68,000 (iii) 831,000 (iv) 68,000 Item 5. Ownership of Five Percent or Less of a Class Not applicable Item 6. Ownership of More than Five Percent on Behalf of Another Person. The clients whose investment accounts are managed by Dudley & Shanley, LLC have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, the subject security. No one client, however, has an interest in more than five percent of the class. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company Not applicable Item 8. Identification and Classification of Members of the Group Not applicable Item 9. Notice Dissolution of Group Not applicable Item 10. Certification By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. August 29, 2005 Date /s/ FRANK E. SHANLEY, Manager Signature, Title -----END PRIVACY-ENHANCED MESSAGE-----