-----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, TjpOwmmbZIkM4tJ23CyG5hC8zthZzytKtabfItxPSNG0o+XQzOn1iYqpAXn9gx27 fpnstjX0aKS9/qLPYeyl0g== 0000950117-96-000957.txt : 19960928 0000950117-96-000957.hdr.sgml : 19960928 ACCESSION NUMBER: 0000950117-96-000957 CONFORMED SUBMISSION TYPE: 8-A12B/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19960820 SROS: NYSE FILER: COMPANY DATA: COMPANY CONFORMED NAME: ROYCE VALUE TRUST INC CENTRAL INDEX KEY: 0000804116 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 133356097 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-A12B/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-09313 FILM NUMBER: 96618204 BUSINESS ADDRESS: STREET 1: 1414 AVE OF THE AMERICAS 9TH FL CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 2123557311 MAIL ADDRESS: STREET 1: 1414 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10019 8-A12B/A 1 ROYCE VALUE TRUST INC. 8-A AM # 1 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 ---------------- FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(B) OR 12(G) OF THE SECURITIES EXCHANGE ACT OF 1934 AMENDMENT NO. 1 Royce Value Trust, Inc. - -------------------------------------------------------------------------------- (EXACT NAME OF REGISTRANT AS SPECIFIED IN ITS CHARTER) Maryland 13-3356097 - ----------------------------------------- -------------------- (STATE OF INCORPORATION OR ORGANIZATION) (I.R.S. EMPLOYER IDENTIFICATION NO.) 1414 Avenue of the Americas New York, New York 10019 - ----------------------------------------- -------------------- (ADDRESS OF PRINCIPAL EXECUTIVE OFFICES) (ZIP CODE) If this Form relates to the registration of a class of debt securities and is effective upon filing pursuant to General Instruction A(c)(1) please check the following box. [ ] If this Form relates to the registration of a class of debt securities and is to become effective simultaneously with the effectiveness of a concurrent registration statement under the Securities Act of 1933 pursuant to General Instruction A(c)(2) please check the following box. [ ] Securities to be registered pursuant to Section 12(b) of the Act: TITLE OF EACH CLASS NAME OF EACH EXCHANGE ON WHICH TO BE SO REGISTERED EACH CLASS IS TO BE REGISTERED ------------------- -------------------------------- 8% Cumulative Preferred Stock New York Stock Exchange SECURITIES TO BE REGISTERED PURSUANT TO SECTION 12(G) OF THE ACT: None. ITEM 1. DESCRIPTION OF REGISTRANT'S SECURITIES TO BE REGISTERED. The section captioned "Description of Cumulative Preferred Stock" in the Registrant's final prospectus dated August 16, 1996 forming a part of the Registrant's Registration Statement on Form N-2 (No. 333-8039), filed with the Securities and Exchange Commission (the "Commission") on August 19, 1996 pursuant to Rule 497 under the Securities Act of 1933, is incorporated herein by reference. ITEM 2. EXHIBITS. (I) The following exhibits have been filed with the Commission: (1) Form of Certificate for Common Stock.(a) (2) Portions of the Articles of Incorporation, as amended, of the Registrant defining the rights of holders of Common Stock.(b) (3) Form of Note for 5 3/4% Investment Company Convertible Notes due June 30, 2004.(c) (4) Indenture made as of June 15, 1994 by and between the Registrant and United States Trust Company of New York, as Trustee.(d) (5) Form of Certificate for 8% Cumulative Preferred Stock (the "Cumulative Preferred Stock").(e) (6) Portions of the form of Articles Supplementary defining the rights of holders of Cumulative Preferred Stock.(f) - -------- (a) Incorporated by reference to Exhibit 4 to the Registrant's Registration Statement on Form N-2 (File No. 811-4875) filed with the Commission on October 15, 1986. (b) Incorporated by reference to Exhibit 1 to the Registrant's Registration Statement on Form N-2 (File No. 33-9514) filed with the Commission on October 15, 1986, Exhibit 77Q(a) to the Registrant's Semi-Annual Report on Form N-SAR for the six-months ended June 30, 1988, and Exhibit (1)(C) to Amendment No. 4 to the Registrant's Registration Statement on Form N-2 (File No. 33-29748) filed with the Commission on August 14, 1989. (c) Incorporated by reference to Exhibit (d)(iii) to the Registrant's Registration Statement on Form N-2 (File No. 33-78828) filed with the Commission on June 15, 1994. (d) Incorporated by reference to Exhibit (d)(ii) to the Registrant's Registration Statement on Form N-2 (File No. 33-78828) filed with the Commission on June 15, 1994, Exhibit (f)(ii) to the Registrant's Registration Statement on Form N-2 (File No. 33-78828) filed with the Commission on August 11, 1995, and Exhibit (f)(3) to the Registrant's Registration Statement on Form N-2 (File No. 333-8039) filed with the Commission on July 12, 1996. (e) Incorporated by reference to Exhibit (d)(1) to the Registrant's Registration Statement on Form N-2 (File No. 333-8039) filed with the Commission on July 12, 1996. (f) Incorporated by reference to Exhibit (d)(2) to Pre-Effective Amendment No. 1 to the Registrant's Registration Statement on Form N-2 (File No. 333-8039) filed with the Commission on August 9, 1996. 2 (II) The following exhibits are to be filed with the New York Stock Exchange only: (1) Registrant's Annual Report to Stockholders for the year ended December 31, 1995. (2) Registrant's Semi-Annual Report to Stockholders for the six-months ended June 30, 1996. (3) Registrant's Proxy Statement dated May 20, 1996. (4) Articles of Incorporation, as amended, of the Registrant. (5) Form of Certificate for Cumulative Preferred Stock. (6) Registrant's Annual Report of Stockholders for the year ended December 31, 1995. 3 SIGNATURE Pursuant to the requirements of Section 12 of the Securities Exchange Act of 1934, the registrant has duly caused this Registration Statement to be signed on its behalf by the undersigned, thereto duly authorized. Royce Value Trust, Inc. Date: August 20, 1996 By /s/ W. Whitney George --------------------- W. Whitney George Vice President 4 -----END PRIVACY-ENHANCED MESSAGE-----