Vault-13

ROYCE MICRO-CAP TR INC RMT

COM · Closed-End Fund · CUSIP 780915104

87 institutional holders -3 vs Q3 2022
12,820,95312.8m shares reported held*
$111.3mreported value*
11 new 32 added 23 reduced 16 sold out net sold ≈ $20.2m (-2.3m shares)

* Summed across managers. Shares that two managers' reports both contain – a subsidiary's holdings that its parent's report includes too, or a sub-adviser's in its client's – are counted once. Holder counts are more reliable. Implied quarter-end price ≈ $8.68.

Trends to Q4 2022

Institutional holders

Managers reporting a position, each quarter

050100Q3 22: 90Q4 22: 8787Q3 22Q4 22
Numbers
QuarterHolders
Q3 202290
Q4 202287

Biggest buyers

Allspring Global Investments Holdings, LLC Added +358,979+359.0k
DFPG INVESTMENTS, LLC New +78,640+78.6k
Cetera Investment Advisers Added +72,565+72.6k
Apollon Wealth Management, LLC New +54,797+54.8k
Mraz, Amerine & Associates, Inc. Added +29,458+29.5k
CAPTRUST FINANCIAL ADVISORS Added +23,750+23.8k
NORTHERN TRUST CORP New +20,600+20.6k
Weiss Asset Management LP New +19,715+19.7k
ROYAL BANK OF CANADA Added +18,090+18.1k
BANK OF AMERICA CORP /DE/ Added +17,703+17.7k

Biggest sellers

Advisors Asset Management, Inc. Reduced -1,157,462-1.2m
MORGAN STANLEY Reduced -630,656-630.7k
Shaker Financial Services, LLC Reduced -589,764-589.8k
PUNCH & ASSOCIATES INVESTMENT MANAGEMENT, INC. Reduced -108,122-108.1k
1607 Capital Partners, LLC Reduced -105,279-105.3k
CITY OF LONDON INVESTMENT MANAGEMENT CO LTD Sold out -103,048-103.0k
WELLS FARGO & COMPANY/MN Reduced -96,210-96.2k
Prospera Financial Services Inc Sold out -54,863-54.9k
Cornerstone Advisors, LLC Sold out -47,255-47.3k
Karpus Management, Inc. Reduced -36,825-36.8k

Major shareholders (over 5%)

Anyone who owns more than 5% of a class of the company's shares has to say so: on Schedule 13D if they may try to influence or control the company, on 13G if they're a passive investor, and update it as the stake changes. Each holder's latest filing, from 19 Dec 2024 on; percentages are of the share class, as the holder worked them out.

HolderStakeChangeShares Last filed
Saba Capital Management, L.P. 13D · may seek influence +1.0 pts · filed 2026-08-05
Stated purposeNot Applicable. Full filing
7.1% +1.0 pts 3.8m≈ $55.4m 2026-08-05

Fell to 5% or below in the last year: MORGAN STANLEY (4.8%, 2026-08-13)

Insider purchases and sales in Q4 2022

Shares bought or sold by the company's own officers, directors and 10% owners, in the open market or privately, as they reported to the SEC on Form 4 (due within two business days of the trade). Grants, option exercises, shares withheld for tax and gifts aren't included.

Officers and directors buying vs selling

Number of people, by quarter (10% owners not included)

BuyingSelling
101Q1 21: 0 buyingQ1 21: 0 sellingQ2 21: 0 buyingQ2 21: 0 sellingQ2 21Q3 21: 0 buyingQ3 21: 0 sellingQ4 21: 0 buyingQ4 21: 0 sellingQ4 21Q1 22: 0 buyingQ1 22: 0 sellingQ2 22: 1 buyingQ2 22: 0 sellingQ2 22Q3 22: 0 buyingQ3 22: 0 sellingQ4 22: 1 buyingQ4 22: 0 sellingQ4 22
Numbers
QuarterBuyingBoughtSellingSoldSold under a plan
Q1 20210—0——
Q2 20210—0——
Q3 20210—0——
Q4 20210—0——
Q1 20220—0——
Q2 20221$9.3k0——
Q3 20220—0——
Q4 20221$20.8k0——
DateInsiderTradeSharesPrice ValueTheir holding
2022-10-05 Grisanti Christopher C. Director Bought 2,500 $8.33 $20.8k2.5k shares +100%

Their holding: how much the trade added to or took from the insider's holding (direct, or the trust or fund named). The same trade is sometimes reported by more than one insider, such as a fund and the director who represents it; totals count it once. A value is left blank where the reported price is far from the market price (usually a typo).

