ARTICLE IManagement Agreement • November 9th, 2005 • Japan Smaller Capitalization Fund Inc • New York
ARTICLE IInvestment Advisory Agreement • September 15th, 1999 • Japan Otc Equity Fund Inc • New York
BETWEENCustodian Contract • September 15th, 1999 • Japan Otc Equity Fund Inc • London
ARTICLE IInvestment Advisory Agreement • November 9th, 2005 • Japan Smaller Capitalization Fund Inc • New York
Exhibit (h) 5,282,128 Shares of Common Stock Issuable Upon Exercise of Transferable Rights to Subscribe for such Shares DEALER MANAGER AGREEMENTDealer Manager Agreement • November 14th, 2005 • Japan Smaller Capitalization Fund Inc • New York
Exhibit (d)(5) SUBSCRIPTION AGENT AGREEMENT ---------------------------- This Subscription Agent Agreement (the "Agreement") is made as of November , 2005 between Japan Smaller Capitalization Fund, Inc. (the " Company"), Computershare Shareholder...Subscription Agent Agreement • November 14th, 2005 • Japan Smaller Capitalization Fund Inc • Massachusetts
7,091,723 Shares of Common Stock Issuable Upon Exercise of Transferable Rights to Subscribe for Such Shares FORM OF DEALER MANAGER AGREEMENTDealer Manager Agreement • June 16th, 2011 • Japan Smaller Capitalization Fund Inc • New York
Each of Japan Smaller Capitalization Fund, Inc., a Maryland corporation (the “Fund”), and Nomura Asset Management U.S.A. Inc., a New York corporation (the “Manager”), hereby confirms the agreement with and appointment of UBS Securities LLC to act as dealer manager (the “Dealer Manager”) in connection with the issuance by the Fund to the holders of record (the “Record Date Stockholders”) at the close of business on the record date set forth in the Prospectus (as defined herein) (the “Record Date”) transferable rights entitling such Record Date Stockholders to subscribe for up to 7,091,723 shares (each a “Share” and, collectively, the “Shares”) of common stock, par value $0.10 per share (the “Common Shares”), of the Fund (the “Offer”). Pursuant to the terms of the Offer, the Fund is issuing each Record Date Stockholder one transferable right (each a “Right” and, collectively, the “Rights”) for each Common Share held by such Record Date Stockholder on the Record Date. Such Rights entitle
ARTICLE IManagement Agreement • September 15th, 1999 • Japan Otc Equity Fund Inc • New York
Transfer Agency and Service Agreement Between Japan Smaller Capitalization Fund, Inc. and EquiServe, Inc. and EquiServe Trust Company, N.A.Transfer Agency and Service Agreement • June 16th, 2011 • Japan Smaller Capitalization Fund Inc • Massachusetts
AGREEMENT made as of the 1st day of March, 2002, by and between Japan Smaller Capitalization Fund, Inc. a corporation, having its principal office and place of business at 180 Maiden Lane, New York, NY 10038 (the “Customer”), and EquiServe, Inc., a Delaware corporation, and its fully owned subsidiary EquiServe Trust Company, N.A., a federally chartered trust company doing business at 150 Royall Street, Canton, Massachusetts 02021 (collectively, the “Transfer Agent” or individually “EQI” and the “Trust Company” respectively).
WITNESSETH:Custodian Agreement • November 9th, 2005 • Japan Smaller Capitalization Fund Inc • New York
MANAGEMENT AGREEMENTManagement Agreement • May 3rd, 2023 • Japan Smaller Capitalization Fund Inc • New York
AGREEMENT made on December 15, 2022, 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”).
June [ ], 2011Letter of Agreement • June 16th, 2011 • Japan Smaller Capitalization Fund Inc • New York
This Letter of Agreement, including the Appendix attached hereto (collectively, this “Agreement”), sets forth the terms and conditions of the engagement of Georgeson Inc. (“Georgeson”) by Japan Smaller Capitalization Fund, Inc. (the “Company”) to act as Information Agent in connection with its upcoming rights offer to purchase shares of its own Common Stock (the “Offer”). The term of the Agreement shall be the term of the Offer, including any extensions thereof.
EXHIBIT (d)(5) SUBSCRIPTION RIGHTS AGENCY AGREEMENT This Subscription Rights Agency Agreement (the "Agreement") is made as of October ____, 1999 between Japan OTC Equity Fund, Inc., a Maryland Corporation ("the Fund"), and State Street Bank and Trust...Subscription Rights Agency Agreement • October 22nd, 1999 • Japan Otc Equity Fund Inc • Massachusetts
Amendment to Transfer Agency and Service AgreementTransfer Agency and Service Agreement • June 16th, 2011 • Japan Smaller Capitalization Fund Inc
This Amendment (“Amendment”), effective as of June 1, 2011 (“Effective Date”), is to the Transfer Agency and Service Agreement (the “Agreement”) made as of March 1, 2002, by and between Japan Smaller Capitalization Fund, Inc. (the “Company”) and Computershare Trust Company, N.A. (formerly known as EquiServe Trust Company, N.A.) and Computershare Inc. (formerly known as EquiServe, Inc.) (collectively, the “Transfer Agent”).
Exhibit (k) REGISTRAR, TRANSFER AGENCY AND SERVICE AGREEMENTRegistrar, Transfer Agency and Service Agreement • September 15th, 1999 • Japan Otc Equity Fund Inc • Massachusetts
Exhibit (k)(1) ACCOUNTING AGENCY AGREEMENT THIS ACCOUNTING AGENCY AGREEMENT is made as of ____________, 2002 by and between BROWN BROTHERS HARRIMAN & CO., a limited partnership organized under the laws of the State of New York (the "Accounting...Accounting Agency Agreement • November 9th, 2005 • Japan Smaller Capitalization Fund Inc • New York
INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • June 22nd, 2011 • Japan Smaller Capitalization Fund Inc • New York
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 same matter between the Manager and the Investment Adviser”).
MANAGEMENT AGREEMENTManagement Agreement • June 22nd, 2011 • Japan Smaller Capitalization Fund Inc • New York
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”).
AMENDMENT TO THE ACCOUNTING AGENCY AGREEMENTAccounting Agency Agreement • June 22nd, 2011 • Japan Smaller Capitalization Fund Inc
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”).
SUBSCRIPTION AGENT AGREEMENTSubscription Agent Agreement • June 16th, 2011 • Japan Smaller Capitalization Fund Inc • Massachusetts
This Subscription Agent Agreement (the “Agreement”) is made as of [ ], 2011 by and among Japan Smaller Capitalization Fund, Inc. (the “Fund”), Computershare Inc., a Delaware corporation and its fully owned subsidiary Computershare Trust Company, N.A., a national banking (collectively, the “Agent” or individually “Computershare” and the “Trust Company”, respectively). All terms not defined herein shall have the meaning given in the prospectus (the “Prospectus”) included in the (Registration Statement on Form N-2, File No. __________ filed by the Company with the Securities and Exchange Commission on ____________, 2011, as amended by any amendment filed with respect thereto (the “Registration Statement").
