-----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, TxUY1JXHV0FtBzoe/FTxlox666Kt3e2E0NPlUYquss+TTXcWkev1bQgJtFeLSaWF PsKgrWyQVn7m5ff140H4BQ== 0000825202-08-000012.txt : 20081014 0000825202-08-000012.hdr.sgml : 20081013 20081014102931 ACCESSION NUMBER: 0000825202-08-000012 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20081014 DATE AS OF CHANGE: 20081014 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: 081120361 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: GEORGE W WHITNEY CENTRAL INDEX KEY: 0001185838 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: ROYCE & ASSOCIATES LLC STREET 2: 1414 AVE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 2124861445 MAIL ADDRESS: STREET 1: ROYCE & ASSOCIATES, LLC STREET 2: 1414 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10019 SC 13D/A 1 wwg13d5.htm

SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

SCHEDULE 13D

Under the Securities Exchange Act of 1934
(Amendment No. 5)*

Royce Focus Trust, Inc.
(Name of Issuer)

Common Stock
(Title of Class of Securities)

78080N108
(CUSIP Number)

W. Whitney George, 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)

 

October 6, 2008
(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

W. Whitney George

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

2,585,072

OWNED BY
EACH
REPORTING

8

SHARED VOTING POWER

 

PERSON
WITH

9

SOLE DISPOSITIVE POWER

2,585,072

 

10

SHARED DISPOSITIVE POWER

11

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON

2,585,072

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)

13.51%

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 W. Whitney George.

 

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

 

(c)        Mr. George is Managing Director and Vice President of Royce & Associates, LLC, a registered investment adviser whose clients include the Issuer and other registered investment companies. He is Vice President of the Issuer and such other investment companies. These companies are located at 1414 Avenue of the Americas, New York, New York 10019.

 

(d)        Not applicable.

 

(e)        Not applicable.

 

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

 

 

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

 

        This schedule is being filed as a result of Mr. George acquiring a total of 81,275 shares of the Issuer's Common Stock in an open-market transaction effected on October 6, 2008 for an aggregate purchase price of $508,473. Mr. George used his own personal funds to pay for the shares of the Issuer's Common Stock he acquired in this transaction.

 

Item 4.        Purpose of Transaction.

 

        Mr. George purchased the shares of the Issuer's Common Stock as an investment for his own account.


CUSIP No. 78080N108

13D

Page 5 of 5 Pages

Item 5.        Interest in Securities of Issuer.

 

(a)        Mr. George beneficially owned 2,585,072 shares or 13.51% of the Issuer's outstanding Common Stock as of October 13, 2008.

 

(b)        Mr. George 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. George effected the following purchases of the Common Stock of the Issuer, which were effected in the open market and not previously reported on any Schedule 13D filing: (i) 30,400 shares @$7.1243 per share on September 17, 2008, (ii) 10,400 shares @$7.0467 per share on September 18, 2008, (iii) 3,072 shares @$7.00 per share on October 2, 2008. (iv) 46,928 shares @$6.8898 per share on October 3, 2008, (v) 81,275 shares @$6.2562 per share on October 6, 2008, (vi) 39,555 shares @$6.1133 per share on October 7, 2008, (vii) 29,635 shares @$5.6668 per share on October 8, 2008, (viii) 20,000 shares @$5.7602 per share on October 9, 2008, and (ix) 15,813 shares @ $5.2811 per share on October 10, 2008..

 

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.

 

October 14, 2008                      

        (Date)

     /s/  W. Whitney George        

        (Signature)

        W. Whitney George        

 

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