Holders, Q4 2022

#ManagerLocationShares Value% of their portfolioChangeShares change
1 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 2,066,5972.1m $17.9m $17.9m 0.00% Reduced -630.7k -630,656
2 Allspring Global Investments Holdings, LLC 0.02% of their portfolio CHARLOTTE, NC 1,138,9941.1m $9.9m $9.9m 0.02% Added +359.0k +358,979
3 Advisors Asset Management, Inc. 0.18% of their portfolio Monument, CO 989,513989.5k $8.6m $8.6m 0.18% Reduced -1.2m -1,157,462
4 UBS Group AG 0.00% of their portfolio ZURICH, V8 963,220963.2k $8.4m $8.4m 0.00% Added +13.5k +13,488
5 1607 Capital Partners, LLC 0.53% of their portfolio Richmond, VA 890,580890.6k $7.7m $7.7m 0.53% Reduced -105.3k -105,279
6 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 771,124771.1k $6.7m $6.7m 0.00% Reduced -96.2k -96,210
7 PUNCH & ASSOCIATES INVESTMENT MANAGEMENT, INC. 0.23% of their portfolio EDINA, MN 412,266412.3k $3.6m $3.6m 0.23% Reduced -108.1k -108,122
8 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 395,079395.1k $3.4m $3.4m 0.00% Added +17.7k +17,703
9 Mraz, Amerine & Associates, Inc. 0.77% of their portfolio Modesto, CA 377,887377.9k $3.3m $3.3m 0.77% Added +29.5k +29,458
10 FLAGSHIP HARBOR ADVISORS, LLC 0.33% of their portfolio BOSTON, MA 370,986371.0k $3.2m $3.2m 0.33% Added +9.0k +9,023
11 1832 Asset Management L.P. 0.01% of their portfolio TORONTO, A6 302,492302.5k $2.6m $2.6m 0.01% Unchanged
12 FCA CORP /TX 0.99% of their portfolio HOUSTON, TX 285,002285.0k $2.5m $2.5m 0.99% Added +3.6k +3,623
13 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 279,183279.2k $2.4m $2.4m 0.00% Added +15.9k +15,905
14 Family Firm, Inc. 0.65% of their portfolio BETHESDA, MD 256,517256.5k $2.2m $2.2m 0.65% Added +11.1k +11,063
15 BARD ASSOCIATES INC 0.89% of their portfolio CHICAGO, IL 239,001239.0k $2.1m $2.1m 0.89% Reduced -6.0k -6,000
16 BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC 0.60% of their portfolio BLUE BELL, PA 211,437211.4k $1.8m $1.8m 0.60% Reduced -12.2k -12,218
17 Atlas Wealth LLC 0.48% of their portfolio CINCINNATI, OH 203,448203.4k $1.8m $1.8m 0.48% First filing
18 LPL Financial LLC 0.00% of their portfolio FORT MILL, SC 176,123176.1k $1.5m $1.5m 0.00% Reduced -5.1k -5,063
19 Cetera Investment Advisers 0.01% of their portfolio SCHAUMBURG, IL 156,762156.8k $1.4m $1.4m 0.01% Added +72.6k +72,565
20 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 156,533156.5k $1.4m $1.4m 0.00% Added +18.1k +18,090
21 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 153,882153.9k $1.3m $1.3m 0.00% Reduced -14.7k -14,743
22 HORIZON KINETICS ASSET MANAGEMENT LLC 0.02% of their portfolio NEW YORK, NY 143,588143.6k $1.2m $1.2m 0.02% Reduced -562 -562
23 CAPTRUST FINANCIAL ADVISORS 0.01% of their portfolio RALEIGH, NC 124,072124.1k $1.1m $1.1m 0.01% Added +23.8k +23,750
24 COMMONWEALTH EQUITY SERVICES, LLC 0.00% of their portfolio WALTHAM, MA 120,619120.6k $1.0m $1.0m 0.00% Added +3.4k +3,407
25 Moors & Cabot, Inc. 0.06% of their portfolio BOSTON, MA 97,99298.0k $850.6k $850.6k 0.06% Added +6.8k +6,835
26 Private Advisor Group, LLC 0.02% of their portfolio MORRISTOWN, NJ 84,63784.6k $697.2k $697.2k 0.02% Reduced -9.6k -9,567
27 BROWN ADVISORY INC 0.00% of their portfolio BALTIMORE, MD 78,71978.7k $683.3k $683.3k 0.00% Added +1.1k +1,080
28 DFPG INVESTMENTS, LLC 0.12% of their portfolio SANDY, UT 78,64078.6k $728.2k $728.2k 0.12% New
