-----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, RwPjHN7F0NK/aNctZP+6WDnE96HEas89a1tTZYe7tkMwGPM5Lr7181IbUf83mxl3 90AtP7qHkxp5PV7e61Twyg== 0000912147-06-000006.txt : 20061025 0000912147-06-000006.hdr.sgml : 20061025 20061025142438 ACCESSION NUMBER: 0000912147-06-000006 CONFORMED SUBMISSION TYPE: 144 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20061025 DATE AS OF CHANGE: 20061025 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ROYCE MICRO CAP TRUST INC /MD/ CENTRAL INDEX KEY: 0000912147 IRS NUMBER: 133739778 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 144 SEC ACT: 1933 Act SEC FILE NUMBER: 811-08030 FILM NUMBER: 061162535 BUSINESS ADDRESS: STREET 1: C/O ROYCE & ASSOCIATES, INC. STREET 2: 1414 AVE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 2124084587 MAIL ADDRESS: STREET 1: ROYCE MICRO-CAP TRUST, INC. STREET 2: 1414 AVE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10019 FORMER COMPANY: FORMER CONFORMED NAME: ROYCE OTC MICRO CAP FUND INC DATE OF NAME CHANGE: 19930917 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: ROYCE CHARLES M CENTRAL INDEX KEY: 0001009121 RELATIONSHIP: DIRECTOR STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 144 BUSINESS ADDRESS: STREET 1: C/O ROYCE & ASSOCIATES, LLC STREET 2: 1414 AVE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 2124861445 MAIL ADDRESS: STREET 1: C/O ROYCE & ASSOCIATES, LLC STREET 2: 1414 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10019 144 1 frm144-1006.htm



UNITED STATES

SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

FORM 144
NOTICE OF PROPOSED SALE OF SECURITIES

PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933

OMB APPROVAL

OMB Number: 3235-0101

Expires: December 31, 2006

Estimated average burden hours per response . . . . . . . . . 4.47

SEC USE ONLY

DOCUMENT SEQUENCE NO.

 

CUSIP NUMBER

ATTENTION:

Transmit for filing 3 copies of this form concurrently with either placing an order with a broker to execute sale or executing a sale directly with a market maker.

 

(a) NAME OF ISSUER (Please type or print)

(b) IRS IDENT. NO.

(c) S.E.C. FILE NO.

WORK LOCATION

Royce Micro-Cap Trust, Inc.


13-3739778


333-107924

 

(d)

ADDRESS OF ISSUER

STREET

CITY

STATE

ZIP CODE

(e) TELEPHONE NO.

1414 Avenue of the Americas

New York

NY

10019

AREA
CODE

NUMBER

800

221-4268

(a)

NAME OF PERSON FOR WHOSE ACCOUNT THE SECURITIES ARE TO BE SOLD

(b)

IRS IDENT. NO.

(c)

RELATIONSHIP TO ISSUER

(d)

ADDRESS STREET

CITY

STATE

ZIP CODE


Charles M. Royce


N/A


Director and Officer


1414 Avenue of the Americas


New York


NY


10019

INSTRUCTION:  The person filing this notice should contact the issuer to obtain the I.R.S. Identification Number and the S.E.C. File Number.

(a)

Title of the Class of Securities To Be Sold

(b)

Name and Address of Each Broker Through Whom the Securities are to be Offered or Each Market Maker who is Acquiring the Securities

SEC USE ONLY

(c)

Number of Shares
or Other Units
To Be Sold
(See instr. 3(c))

(d)

Aggregate
Market
Value
(See instr. 3(d))

(e)

Number of Shares
or Other Units
Outstanding
(See instr. 3(e))

(f)

Approximate Date of Sale
(See instr. 3(f))
(MO. DAY YR.)

(g)

Name of Each Securities Exchange
(See instr. 3(g))

Broker-Dealer
File Number

Common

Goldman Sachs & Co.
One New York Plaza, 41st Floor
New York, NY 10004

 

102,274

1,530,019 (based on 10/23/06 market close)

22,456,527 (as of 6/30/06 semi-annual report)

10/25/06

NYSE

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

INSTRUCTIONS:

1.

