-----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, NuUU3vgwyV/me166uKkmOlomdDwTIYbpjxzc1pHf4Kdncr75RDjOg+uZggJ1qbj6 7gxwsMnrHsu4C6fadh+SsA== 0000912147-99-000005.txt : 19990831 0000912147-99-000005.hdr.sgml : 19990831 ACCESSION NUMBER: 0000912147-99-000005 CONFORMED SUBMISSION TYPE: NSAR-A/A PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 19990630 FILED AS OF DATE: 19990830 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ROYCE OTC MICRO CAP FUND INC CENTRAL INDEX KEY: 0000912147 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 133739778 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: NSAR-A/A SEC ACT: SEC FILE NUMBER: 811-08030 FILM NUMBER: 99701999 BUSINESS ADDRESS: STREET 1: C/O MITCHELL HUTCHINS ASSET MANAGEMENT STREET 2: 1414 AVE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 2127138392 MAIL ADDRESS: STREET 1: ROYCE OTC MICRO -CAP FUND INC STREET 2: 1285 AVE OF THE AMERICAS 16TH FLR CITY: NEW YORK STATE: NY ZIP: 10019 NSAR-A/A 1 N-SAR (3.0) PAGE 1 000 A000000 06/30/99 000 C000000 0000912147 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 Y 000 H000000 N 000 I000000 3.0 000 J000000 A 001 A000000 ROYCE MICRO-CAP TRUST, INC. 001 B000000 811-8030 001 C000000 2123557311 002 A000000 1414 AVENUE OF THE AMERICAS 002 B000000 NEW YORK 002 C000000 NY 002 D010000 10019 003 000000 N 004 000000 N 005 000000 N 006 000000 N 007 A000000 N 007 B000000 0 007 C010100 1 007 C010200 2 007 C010300 3 007 C010400 4 007 C010500 5 007 C010600 6 007 C010700 7 007 C010800 8 007 C010900 9 007 C011000 10 008 A000001 ROYCE & ASSOCIATES, INC. 008 B000001 A 008 C000001 801-8268 008 D010001 NEW YORK 008 D020001 NY 008 D030001 10019 010 A000001 MITCHELL HUTCHINS ASSET MANAGEMENT INC. 010 B000001 801-13219 010 C010001 NEW YORK 010 C020001 NY 010 C030001 10019 012 A000001 STATE STREET BANK AND TRUST COMPANY 012 B000001 84-00896 012 C010001 N. 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INC. 020 B000003 95-2269163 020 C000003 4 020 A000004 MORGAN STANLEY & CO. 020 B000004 13-2655998 020 C000004 4 020 A000005 BREAN MURRAY & CO., INC. 020 B000005 13-2760052 020 C000005 4 020 A000006 RAYMOND JAMES & ASSOCIATES 020 B000006 59-1237041 020 C000006 2 020 A000007 DOMINICK & DOMINICK 020 B000007 13-5033225 020 C000007 1 020 A000008 HOWARD, WEIL, LABOUISSE, FRIEDRICHS 020 B000008 72-0696314 020 C000008 1 020 A000009 KALB, VOORHIS & CO. 020 B000009 13-5549000 PAGE 3 020 C000009 1 020 A000010 NATIONSBANK MONTGOMERY SEC. 020 B000010 56-2058405 020 C000010 1 021 000000 72 022 A000001 STATE STREET BANK & TRUST COMPANY 022 B000001 04-1867445 022 C000001 2082000 022 D000001 0 022 A000002 MORGAN STANLEY & CO. 022 B000002 13-2655998 022 C000002 13976 022 D000002 0 022 A000003 EVEREN SECURITIES INC. 022 B000003 36-3223831 022 C000003 6909 022 D000003 151 022 A000004 JEFFERIES & COMPANY, INC. 022 B000004 95-2622900 022 C000004 1279 022 D000004 2128 022 A000005 SHERWOOD SECURITIES CORP. 