Vault-13

ROYCE MICRO-CAP TR INC RMT

COM · Closed-End Fund · CUSIP 780915104

86 institutional holders -2 vs Q1 2023
12,796,02112.8m shares reported held*
$111.4mreported value*
8 new 30 added 24 reduced 11 sold out net bought ≈ $351.9k (+169.6k 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 ≈ $8.70.

Trends to Q2 2023

Institutional holders

Managers reporting a position, each quarter

050100Q3 22: 90Q4 22: 87Q1 23: 88Q2 23: 8686Q3 22Q4 22Q1 23Q2 23
Numbers
QuarterHolders
Q3 202290
Q4 202287
Q1 202388
Q2 202386

Buyers vs sellers

Managers adding to or starting a position, vs cutting or selling out

Bought or addedCut or sold out
50050Q4 22: 43 bought or addedQ4 22: 39 cut or sold outQ4 22Q1 23: 40 bought or addedQ1 23: 34 cut or sold outQ1 23Q2 23: 38 bought or addedQ2 23: 35 cut or sold outQ2 23
Numbers
QuarterBought or addedCut or sold out
Q4 20224339
Q1 20234034
Q2 20233835

Biggest buyers

PUNCH & ASSOCIATES INVESTMENT MANAGEMENT, INC. Added +350,064+350.1k
EP Wealth Advisors, LLC Added +129,358+129.4k
AQR Arbitrage LLC New +69,224+69.2k
Shaker Financial Services, LLC Added +63,644+63.6k
Walleye Capital LLC Added +56,160+56.2k
Cetera Investment Advisers Added +31,877+31.9k
WOLVERINE ASSET MANAGEMENT LLC New +31,377+31.4k
Mraz, Amerine & Associates, Inc. Added +30,853+30.9k
ROYAL BANK OF CANADA Added +27,315+27.3k
LANDSCAPE CAPITAL MANAGEMENT, L.L.C. Added +26,689+26.7k

Biggest sellers

1832 Asset Management L.P. Sold out -162,825-162.8k
WELLS FARGO & COMPANY/MN Reduced -129,616-129.6k
1607 Capital Partners, LLC Reduced -125,704-125.7k
MORGAN STANLEY Reduced -119,004-119.0k
LPL Financial LLC Reduced -74,229-74.2k
Allspring Global Investments Holdings, LLC Reduced -39,605-39.6k
Insight Folios Inc Sold out -33,702-33.7k
DFPG INVESTMENTS, LLC Reduced -15,574-15.6k
BANK OF MONTREAL /CAN/ Sold out -12,707-12.7k
Heron Bay Capital Management Sold out -11,781-11.8k

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.

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 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)

BuyingSelling
101Q3 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 22Q1 23: 0 buyingQ1 23: 0 sellingQ2 23: 0 buyingQ2 23: 0 sellingQ2 23
Numbers
QuarterBuyingBoughtSellingSoldSold under a plan
Q3 20210—0——
Q4 20210—0——
Q1 20220—0——
Q2 20221$9.3k0——
Q3 20220—0——
Q4 20221$20.8k0——
Q1 20230—0——
Q2 20230—0——

None reported in Q2 2023.

