0001056823-20-000033.txt : 20200214 0001056823-20-000033.hdr.sgml : 20200214 20200214122119 ACCESSION NUMBER: 0001056823-20-000033 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20200214 DATE AS OF CHANGE: 20200214 GROUP MEMBERS: HORIZON KINETICS LLC SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ROYCE MICRO-CAP TRUST, INC. CENTRAL INDEX KEY: 0000912147 IRS NUMBER: 133739778 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-45639 FILM NUMBER: 20616713 BUSINESS ADDRESS: STREET 1: 745 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10151 BUSINESS PHONE: 2124084587 MAIL ADDRESS: STREET 1: 745 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10151 FORMER COMPANY: FORMER CONFORMED NAME: ROYCE MICRO-CAP TRUST, INC /MD/ DATE OF NAME CHANGE: 20090324 FORMER COMPANY: FORMER CONFORMED NAME: ROYCE MICRO CAP TRUST INC /MD/ DATE OF NAME CHANGE: 20010430 FORMER COMPANY: FORMER CONFORMED NAME: ROYCE OTC MICRO CAP FUND INC DATE OF NAME CHANGE: 19930917 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: HORIZON KINETICS ASSET MANAGEMENT LLC CENTRAL INDEX KEY: 0001056823 IRS NUMBER: 133776334 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 470 PARK AVENUE SOUTH STREET 2: 4TH FLOOR SOUTH CITY: NEW YORK STATE: NY ZIP: 10016 BUSINESS PHONE: 646-495-7347 MAIL ADDRESS: STREET 1: 470 PARK AVENUE SOUTH STREET 2: 4TH FLOOR SOUTH CITY: NEW YORK STATE: NY ZIP: 10016 FORMER COMPANY: FORMER CONFORMED NAME: HORIZON ASSET MANAGEMENT LLC DATE OF NAME CHANGE: 20130813 FORMER COMPANY: FORMER CONFORMED NAME: HORIZON ASSET MANAGEMENT INC/NY DATE OF NAME CHANGE: 19990319 SC 13G/A 1 schedule13g-roycemicro.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. ___)* Royce Micro-Cap Trust (Name of Issuer) Common Stock (Title of Class of Securities) 780915104 (CUSIP Number) December 31, 2019 (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) *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 the disclosures provided in a prior cover page. The information required in 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). CUSIP No. 780915104 1 Names of Reporting Persons Horizon Kinetics Asset Management LLC 2 Check the appropriate box if a member of a Group (see instructions) (a) [ ] (b) [ ] 3 Sec Use Only 4 Citizenship or Place of Organization Delaware Number of Shares Beneficially Owned by Each Reporting Person With: 5 Sole Voting Power: 1,279,959 6 Shared Voting Power: 0 7 Sole Dispositive Power: 1,279,959 8 Shared Dispositive Power: 0 9 Aggregate Amount Beneficially Owned by Each Reporting Person: 1,279,959 10 Check box if the aggregate amount in row (9) excludes certain shares (See Instructions)[ ] 11 Percent of class represented by amount in row (9): 3.1% 12 Type of Reporting Person (See Instructions): IA Item 1. (a) Name of Issuer: Royce Micro-Cap Trust. Inc. (b) Address of Issuer's Principal Executive Offices: 745 Fifth Avenue New York, NY 10151 Item 2. (a) Names of Persons Filing: Horizon Kinetics Asset Management LLC (b) Address of Principal Business Office or, if None, Residence: 470 Park Avenue South, 4th Floor South, NY, NY, 10016 (c) Citizenship: Delaware (d) Title and Class of Securities: Common Stock (e) CUSIP No.:780915104 Item 3. If this statement is filed pursuant to sections 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a: (e) [X] An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E). Item 4. Ownership (a) Amount Beneficially Owned: 1,279,959 (b) Percent of Class: 3.1% (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: 1,279,959 (ii) Shared power to vote or to direct the vote: 0 (iii) Sole power to dispose or to direct the disposition of: 1,279,959 (iv) Shared power to dispose or to direct the disposition of: 0 Item 5. Ownership of Five Percent or Less of a Class. If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [ X ]. Item 6. Ownership 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 or control person. 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. Certifications. By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that 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. Dated: February 14, 2020 Signature: Jay Kesslen Jay Kesslen General Counsel