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D000000 30724 074 E000000 692 074 F000000 140138 074 G000000 0 074 H000000 0 074 I000000 0 074 J000000 797 074 K000000 0 074 L000000 620 074 M000000 29 074 N000000 179067 074 O000000 123 074 P000000 92 074 Q000000 0 074 R010000 0 074 R020000 0 074 R030000 0 074 R040000 151 074 S000000 0 074 T000000 178701 074 U010000 13465 074 U020000 0 074 V010000 10.30 074 V020000 0.00 074 W000000 0.0000 074 X000000 419 PAGE 9 074 Y000000 0 075 A000000 0 075 B000000 168567 076 000000 8.44 077 A000000 Y 077 B000000 N 077 C000000 Y 077 D000000 N 077 E000000 N 077 F000000 N 077 G000000 N 077 H000000 N 077 I000000 N 077 J000000 N 077 K000000 N 077 L000000 N 077 M000000 N 077 N000000 N 077 O000000 N 077 P000000 N 077 Q010000 Y 077 Q020000 N 077 Q030000 N 078 000000 N 080 C000000 0 081 B000000 0 082 B000000 0 083 B000000 0 084 B000000 0 086 A010000 0 086 A020000 0 086 B010000 0 086 B020000 0 086 C010000 0 086 C020000 0 086 D010000 0 086 D020000 0 086 E010000 0 086 E020000 0 086 F010000 0 086 F020000 0 087 A010000 COMMON STOCK 087 A020000 780915104 087 A030000 OTCM 087 B010000 PREFERRED STOCK 087 B020000 780915203 087 B030000 ROYPFD 088 A000000 N 088 B000000 N 088 C000000 N 088 D000000 Y PAGE 10 SIGNATURE JOANNE KILKEARY TITLE VICE PRESIDENT EX-27 2 WARNING: THE EDGAR SYSTEM ENCOUNTERED ERROR(S) WHILE PROCESSING THIS SCHEDULE.
6 6-MOS DEC-31-1999 JUN-30-1999 152,729,253 177,553,980 1,417,203 95,599 0 179,066,782 122,760 0 242,865 365,625 40,000,000 0 13,464,559 13,464,559 957,375 0 15,313,699 0 24,824,299 178,701,157 628,951 926,253 0 807,684 747,520 11,359,208 (7,350,772) 4,755,956 0 0 1,550,000 0 0 0 0 3,205,956 209,855 3,954,491 0 0 660,861 0 910,555 168,567,149 10.06 0.06 0.30 0.00 0.12 0.00 10.30 1.27 [AVG-DEBT-OUTSTANDING] 0 [AVG-DEBT-PER-SHARE] 0
EX-99 3 ROYCE MICRO-CAP TRUST, INC. Form N-SAR attachment for period ending 6/30/99 Item 77(C) At the 1999 Annual Meeting of Stockholders held on April 28, 1999, the Fund's stockholders: (i) elected the board of directors, consisting of (a) Charles M. Royce, (b) John D. Diederich, (c) Donald R. Dwight, (d) Richard M. Galkin, (e) Stephen L. Isaacs and (f) David L. Meister and (ii) ratified the selection of Tait, Weller & Baker as independent accountants.
Common Common Common Stock Stock Stock and and and Preferred Preferred Preferred Preferred Preferred Preferred Stock Stock Stock Stock Stock Stock Voting Voting Voting Voting Voting Voting As A As A As A Together Together Together Separate Separate Separate As A As A As A Class - Class - Class - Single Single Single Votes Votes Votes Class - Class - Class - For Against Abstained Votes Votes Votes For Against Abstained ---------- ------- --------- -------- -------- --------- (i) (a) 12,968,017.567 N/A 127,258.582 N/A N/A N/A (b) N/A N/A N/A 1,501,073 N/A 560 (c) 12,949,261.477 N/A 146,014.672 N/A N/A N/A (d) 12,946,647.614 N/A 148,628.535 N/A N/A N/A (e) 12,936,497.679 N/A 164,778.470 N/A N/A N/A (f) N/A N/A N/A 1,501,073 N/A 560 (ii) 12,965,166.200 82,167.000 47,941.949 N/A N/A N/A
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