ROYCE MICRO-CAP TR INC RMT
COM · Closed-End Fund · CUSIP 780915104
* 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 ≈ $8.70.
Trends to Q2 2023
Institutional holders
Managers reporting a position, each quarter
Numbers
| Quarter | Holders |
|---|---|
| Q3 2022 | 90 |
| Q4 2022 | 87 |
| Q1 2023 | 88 |
| Q2 2023 | 86 |
Buyers vs sellers
Managers adding to or starting a position, vs cutting or selling out
Numbers
| Quarter | Bought or added | Cut or sold out |
|---|---|---|
| Q4 2022 | 43 | 39 |
| Q1 2023 | 40 | 34 |
| Q2 2023 | 38 | 35 |
Biggest buyers
| PUNCH & ASSOCIATES INVESTMENT MANAGEMENT, INC. | Added | +350.1k |
| EP Wealth Advisors, LLC | Added | +129.4k |
| AQR Arbitrage LLC | New | +69.2k |
| Shaker Financial Services, LLC | Added | +63.6k |
| Walleye Capital LLC | Added | +56.2k |
| Cetera Investment Advisers | Added | +31.9k |
| WOLVERINE ASSET MANAGEMENT LLC | New | +31.4k |
| Mraz, Amerine & Associates, Inc. | Added | +30.9k |
| ROYAL BANK OF CANADA | Added | +27.3k |
| LANDSCAPE CAPITAL MANAGEMENT, L.L.C. | Added | +26.7k |
Biggest sellers
| 1832 Asset Management L.P. | Sold out | -162.8k |
| WELLS FARGO & COMPANY/MN | Reduced | -129.6k |
| 1607 Capital Partners, LLC | Reduced | -125.7k |
| MORGAN STANLEY | Reduced | -119.0k |
| LPL Financial LLC | Reduced | -74.2k |
| Allspring Global Investments Holdings, LLC | Reduced | -39.6k |
| Insight Folios Inc | Sold out | -33.7k |
| DFPG INVESTMENTS, LLC | Reduced | -15.6k |
| BANK OF MONTREAL /CAN/ | Sold out | -12.7k |
| Heron Bay Capital Management | Sold out | -11.8k |
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.
| Holder | Stake |
|---|---|
Saba Capital Management, L.P.
13D · may seek influence
+1.0 pts · filed 2026-08-05
Stated purposeNot Applicable. Full filing |
7.1% |
Fell to 5% or below in the last year: MORGAN STANLEY (4.8%, 2026-08-13)
Insider purchases and sales in Q2 2023
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)
Numbers
| Quarter | Buying | Bought | Selling | Sold | Sold under a plan |
|---|---|---|---|---|---|
| Q3 2021 | 0 | — | 0 | — | — |
| Q4 2021 | 0 | — | 0 | — | — |
| Q1 2022 | 0 | — | 0 | — | — |
| Q2 2022 | 1 | $9.3k | 0 | — | — |
| Q3 2022 | 0 | — | 0 | — | — |
| Q4 2022 | 1 | $20.8k | 0 | — | — |
| Q1 2023 | 0 | — | 0 | — | — |
| Q2 2023 | 0 | — | 0 | — | — |
None reported in Q2 2023.
