0001012975-19-000751.txt : 20191203 0001012975-19-000751.hdr.sgml : 20191203 20191203110511 ACCESSION NUMBER: 0001012975-19-000751 CONFORMED SUBMISSION TYPE: D/A PUBLIC DOCUMENT COUNT: 1 ITEM INFORMATION: Investment Company Act Section 3(c) ITEM INFORMATION: Section 3(c)(1) FILED AS OF DATE: 20191203 DATE AS OF CHANGE: 20191203 EFFECTIVENESS DATE: 20191203 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ROTHSCHILD & CO SMALL-CAP TRUST CENTRAL INDEX KEY: 0001542686 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: D/A SEC ACT: 1933 Act SEC FILE NUMBER: 021-173682 FILM NUMBER: 191264896 BUSINESS ADDRESS: STREET 1: 1251 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10020 BUSINESS PHONE: 212-403-3500 MAIL ADDRESS: STREET 1: 1251 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10020 FORMER COMPANY: FORMER CONFORMED NAME: ROTHSCHILD SMALL-CAP TRUST DATE OF NAME CHANGE: 20120216 D/A 1 primary_doc.xml X0708 D/A LIVE 0001542686 ROTHSCHILD & CO SMALL-CAP TRUST 1251 AVENUE OF THE AMERICAS NEW YORK NY NEW YORK 10020 212-403-3500 DELAWARE ROTHSCHILD SMALL-CAP TRUST Business Trust true N/A Rothschild & Co Asset Management US Inc. 1251 AVENUE OF THE AMERICAS NEW YORK NY NEW YORK 10020 Executive Officer The Investment Manager of the Issuer Pooled Investment Fund Other Investment Fund false Decline to Disclose 3C 3C.1 true 0001012975-18-001263 1997-06-01 true true false 1000000 Indefinite 86281065 Indefinite false 43 0 0 0 true The Investment Manager (or its affiliate) is entitled to receive an annual management fee in an amount equal to a specified percentage of assets under management. false ROTHSCHILD & CO SMALL-CAP TRUST /s/ Dina Clements Dina Clements CCO of the Investment Manager of the Issuer 2019-12-03