0001084208-18-000008.txt : 20180215
0001084208-18-000008.hdr.sgml : 20180215
20180214181810
ACCESSION NUMBER: 0001084208-18-000008
CONFORMED SUBMISSION TYPE: SC 13G
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20180215
DATE AS OF CHANGE: 20180214
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: ROYCE GLOBAL VALUE TRUST, INC.
CENTRAL INDEX KEY: 0001514490
IRS NUMBER: 000000000
STATE OF INCORPORATION: MD
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13G
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-88638
FILM NUMBER: 18615047
BUSINESS ADDRESS:
STREET 1: 745 FIFTH AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10151
BUSINESS PHONE: 212-508-4500
MAIL ADDRESS:
STREET 1: 745 FIFTH AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10151
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: RAYMOND JAMES & ASSOCIATES
CENTRAL INDEX KEY: 0001084208
IRS NUMBER: 591237041
STATE OF INCORPORATION: FL
FISCAL YEAR END: 0930
FILING VALUES:
FORM TYPE: SC 13G
BUSINESS ADDRESS:
STREET 1: 880 CARRILON PKWY
STREET 2: PO BOX 14508
CITY: ST PETERSBURG
STATE: FL
ZIP: 337334508
BUSINESS PHONE: 7275671000
MAIL ADDRESS:
STREET 1: 880 CARRILON PARKWAY
STREET 2: PO BOX 14508
CITY: ST PETERSBURG
STATE: FL
ZIP: 337334508
FORMER COMPANY:
FORMER CONFORMED NAME: DOWDLE JEFFREY A
DATE OF NAME CHANGE: 19990414
SC 13G
1
13G_RGT_151231.txt
13G INITIAL
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. ___)*
Royce Global Value Trust
(Name of Issuer)
Shares of Common Stock
(Title of Class of Securities)
78081T104
(CUSIP Number)
12/31/2015
(Date of Event which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this
Schedule is filed:
[x] Rule 13d-1(b)
[_] Rule 13d-1(c)
[_] Rule 13d-1(d)
* The remainder of this cover page shall be filled out for a reporting person's
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).
SCHEDULE 13G
CUSIP No. 78081T104
1 Names of Reporting Person:
Raymond James & Associates, Inc.
2 Check the appropriate box if a member of a Group (see instructions)
(a) [ ]
(b) [ ]
3 Sec Use Only
4 Citizenship or Place of Organization
Florida
Number of Shares Beneficially Owned by Each Reporting Person With:
5 Sole Voting Power
0
6 Shared Voting Power
0
7 Sole Dispositive Power
636,008**
8 Shared Dispositive Power
0
9 Aggregate Amount Beneficially Owned by Each Reporting Person
636,008
10 Check box if the aggregate amount in row (9) excludes certain shares
(See Instructions)
[ ]
11 Percent of class represented by amount in row (9)
6.2%
12 Type of Reporting Person (See Instructions)
IA
** Shares are held in discretionary accounts for the benefit of individual
clients who may also direct disposition of the shares.
Item 1.
(a) Name of Issuer: Royce Global Value Trust
(b) Address of Issuer's Principal Executive Offices:
745 Fifth Avenue
New York, NY 10151
Item 2.
(a) Name of Person Filing: Raymond James & Associates, Inc.
(b) Address of Principal Business Office or, if None, Residence:
880 Carillon Parkway
St. Petersburg, FL 33716
(c) Citizenship: Florida
(d) Title and Class of Securities: Shares of Common Stock
(e) CUSIP No.: 78081T104
Item 3. If this statement is filed pursuant to Sections 240.13d-1(b) or
240.13d-2(b) or (c), check whether the person filing is a:
(a) [x] Broker or dealer registered under Section 15 of the Act;
(b) [_] Bank as defined in Section 3(a)(6) of the Act;
(c) [_] Insurance company as defined in Section 3(a)(19) of the Act;
(d) [_] Investment company registered under Section 8
of the Investment Company Act of 1940;
(e) [x] An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E);
(f) [_] An employee benefit plan or endowment fund in accordance
with Rule 13d-1(b)(1)(ii)(F);
(g) [_] A parent holding company or control person in accordance
with Rule 13d-1(b)(1)(ii)(G);
(h) [_] A savings associations as defined in Section 3(b) of the
Federal Deposit Insurance Act (12 U.S.C. 1813);
(i) [_] A church plan that is excluded from the definition of an
investment company under section 3(c)(14) of the
Investment Company Act of 1940;
(j) [_] A non-U.S. institution in accordance with Rule 240.13d-1(b)(1)(ii)(J);
(k) [_] Group, in accordance with Rule 240.13d-1(b)(1)(ii)(K). If filing as a
non-U.S. institution in accordance with Rule 240.13d-1(b)(1)(ii)(J),
please specify the type of institution: ____
Item 4. Ownership
(a) Amount Beneficially Owned: 636,008
(b) Percent of Class: 6.2%
(c) Number of shares as to which such person has:
(i) Sole power to vote or to direct the vote: 0
(ii) Shared power to vote or to direct the vote: 0
(iii) Sole power to dispose or to direct the disposition of: 636,008**
(iv) Shared power to dispose or to direct the disposition of: 0
Item 5. Ownership of Five Percent or Less of a Class.
If this statement is being filed to report the fact that as of the date hereof
the reporting person has ceased to be the beneficial owner of more than
five percent of the class of securities, check the following [ ].
Item 6. Ownership of more than Five Percent on Behalf of Another Person.
Not applicable.
Item 7. Identification and classification of the subsidiary which acquired the
security being reported on by the parent holding company or control person.
Not applicable.
Item 8. Identification and classification of members of the group.
Not applicable.
Item 9. Notice of Dissolution of Group.
Not applicable.
Item 10. Certifications.
By signing below I certify that, to the best of my knowledge and belief, the
securities referred to above were acquired in the ordinary course of business
and were not acquired for the purpose of and do not have the effect of changing
or influencing the control of the issuer of such securities and were not
acquired in connection with or as a participant in any transaction having
such purpose or effect.
** Shares are held in discretionary accounts for the benefit of individual
clients who may also direct disposition of the shares.
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.
Dated: 2/14/2018
/s/ Chris Thurston
Name: Chris Thurston
Title: Vice President
The original statement shall be signed by each person on whose behalf the
statement is filed or his authorized representative. If the statement is signed
on behalf of a person by his authorized representative (other than an executive
officer or general partner of this filing person), evidence of the
representative's authority to sign on behalf of such person shall be filed with
the statement, provided, however, that a power of attorney for this purpose
which is already on file with the Commission may be incorporated by reference.
The name and any title of each person who signs the statement shall be typed or
printed beneath his signature.
Attention: Intentional misstatements or omissions of fact constitute
Federal criminal violations (See 18 U.S.C. 1001).