-----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, GpkPLx+zEd12osbuDqKZBSCVrwDnucdfirRCmQ4LklwNdIZVypIxI8aggnTCCqg0 SvhrUdMc6/h8/39gUtDGKw== 0001117768-03-000044.txt : 20030616 0001117768-03-000044.hdr.sgml : 20030616 20030616093654 ACCESSION NUMBER: 0001117768-03-000044 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20030616 GROUP MEMBERS: LEONARD SAMUELS FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SHAKER RICHARD J CENTRAL INDEX KEY: 0001241300 FILING VALUES: FORM TYPE: SC 13G MAIL ADDRESS: STREET 1: 1094 MAGOTHY CIRCLE CITY: ANNAPOLIS STATE: MD ZIP: 21401 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 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-45788 FILM NUMBER: 03744626 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 QUEST ADVISORY CORP 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 SC 13G 1 shakerg.htm SCHEDULE 13G SEC 1746 (03-00)

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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

SCHEDULE 13G

Under the Securities Exchange Act of 1934

ROYCE FOCUS TRUST INC.

Common Stock, par value $0.01 per share

CUSIP Number 78080N 10 8

Richard J. Shaker
D.B.A. Shaker Financial Services
1094 Magothy Circle
Annapolis, Maryland 21401

May 30, 2003
(Date of Event Which Requires Filing of this Statement)

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

{ x } Rule 13d-1(b)
{   } Rule 13d-1(c)
{   } Rule 13d-1(d)

CUSIP No.: The purchasers are individuals with accounts managed by Richard J. Shaker, so have no CUSIP numbers.

1. Names of Reporting Persons.

I.R.S. Identification Nos. of above persons (entities only).

Richard J. Shaker, DBA Shaker Financial Services
IRS TIN 51-0434319

2. Check the Appropriate Box if a Member of a Group (See Instructions)

(a) (Not Applicable)...
(b) (Not Applicable)...

3. SEC Use Only

4. Citizenship or Place of Organization

Richard J. Shaker is a U.S. citizen.

Number of shares Beneficially by Owned by Each Reporting Person with:

5. Sole Voting Power: 904,669
6. Shared Voting Power: 0
7. Sole Dispositive Power: 904,669
8. Shared Dispositive Power: 0

9. Aggregate Amount Beneficially Owned by Each Reporting Person.

Accounts managed by Richard J. Shaker, doing business as Shaker Financial Services, own 904,669 shares, 9.8% of the outstanding shares of the company. No additional shares are beneficially owned by Mr. Shaker, his relatives, or, to his knowledge, by any of his clients.

10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares (Not Applicable)

11. Percent of Class Represented by Amount in Row (9): 9.8%

12. Type of Reporting Person IA

Item 1.

(a) Name of Issuer:

Royce Focus Trust, Inc.

(b) Address of Issuer's Principal Executive Office:

1414 Avenue of the Americas
New York, New York 10019

Item 2.

(a) Name of Person Filing:

Richard J. Shaker, DBA Shaker Financial Services

(b) Address of Person Filing:

1094 Magothy Circle
Annapolis, MD 21401

(c) Citizenship:

Richard J. Shaker is a U. S. citizen

(d) Title of Class of Securities:

Common Stock

(e) CUSIP Number:

78080N 10 8

Item 3. If this state is filed pursuant to 240.13d-1(b) or 24013d-2(b) or (c), check whether the person filing is a:

(e) [x] person registered as an investment advisor under Section 203 of the Investment Advisers Act of 1940 or under the laws of any state

Item 4. Ownership.

(a) Amount beneficially owned: Accounts managed by Richard J. Shaker, doing business as Richard J. Shaker, own 904,669 shares.

(b) Percent of Class: 9.8%

(c) Number of Shares as to which such person has:

(i) sole power to vote or to direct the vote: 904,669

(ii) shared power to vote or to direct the vote: 0

(iii) sole power to dispose or to direct the disposition of: 904,669

(iv) shared power to dispose or to direct the disposition of: 0

Item 5. Ownership of Five Percent of Less of a Class (Not Applicable)

Item 6. Owners of More than Five Percent on Behalf of Another Person. (Not Applicable)

Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company. (Not Applicable)

Item 8. Identification and Classification of Members of the Group. (Not Applicable)

Item 9. Notice of Dissolution of Group. (Not Applicable)

Item 10. Certification.

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transactions having such purpose or effect.

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.

Date: June 2, 2003

By: /s/ Richard J. Shaker
Richard J. Shaker, Principal
Shaker Financial Services

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