Holders, Q2 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 1,807,6751.8m $15.8m $15.8m 0.00% Reduced -119.0k -119,004
2 Allspring Global Investments Holdings, LLC 0.02% of their portfolio CHARLOTTE, NC 1,177,3341.2m $10.3m $10.3m 0.02% Reduced -39.6k -39,605
3 Advisors Asset Management, Inc. 0.19% of their portfolio Monument, CO 1,076,3411.1m $9.4m $9.4m 0.19% Added +24.0k +24,024
4 UBS Group AG 0.00% of their portfolio ZURICH, V8 901,078901.1k $7.9m $7.9m 0.00% Reduced -138 -138
5 PUNCH & ASSOCIATES INVESTMENT MANAGEMENT, INC. 0.41% of their portfolio EDINA, MN 767,206767.2k $6.7m $6.7m 0.41% Added +350.1k +350,064
6 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 659,807659.8k $5.8m $5.8m 0.00% Reduced -129.6k -129,616
7 1607 Capital Partners, LLC 0.40% of their portfolio Richmond, VA 641,411641.4k $5.6m $5.6m 0.40% Reduced -125.7k -125,704
8 Mraz, Amerine & Associates, Inc. 0.90% of their portfolio Modesto, CA 435,667435.7k $3.8m $3.8m 0.90% Added +30.9k +30,853
9 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 430,369430.4k $3.8m $3.8m 0.00% Added +3.1k +3,097
10 FLAGSHIP HARBOR ADVISORS, LLC 0.27% of their portfolio BOSTON, MA 371,797371.8k $3.3m $3.3m 0.27% Reduced -8.8k -8,787
11 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 294,864294.9k $2.6m $2.6m 0.00% Reduced -4.1k -4,147
12 FCA CORP /TX 0.92% of their portfolio HOUSTON, TX 282,295282.3k $2.5m $2.5m 0.92% Reduced -5.0k -4,985
13 Family Firm, Inc. 0.63% of their portfolio BETHESDA, MD 273,945273.9k $2.4m $2.4m 0.63% Added +9.6k +9,627
14 BARD ASSOCIATES INC 0.81% of their portfolio CHICAGO, IL 238,701238.7k $2.1m $2.1m 0.81% Reduced -1.5k -1,475
15 Cetera Investment Advisers 0.02% of their portfolio SCHAUMBURG, IL 221,081221.1k $1.9m $1.9m 0.02% Added +31.9k +31,877
16 BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC 0.47% of their portfolio BLUE BELL, PA 201,873201.9k $1.8m $1.8m 0.47% Added +6.1k +6,113
17 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 187,069187.1k $1.6m $1.6m 0.00% Added +14.8k +14,844
18 Atlas Wealth LLC 0.29% of their portfolio CINCINNATI, OH 174,488174.5k $1.6m $1.6m 0.29% Reduced -3.6k -3,558
19 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 170,221170.2k $1.5m $1.5m 0.00% Added +27.3k +27,315
20 HORIZON KINETICS ASSET MANAGEMENT LLC 0.03% of their portfolio NEW YORK, NY 143,317143.3k $1.3m $1.3m 0.03% Reduced -268 -268
21 Shaker Financial Services, LLC 0.54% of their portfolio Arlington, VA 142,573142.6k $1.2m $1.2m 0.54% Added +63.6k +63,644
22 EP Wealth Advisors, LLC 0.01% of their portfolio TORRANCE, CA 133,198133.2k $447.5k $447.5k 0.01% Added +129.4k +129,358
23 COMMONWEALTH EQUITY SERVICES, LLC 0.00% of their portfolio WALTHAM, MA 123,342123.3k $1.1m $1.1m 0.00% Reduced -2.1k -2,064
24 CAPTRUST FINANCIAL ADVISORS 0.00% of their portfolio RALEIGH, NC 103,317103.3k $904.0k $904.0k 0.00% Reduced -3.4k -3,357
25 Moors & Cabot, Inc. 0.06% of their portfolio BOSTON, MA 100,645100.6k $880.6k $880.6k 0.06% Added +1.5k +1,509
26 LPL Financial LLC 0.00% of their portfolio FORT MILL, SC 98,43298.4k $861.3k $861.3k 0.00% Reduced -74.2k -74,229
27 Private Advisor Group, LLC 0.01% of their portfolio MORRISTOWN, NJ 93,74993.7k $864.5k $864.5k 0.01% Added +7.1k +7,145
28 BROWN ADVISORY INC 0.00% of their portfolio BALTIMORE, MD 83,69983.7k $732.4k $732.4k 0.00% Unchanged