29 COHEN & STEERS, INC. 0.00% of their portfolio NEW YORK, NY 70,88470.9k $615.0k $615.0k 0.00% Unchanged
30 Shaker Financial Services, LLC 0.26% of their portfolio Arlington, VA 64,81564.8k $562.6k $562.6k 0.26% Reduced -589.8k -589,764
31 TWIN FOCUS CAPITAL PARTNERS, LLC 0.11% of their portfolio Boston, MA 62,16162.2k $539.6k $539.6k 0.11% Unchanged
32 ROBERTS GLORE & CO INC /IL/ 0.17% of their portfolio DEERFIELD, IL 57,81357.8k $501.8k $501.8k 0.17% Added +1.3k +1,324
33 WealthShield Partners, LLC 0.09% of their portfolio CARY, NC 55,46955.5k $481.5k $481.5k 0.09% Added +114 +114
34 Apollon Wealth Management, LLC 0.03% of their portfolio MOUNT PLEASANT, SC 54,79754.8k $475.6k $475.6k 0.03% New
35 Cambridge Investment Research Advisors, Inc. 0.00% of their portfolio FAIRFIELD, IA 54,66354.7k $474.0k $474.0k 0.00% Added +1.9k +1,876
36 RESOLUTE FINANCIAL, LLC 0.39% of their portfolio NEWBURYPORT, MA 53,48653.5k $464.3k $464.3k 0.39% Added +1.6k +1,553
37 FIRST TRUST ADVISORS LP 0.00% of their portfolio Wheaton, IL 48,84448.8k $424.0k $424.0k 0.00% Reduced -686 -686
38 PEAPACK GLADSTONE FINANCIAL CORP 0.01% of their portfolio BEDMINSTER, NJ 46,38346.4k $403.0k $403.0k 0.01% Reduced -147 -147
39 Karpus Management, Inc. 0.01% of their portfolio Pittsford, NY 43,50043.5k $377.6k $377.6k 0.01% Reduced -36.8k -36,825
40 D.A. DAVIDSON & CO. 0.00% of their portfolio GREAT FALLS, MT 42,69342.7k $370.6k $370.6k 0.00% Reduced -20.4k -20,356
41 Kingsview Wealth Management, LLC 0.01% of their portfolio GRANTS PASS, OR 38,02038.0k $330.0k $330.0k 0.01% Unchanged
42 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 36,69836.7k $318.5k $318.5k 0.00% Reduced -1.2k -1,232
43 Insight Folios Inc 0.13% of their portfolio Charlotte, NC 33,68933.7k $292.4k $292.4k 0.13% Reduced -762 -762
44 Raymond James Financial Services Advisors, Inc. 0.00% of their portfolio ST. PETERSBURG, FL 33,32633.3k $289.3k $289.3k 0.00% Reduced -16.2k -16,156
45 Janney Montgomery Scott LLC 0.00% of their portfolio PHILADELPHIA, PA 32,44132.4k $282.0k $282.0k 0.00% Reduced -9.7k -9,720
46 M&T Bank Corp 0.00% of their portfolio BUFFALO, NY 30,99631.0k $269.0k $269.0k 0.00% Unchanged
47 NewEdge Advisors, LLC 0.01% of their portfolio NEW ORLEANS, LA 28,42728.4k $245.6k $245.6k 0.01% Reduced -1.7k -1,696
48 Financial Advocates Investment Management 0.02% of their portfolio OLYMPIA, WA 28,25628.3k $245.3k $245.3k 0.02% Added +883 +883
49 STIFEL FINANCIAL CORP 0.00% of their portfolio ST. LOUIS, MO 28,04328.0k $243.4k $243.4k 0.00% Added +96 +96
50 Wealthcare Advisory Partners LLC 0.01% of their portfolio WEST CHESTER, PA 25,29425.3k $219.6k $219.6k 0.01% Added +9.8k +9,832
51 Institute for Wealth Management, LLC. 0.04% of their portfolio DENVER, CO 23,77223.8k $206.3k $206.3k 0.04% Unchanged
52 RAYMOND JAMES TRUST N.A. 0.01% of their portfolio ST. PETERSBURG, FL 23,32223.3k $202.0k $202.0k 0.01% Unchanged
53 NORTHERN TRUST CORP 0.00% of their portfolio CHICAGO, IL 20,60020.6k $178.8k $178.8k 0.00% New
54 Weiss Asset Management LP 0.01% of their portfolio BOSTON, MA 19,71519.7k $171.1k $171.1k 0.01% New
55 Koshinski Asset Management, Inc. 0.02% of their portfolio DECATUR, IL 18,81818.8k $163.3k $163.3k 0.02% Unchanged
56 LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 0.02% of their portfolio Englewood, NJ 16,35616.4k $142.0k $142.0k 0.02% New