(a)

Name of issuer

3.

(a)

Title of the class of securities to be sold

 

(b)

Issuer's I.R.S. Identification Number

 

(b)

Name and address of each broker through whom the securities are intended to be sold

 

(c)

Issuer's S.E.C. file number, if any

 

(c)

Number of shares or other units to be sold (if debt securities, give the aggregate face amount)

 

(d)

Issuer's address, including zip code

 

(d)

Aggregate market value of the securities to be sold as of a specified date within 10 days prior to the filing of this notice

 

(e)

Issuer's telephone number, including area code

 

(e)

Number of shares or other units of the class outstanding, or if debt securities the face amount thereof outstanding, as shown by the most recent report or statement published by the issuer

 

 

 

 

(f)

Approximate date on which the securities are to be sold

2.

(a)

Name of person for whose account the securities are to be sold

 

(g)

Name of each securities exchange, if any, on which the securities are intended to be sold

 

(b)

Such person's I.R.S. identification number, if such person is an entity

 

 

 

 

(c)

Such person's relationship to the issuer (e.g., officer, director, 10% stockholder, or member of immediate family of any of the foregoing)

 

 

 

 

(d)

Such person's address, including zip code

 

 

 

Potential persons who are to respond to the collection of information contained in this form are not
required to respond unless the form displays a currently valid OMB control number.

SEC 1147 (01-04)

 

 

TABLE I -- SECURITIES TO BE SOLD

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

Title of the Class

Date you Acquired

Nature of Acquisition Transaction

Name of Person from Whom Acquired
(If gift, also give date donor acquired)

Amount of Securities Acquired*

Date of Payment

Nature of Payment

Common

 

 

 

 

 

 

 

 

 

9/1/06

7/11/06

7/11/06

7/11/06

7/11/06

7/11/06

 

 

 

 

Dividend Reinvestment

Gift

Gift

Gift

Gift

Gift

 

 

 

 

 

Charles M. Royce (12/23/99)

Charles M. Royce (12/23/98)

Charles M. Royce (4/22/97)

Charles M. Royce (2/10/97)

Charles M. Royce (12/23/96)

 

 

 

 

2,274

10,072

20,443

2,000

20,000

47,485

 

 

 

 

9/1/06

Gift**

Gift**

Gift**

Gift**

Gift**

 

 

 

 

Shares issued in reinvestment

Gift**

Gift**

Gift**

Gift**

Gift**

 

 

 

 

 

INSTRUCTIONS:

 

 

 

REMARKS:

1.

If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

* Shares held by a charitable foundation established by Mr. Royce and members of his family. Neither Mr. Royce nor any family member has a pecuniary interest in shares held by the charitable foundation.

** Gift of shares from Mr. Royce to a charitable foundation established by Mr. Royce and members of his family. Neither Mr. Royce nor any family member has a pecuniary interest in shares held by the charitable foundation.

 

2.

If within two years after the acquisition of the securities the person for whose account they are to be sold had any short positions, put or other option to dispose of securities referred to in paragraph (d)(3) of Rule 144, furnish full information with respect thereto.

TABLE II -- SECURITIES SOLD DURING THE PAST 3 MONTHS

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

Name and Address of Seller

Title of Securities Sold

Date of Sale

Amount of Securities Sold

Gross Proceeds

N/A

N/A

N/A

N/A

N/A

REMARKS:

INSTRUCTIONS:

 

ATTENTION:

See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.

 

The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed.

10/25/06

 

/s/Charles M. Royce

DATE OF NOTICE

 

(SIGNATURE)

The notice shall be signed by the person for whose account the securities are to be sold. At least one copy of the notice shall be manually signed.
Any copies not manually signed shall bear typed or printed signatures.

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)

SEC 1147 (01-04)

 

 

-----END PRIVACY-ENHANCED MESSAGE-----