29 NWF Advisory Services Inc. 0.15% of their portfolio Los Angeles, CA 75,39775.4k $659.7k $659.7k 0.15% Unchanged
30 DFPG INVESTMENTS, LLC 0.06% of their portfolio SANDY, UT 69,39769.4k $636.4k $636.4k 0.06% Reduced -15.6k -15,574
31 AQR Arbitrage LLC 0.03% of their portfolio Greenwich, CT 69,22469.2k $605.7k $605.7k 0.03% New
32 Walleye Capital LLC 0.01% of their portfolio NEW YORK, NY 66,89766.9k $585.3k $585.3k 0.01% Added +56.2k +56,160
33 TWIN FOCUS CAPITAL PARTNERS, LLC 0.11% of their portfolio Boston, MA 62,16162.2k $543.9k $543.9k 0.11% Unchanged
34 ROBERTS GLORE & CO INC /IL/ 0.17% of their portfolio DEERFIELD, IL 61,81561.8k $540.9k $540.9k 0.17% Added +4.0k +4,002
35 Cambridge Investment Research Advisors, Inc. 0.00% of their portfolio FAIRFIELD, IA 58,58558.6k $513.0k $513.0k 0.00% Added +6.0k +5,967
36 Apollon Wealth Management, LLC 0.02% of their portfolio MOUNT PLEASANT, SC 51,32051.3k $449.1k $449.1k 0.02% Reduced -1.5k -1,499
37 WealthShield Partners, LLC 0.07% of their portfolio CARY, NC 50,90450.9k $445.4k $445.4k 0.07% Added +7.4k +7,378
38 COHEN & STEERS, INC. 0.00% of their portfolio NEW YORK, NY 50,88450.9k $445.0k $445.0k 0.00% Unchanged
39 Karpus Management, Inc. 0.01% of their portfolio Pittsford, NY 50,00050.0k $437.5k $437.5k 0.01% Unchanged
40 STIFEL FINANCIAL CORP 0.00% of their portfolio ST. LOUIS, MO 44,95645.0k $393.4k $393.4k 0.00% Added +18.9k +18,901
41 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 44,02744.0k $385.2k $385.2k 0.00% Reduced -3.5k -3,517
42 D.A. DAVIDSON & CO. 0.00% of their portfolio GREAT FALLS, MT 41,05641.1k $359.2k $359.2k 0.00% Reduced -1.8k -1,807
43 LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 0.04% of their portfolio Englewood, NJ 38,76338.8k $339.2k $339.2k 0.04% Added +26.7k +26,689
44 FIRST TRUST ADVISORS LP 0.00% of their portfolio Wheaton, IL 37,06137.1k $324.3k $324.3k 0.00% Reduced -1.3k -1,338
45 Kingsview Wealth Management, LLC 0.01% of their portfolio GRANTS PASS, OR 36,99537.0k $323.7k $323.7k 0.01% Unchanged
46 Matisse Capital 0.20% of their portfolio PORTLAND, OR 36,51936.5k $319.5k $319.5k 0.20% Unchanged
47 Janney Montgomery Scott LLC 0.00% of their portfolio PHILADELPHIA, PA 35,63035.6k $312.0k $312.0k 0.00% Added +3.2k +3,189
48 PEAPACK GLADSTONE FINANCIAL CORP 0.01% of their portfolio BEDMINSTER, NJ 33,94033.9k $297.0k $297.0k 0.01% Reduced -8.4k -8,412
49 WOLVERINE ASSET MANAGEMENT LLC 0.01% of their portfolio CHICAGO, IL 31,37731.4k $274.5k $274.5k 0.01% New
50 Financial Advocates Investment Management 0.02% of their portfolio OLYMPIA, WA 29,33829.3k $256.7k $256.7k 0.02% Added +481 +481
51 Raymond James Financial Services Advisors, Inc. 0.00% of their portfolio ST. PETERSBURG, FL 29,32529.3k $256.6k $256.6k 0.00% Reduced -1.9k -1,895
52 NewEdge Advisors, LLC 0.00% of their portfolio NEW ORLEANS, LA 27,62727.6k $241.7k $241.7k 0.00% Added +1.4k +1,400
53 Prairie Sky Financial Group LLC 0.16% of their portfolio Lake Bluff, IL 26,67626.7k $233.4k $233.4k 0.16% First filing
54 Institute for Wealth Management, LLC. 0.04% of their portfolio DENVER, CO 23,77223.8k $208.0k $208.0k 0.04% Unchanged
55 RAYMOND JAMES TRUST N.A. 0.01% of their portfolio ST. PETERSBURG, FL 23,32223.3k $204.0k $204.0k 0.01% Unchanged
56 NORTHERN TRUST CORP 0.00% of their portfolio CHICAGO, IL 21,00221.0k $183.8k $183.8k 0.00% Added +402 +402