57 DIVERSIFIED TRUST CO 0.01% of their portfolio MEMPHIS, TN 16,00016.0k $139.0k $139.0k 0.01% Unchanged
58 DAVENPORT & Co LLC 0.00% of their portfolio RICHMOND, VA 15,96516.0k $139.0k $139.0k 0.00% Added +490 +490
59 9258 Wealth Management, LLC 0.03% of their portfolio BLUE ASH, OH 15,83015.8k $137.4k $137.4k 0.03% Added +497 +497
60 JANE STREET GROUP, LLC 0.00% of their portfolio NEW YORK, NY 15,48915.5k $134.4k $134.4k 0.00% New
61 Elequin Capital, LP 0.04% of their portfolio NEW YORK, NY 15,32715.3k $133.0k $133.0k 0.04% New
62 Kestra Advisory Services, LLC 0.00% of their portfolio AUSTIN, TX 14,70114.7k $127.6k $127.6k 0.00% Added +811 +811
63 Heron Bay Capital Management 0.08% of their portfolio BLOOMFIELD HILLS, MI 14,55714.6k $126.4k $126.4k 0.08% Reduced -3.6k -3,601
64 Stratos Wealth Partners, LTD. 0.00% of their portfolio BEACHWOOD, OH 12,63912.6k $109.7k $109.7k 0.00% Added +394 +394
65 Soltis Investment Advisors LLC 0.01% of their portfolio ST. GEORGE, UT 12,41912.4k $107.8k $107.8k 0.01% Unchanged
66 FIRST FINANCIAL BANK - TRUST DIVISION 0.01% of their portfolio HAMILTON, OH 10,74110.7k $93.0k $93.0k 0.01% Unchanged
67 NATIONS FINANCIAL GROUP INC, /IA/ /ADV 0.01% of their portfolio CEDAR RAPIDS, IA 10,42110.4k $90.5k $90.5k 0.01% New
68 CAROLINAS WEALTH CONSULTING LLC 0.02% of their portfolio CHARLOTTE, NC 9,3429.3k $81.1k $81.1k 0.02% Unchanged
69 MONEY CONCEPTS CAPITAL CORP 0.00% of their portfolio PALM BEACH GARDENS, FL 6,3626.4k $55.2k $55.2k 0.00% New
70 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 4,2454.2k $37.0k $37.0k 0.00% New
71 Steward Partners Investment Advisory, LLC 0.00% of their portfolio STAMFORD, CT 3,6413.6k $31.6k $31.6k 0.00% Added +1.1k +1,145
72 SITTNER & NELSON, LLC 0.02% of their portfolio EUGENE, OR 3,4813.5k $30.2k $30.2k 0.02% Added +108 +108
73 Hanson & Doremus Investment Management 0.01% of their portfolio BURLINGTON, VT 3,3283.3k $29.0k $29.0k 0.01% Added +45 +45
74 BARRETT & COMPANY, INC. 0.02% of their portfolio PROVIDENCE, RI 3,2503.2k $28.2k $28.2k 0.02% Unchanged
75 New Hampshire Trust 0.01% of their portfolio CONCORD, NH 2,7752.8k $24.1k $24.1k 0.01% First filing
76 Advisory Services Network, LLC 0.00% of their portfolio ATLANTA, GA 2,4722.5k $21.5k $21.5k 0.00% New
77 Global Retirement Partners, LLC 0.00% of their portfolio San Rafael, CA 2,4152.4k $21.0k $21.0k 0.00% Added +74 +74
78 Ancora Advisors LLC 0.00% of their portfolio Cleveland, OH 2,2752.3k $20.0k $20.0k 0.00% Added +39 +39
79 Sandy Spring Bank 0.00% of their portfolio Olney, MD 2,0962.1k $18.2k $18.2k 0.00% Unchanged
80 Farther Finance Advisors, LLC 0.00% of their portfolio SAN FRANCISCO, CA 1,4141.4k $12.3k $12.3k 0.00% First filing
81 North Star Investment Management Corp. 0.00% of their portfolio CHICAGO, IL 1,1761.2k $10.2k $10.2k 0.00% Unchanged
82 CREATIVE FINANCIAL DESIGNS INC /ADV 0.00% of their portfolio KOKOMO, IN 169169 $1.5k $1.5k 0.00% Added +4 +4
83 IFP Advisors, Inc 0.00% of their portfolio TAMPA, FL 103103 $1.0k $1.0k 0.00% Reduced -2 -2
84 Geneos Wealth Management Inc. 0.00% of their portfolio ENGLEWOOD, CO 8181 $703 $703 0.00% Added +2 +2
85 EverSource Wealth Advisors, LLC 0.00% of their portfolio BIRMINGHAM, AL 6464 $556 $556 0.00% Unchanged
86 CITIGROUP INC 0.00% of their portfolio NEW YORK, NY 11 $9 $9 0.00% Unchanged
87 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio BIRMINGHAM, AL 00 $0 $0 0.00% Unchanged