-----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, EweZDdBBzEdg/eiP6YaccbUcYqvVkAiXhqykq5ZhZrUnh0g4qmuvRQ8+mfxh9b2m 5aL5QHLntiLV0F3h5r93jA== 0000825202-07-000025.txt : 20071218 0000825202-07-000025.hdr.sgml : 20071218 20071218164107 ACCESSION NUMBER: 0000825202-07-000025 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20071218 DATE AS OF CHANGE: 20071218 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ROYCE FOCUS TRUST INC CENTRAL INDEX KEY: 0000825202 IRS NUMBER: 592876580 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-44423 FILM NUMBER: 071313569 BUSINESS ADDRESS: STREET 1: 1414 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 2125084578 MAIL ADDRESS: STREET 1: C/O ROYCE & ASSOCIATES, LLC STREET 2: 1414 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10019 FORMER COMPANY: FORMER CONFORMED NAME: ROYCE GLOBAL TRUST INC DATE OF NAME CHANGE: 19961203 FORMER COMPANY: FORMER CONFORMED NAME: ALL SEASONS GLOBAL FUND INC DATE OF NAME CHANGE: 19950803 FORMER COMPANY: FORMER CONFORMED NAME: AMERICAS ALL SEASON FUND INC DATE OF NAME CHANGE: 19920703 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ROYCE CHARLES M CENTRAL INDEX KEY: 0001009121 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A 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 SC 13D/A 1 cmr13d6.htm

SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

SCHEDULE 13D

Under the Securities Exchange Act of 1934
(Amendment No. 6)*

Royce Focus Trust, Inc.
(Name of Issuer)

Common Stock
(Title of Class of Securities)

78080N108
(CUSIP Number)

Charles M. Royce, 1414 Avenue of the Americas, New York, New York 10019, (212) 486-1445
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)

 

December 3, 2007
(Date of Event which Requires Filing
of this Statement)

If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(b)(3) or (4), check the following box [  ].

Note: Six copies of this statement, including all exhibits, should be filed with the Commission. See Rule 13d-1(a) for other parties to whom copies are to be sent.

* The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.

The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

(Continued on following page(s))

Page 1 of 5 Pages


CUSIP No. 78080N108

13D

Page 2 of 5 Pages

1

NAME OF REPORTING PERSON

I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

Charles M. Royce

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ]

                                                                               (b) [ ]

3

SEC USE ONLY

 

4

SOURCE OF FUNDS*

PF

5

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT

TO ITEMS 2(d) OR 2(e)                                                                        [ ]

6

CITIZENSHIP OR PLACE OF ORGANIZATION

U.S.A.

NUMBER OF

SHARES

BENEFICIALLY

7

SOLE VOTING POWER

1,649,020

OWNED BY

EACH

REPORTING

8

SHARED VOTING POWER

 

PERSON

WITH

9

SOLE DISPOSITIVE POWER

1,649,020

 

10

SHARED DISPOSITIVE POWER

11

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH

REPORTING PERSON

1,649,020

12

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES

CERTAIN SHARES*                                                                     [ ]


CUSIP No. 78080N108

13D

Page 3 of 5 Pages

13

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

9.87%

14

TYPE OF REPORTING PERSON*

IN

 

* SEE INSTRUCTIONS BEFORE FILLING OUT!


CUSIP No. 78080N108

13D

Page 4 of 5 Pages

Item 1.        Security and Issuer.

 

        The title and class of equity securities to which this statement relates is Common Stock.

 

        The name and address of the principal executive offices of the Issuer are:

 

                Royce Focus Trust, Inc.

                1414 Avenue of the Americas

                New York, New York 10019

 

Item 2.        Identity and Background.

 

(a)        The name of the person filing this statement is Charles M. Royce.

 

(b)        Mr. Royce's business address is 1414 Avenue of the Americas, New York, New York 10019.

 

(c)        Mr. Royce is President, Chief Investment Officer and a member of the Board of Managers of Royce & Associates, LLC, a registered investment adviser whose clients include the Issuer and other registered investment companies. He is director/trustee and President of the Issuer and such other investment companies. These companies are located at 1414 Avenue of the Americas, New York, New York 10019.

        Mr. Royce is also managing general partner of Royce Management Company, the general partner of various private investment limited partnerships until October 2001.

 

(d)        Not applicable.

 

(e)        Not applicable.

 

(f)        Mr. Royce is a citizen of the United States.

 
 

Item 3.        Source and Amount of Funds or Other Consideration.

 

        Not applicable.

 

Item 4.        Purpose of Transaction.

 

        This schedule is being filed as a result of the sale of 165,000 shares of the Issuer's Common Stock by Charles M. Royce in December 2007, for an aggregate value of $1,587,916, which decreased Mr. Royce's beneficial holdings of the Issuer's Common Stock in excess of one additional percentage point.

 


CUSIP No. 78080N108

13D

Page 5 of 5 Pages

Item 5.        Interest in Securities of Issuer.

 

(a)       Mr. Royce had sole investment and voting discretion over 1,649,020 shares or 9.87% of the Issuer's outstanding Common Stock as of December 5, 2007. This amount included 194,548 shares held by a charitable foundation that Mr. Royce has no pecuniary interest in.

 

(b)        Mr. Royce has sole voting and sole dispositive powers as to all of the shares shown in item 5(a) above.

 

(c)        In the 60 days prior to the date of filing of this statement, Mr. Royce did not effect any transactions other than those described above in the Common Stock of the Issuer.

 

Item 6.        Contracts, Arrangements, Understandings or Relationships With Respect to Securities of the Issuer.

 

        Not applicable.

 

Item 7.        Materials to be Filed as Exhibits.

 

        Not applicable.

 

SIGNATURE

        After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

 

December 18, 2007                   

        (Date)

        Charles M. Royce     

        (Signature)

        Charles M. Royce     

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