57 M&T Bank Corp 0.00% of their portfolio BUFFALO, NY 20,66420.7k $180.8k $180.8k 0.00% Reduced -10.3k -10,332
58 Quantedge Capital Pte Ltd 0.08% of their portfolio Singapore, U0 19,39619.4k $169.7k $169.7k 0.08% New
59 Hunter Perkins Capital Management, LLC 0.02% of their portfolio LOMBARD, IL 17,35117.4k $152.0k $152.0k 0.02% Unchanged
60 9258 Wealth Management, LLC 0.03% of their portfolio BLUE ASH, OH 16,48316.5k $144.2k $144.2k 0.03% Added +315 +315
61 DIVERSIFIED TRUST CO 0.01% of their portfolio MEMPHIS, TN 16,00016.0k $140.0k $140.0k 0.01% Unchanged
62 Wealthcare Advisory Partners LLC 0.01% of their portfolio WEST CHESTER, PA 14,67714.7k $128.4k $128.4k 0.01% New
63 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 14,50114.5k $126.9k $126.9k 0.00% Reduced -4.9k -4,895
64 Kestra Advisory Services, LLC 0.00% of their portfolio AUSTIN, TX 13,89013.9k $121.5k $121.5k 0.00% Unchanged
65 Stratos Wealth Partners, LTD. 0.00% of their portfolio BEACHWOOD, OH 12,91812.9k $113.0k $113.0k 0.00% Added +247 +247
66 DAVENPORT & Co LLC 0.00% of their portfolio RICHMOND, VA 12,61212.6k $110.4k $110.4k 0.00% Reduced -1.9k -1,872
67 Soltis Investment Advisors LLC 0.01% of their portfolio ST. GEORGE, UT 12,41912.4k $108.7k $108.7k 0.01% Unchanged
68 VANGUARD GROUP INC 0.00% of their portfolio Valley Forge, PA 10,82810.8k $94.7k $94.7k 0.00% New
69 FIRST FINANCIAL BANK - TRUST DIVISION 0.01% of their portfolio HAMILTON, OH 10,74110.7k $94.0k $94.0k 0.01% Unchanged
70 CAROLINAS WEALTH CONSULTING LLC 0.02% of their portfolio CHARLOTTE, NC 9,3429.3k $81.7k $81.7k 0.02% Unchanged
71 Spire Wealth Management 0.00% of their portfolio MCLEAN, VA 5,4795.5k $47.9k $47.9k 0.00% New
72 TD Capital Management LLC 0.00% of their portfolio MEMPHIS, TN 4,4964.5k $39.3k $39.3k 0.00% New
73 Steward Partners Investment Advisory, LLC 0.00% of their portfolio STAMFORD, CT 3,7443.7k $32.8k $32.8k 0.00% Added +49 +49
74 SITTNER & NELSON, LLC 0.02% of their portfolio EUGENE, OR 3,6243.6k $31.7k $31.7k 0.02% Added +69 +69
75 BARRETT & COMPANY, INC. 0.02% of their portfolio PROVIDENCE, RI 3,2503.2k $28.4k $28.4k 0.02% Unchanged
76 Sandy Spring Bank 0.00% of their portfolio Olney, MD 2,0962.1k $18.3k $18.3k 0.00% Unchanged
77 Hanson & Doremus Investment Management 0.00% of their portfolio BURLINGTON, VT 1,8901.9k $17.0k $17.0k 0.00% Unchanged
78 CITIGROUP INC 0.00% of their portfolio NEW YORK, NY 1,3431.3k $11.8k $11.8k 0.00% Added +1.3k +1,342
79 North Star Investment Management Corp. 0.00% of their portfolio CHICAGO, IL 1,1761.2k $10.3k $10.3k 0.00% Unchanged
80 Farther Finance Advisors, LLC 0.00% of their portfolio SAN FRANCISCO, CA 1,1621.2k $10.2k $10.2k 0.00% Added +22 +22
81 WealthPLAN Partners, LLC 0.00% of their portfolio OMAHA, NE 1,1211.1k $9.8k $9.8k 0.00% Unchanged
82 Coppell Advisory Solutions LLC 0.00% of their portfolio COPPELL, TX 1,0361.0k $9.0k $9.0k 0.00% New
83 CREATIVE FINANCIAL DESIGNS INC /ADV 0.00% of their portfolio KOKOMO, IN 171171 $1.5k $1.5k 0.00% Unchanged
84 Geneos Wealth Management Inc. 0.00% of their portfolio ENGLEWOOD, CO 8383 $726 $726 0.00% Added +1 +1
85 EverSource Wealth Advisors, LLC 0.00% of their portfolio BIRMINGHAM, AL 6464 $560 $560 0.00% Unchanged
86 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio BIRMINGHAM, AL 00 $0 $0 0.00% Unchanged