Holders, Q2 2023
| Manager | Shares | Change |
|---|---|---|
| MORGAN STANLEY 0.00% of their portfolio | 1.8m $15.8m | Reduced -119.0k |
| Allspring Global Investments Holdings, LLC 0.02% of their portfolio | 1.2m $10.3m | Reduced -39.6k |
| Advisors Asset Management, Inc. 0.19% of their portfolio | 1.1m $9.4m | Added +24.0k |
| UBS Group AG 0.00% of their portfolio | 901.1k $7.9m | Reduced -138 |
| PUNCH & ASSOCIATES INVESTMENT MANAGEMENT, INC. 0.41% of their portfolio | 767.2k $6.7m | Added +350.1k |
| WELLS FARGO & COMPANY/MN 0.00% of their portfolio | 659.8k $5.8m | Reduced -129.6k |
| 1607 Capital Partners, LLC 0.40% of their portfolio | 641.4k $5.6m | Reduced -125.7k |
| Mraz, Amerine & Associates, Inc. 0.90% of their portfolio | 435.7k $3.8m | Added +30.9k |
| BANK OF AMERICA CORP /DE/ 0.00% of their portfolio | 430.4k $3.8m | Added +3.1k |
| FLAGSHIP HARBOR ADVISORS, LLC 0.27% of their portfolio | 371.8k $3.3m | Reduced -8.8k |
| RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio | 294.9k $2.6m | Reduced -4.1k |
| FCA CORP /TX 0.92% of their portfolio | 282.3k $2.5m | Reduced -5.0k |
| Family Firm, Inc. 0.63% of their portfolio | 273.9k $2.4m | Added +9.6k |
| BARD ASSOCIATES INC 0.81% of their portfolio | 238.7k $2.1m | Reduced -1.5k |
| Cetera Investment Advisers 0.02% of their portfolio | 221.1k $1.9m | Added +31.9k |
| BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC 0.47% of their portfolio | 201.9k $1.8m | Added +6.1k |
| OSAIC HOLDINGS, INC. 0.00% of their portfolio | 187.1k $1.6m | Added +14.8k |
| Atlas Wealth LLC 0.29% of their portfolio | 174.5k $1.6m | Reduced -3.6k |
| ROYAL BANK OF CANADA 0.00% of their portfolio | 170.2k $1.5m | Added +27.3k |
| HORIZON KINETICS ASSET MANAGEMENT LLC 0.03% of their portfolio | 143.3k $1.3m | Reduced -268 |
| Shaker Financial Services, LLC 0.54% of their portfolio | 142.6k $1.2m | Added +63.6k |
| EP Wealth Advisors, LLC 0.01% of their portfolio | 133.2k $447.5k | Added +129.4k |
| COMMONWEALTH EQUITY SERVICES, LLC 0.00% of their portfolio | 123.3k $1.1m | Reduced -2.1k |
| CAPTRUST FINANCIAL ADVISORS 0.00% of their portfolio | 103.3k $904.0k | Reduced -3.4k |
| Moors & Cabot, Inc. 0.06% of their portfolio | 100.6k $880.6k | Added +1.5k |
| LPL Financial LLC 0.00% of their portfolio | 98.4k $861.3k | Reduced -74.2k |
| Private Advisor Group, LLC 0.01% of their portfolio | 93.7k $864.5k | Added +7.1k |
| BROWN ADVISORY INC 0.00% of their portfolio | 83.7k $732.4k | Unchanged |
| NWF Advisory Services Inc. 0.15% of their portfolio | 75.4k $659.7k | Unchanged |
| DFPG INVESTMENTS, LLC 0.06% of their portfolio | 69.4k $636.4k | Reduced -15.6k |
| AQR Arbitrage LLC 0.03% of their portfolio | 69.2k $605.7k | New |
| Walleye Capital LLC 0.01% of their portfolio | 66.9k $585.3k | Added +56.2k |
| TWIN FOCUS CAPITAL PARTNERS, LLC 0.11% of their portfolio | 62.2k $543.9k | Unchanged |
| ROBERTS GLORE & CO INC /IL/ 0.17% of their portfolio | 61.8k $540.9k | Added +4.0k |
| Cambridge Investment Research Advisors, Inc. 0.00% of their portfolio | 58.6k $513.0k | Added +6.0k |
| Apollon Wealth Management, LLC 0.02% of their portfolio | 51.3k $449.1k | Reduced -1.5k |
| WealthShield Partners, LLC 0.07% of their portfolio | 50.9k $445.4k | Added +7.4k |
| COHEN & STEERS, INC. 0.00% of their portfolio | 50.9k $445.0k | Unchanged |
| Karpus Management, Inc. 0.01% of their portfolio | 50.0k $437.5k | Unchanged |
| STIFEL FINANCIAL CORP 0.00% of their portfolio | 45.0k $393.4k | Added +18.9k |
| ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio | 44.0k $385.2k | Reduced -3.5k |
| D.A. DAVIDSON & CO. 0.00% of their portfolio | 41.1k $359.2k | Reduced -1.8k |
| LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 0.04% of their portfolio | 38.8k $339.2k | Added +26.7k |
| FIRST TRUST ADVISORS LP 0.00% of their portfolio | 37.1k $324.3k | Reduced -1.3k |
| Kingsview Wealth Management, LLC 0.01% of their portfolio | 37.0k $323.7k | Unchanged |
| Matisse Capital 0.20% of their portfolio | 36.5k $319.5k | Unchanged |
| Janney Montgomery Scott LLC 0.00% of their portfolio | 35.6k $312.0k | Added +3.2k |
| PEAPACK GLADSTONE FINANCIAL CORP 0.01% of their portfolio | 33.9k $297.0k | Reduced -8.4k |
| WOLVERINE ASSET MANAGEMENT LLC 0.01% of their portfolio | 31.4k $274.5k | New |
| Financial Advocates Investment Management 0.02% of their portfolio | 29.3k $256.7k | Added +481 |
| Raymond James Financial Services Advisors, Inc. 0.00% of their portfolio | 29.3k $256.6k | Reduced -1.9k |
| NewEdge Advisors, LLC 0.00% of their portfolio | 27.6k $241.7k | Added +1.4k |
| Prairie Sky Financial Group LLC 0.16% of their portfolio | 26.7k $233.4k | First filing |
| Institute for Wealth Management, LLC. 0.04% of their portfolio | 23.8k $208.0k | Unchanged |
| RAYMOND JAMES TRUST N.A. 0.01% of their portfolio | 23.3k $204.0k | Unchanged |
| NORTHERN TRUST CORP 0.00% of their portfolio | 21.0k $183.8k | Added +402 |
| M&T Bank Corp 0.00% of their portfolio | 20.7k $180.8k | Reduced -10.3k |
| Quantedge Capital Pte Ltd 0.08% of their portfolio | 19.4k $169.7k | New |
| Hunter Perkins Capital Management, LLC 0.02% of their portfolio | 17.4k $152.0k | Unchanged |
| 9258 Wealth Management, LLC 0.03% of their portfolio | 16.5k $144.2k | Added +315 |
| DIVERSIFIED TRUST CO 0.01% of their portfolio | 16.0k $140.0k | Unchanged |
| Wealthcare Advisory Partners LLC 0.01% of their portfolio | 14.7k $128.4k | New |
| JPMORGAN CHASE & CO 0.00% of their portfolio | 14.5k $126.9k | Reduced -4.9k |
| Kestra Advisory Services, LLC 0.00% of their portfolio | 13.9k $121.5k | Unchanged |
| Stratos Wealth Partners, LTD. 0.00% of their portfolio | 12.9k $113.0k | Added +247 |
| DAVENPORT & Co LLC 0.00% of their portfolio | 12.6k $110.4k | Reduced -1.9k |
| Soltis Investment Advisors LLC 0.01% of their portfolio | 12.4k $108.7k | Unchanged |
| VANGUARD GROUP INC 0.00% of their portfolio | 10.8k $94.7k | New |
| FIRST FINANCIAL BANK - TRUST DIVISION 0.01% of their portfolio | 10.7k $94.0k | Unchanged |
| CAROLINAS WEALTH CONSULTING LLC 0.02% of their portfolio | 9.3k $81.7k | Unchanged |
| Spire Wealth Management 0.00% of their portfolio | 5.5k $47.9k | New |
| TD Capital Management LLC 0.00% of their portfolio | 4.5k $39.3k | New |
| Steward Partners Investment Advisory, LLC 0.00% of their portfolio | 3.7k $32.8k | Added +49 |
| SITTNER & NELSON, LLC 0.02% of their portfolio | 3.6k $31.7k | Added +69 |
| BARRETT & COMPANY, INC. 0.02% of their portfolio | 3.2k $28.4k | Unchanged |
| Sandy Spring Bank 0.00% of their portfolio | 2.1k $18.3k | Unchanged |
| Hanson & Doremus Investment Management 0.00% of their portfolio | 1.9k $17.0k | Unchanged |
| CITIGROUP INC 0.00% of their portfolio | 1.3k $11.8k | Added +1.3k |
| North Star Investment Management Corp. 0.00% of their portfolio | 1.2k $10.3k | Unchanged |
| Farther Finance Advisors, LLC 0.00% of their portfolio | 1.2k $10.2k | Added +22 |
| WealthPLAN Partners, LLC 0.00% of their portfolio | 1.1k $9.8k | Unchanged |
| Coppell Advisory Solutions LLC 0.00% of their portfolio | 1.0k $9.0k | New |
| CREATIVE FINANCIAL DESIGNS INC /ADV 0.00% of their portfolio | 171 $1.5k | Unchanged |
| Geneos Wealth Management Inc. 0.00% of their portfolio | 83 $726 | Added +1 |
| EverSource Wealth Advisors, LLC 0.00% of their portfolio | 64 $560 | Unchanged |
| CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio | 0 $0 | Unchanged |