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| Reporting Date | Major Shareholder Name | Shares Held | Market Value | Change in Shares | Ownership |
|---|---|---|---|---|---|
| 05/15/2024 | MORGAN STANLEY | 1.69 M | $15.97 M | 13.60% | 3.46% |
| 04/29/2024 | ALLSPRING GLOBAL INVESTMENTS HOLDINGS, LLC | 1.43 M | $13.53 M | -2.22% | 2.93% |
| 05/15/2024 | PUNCH & ASSOCIATES INVESTMENT MANAGEMENT, INC. | 1.06 M | $9.99 B | -3.72% | 2.16% |
| 05/06/2024 | ALEXANDER RANDOLPH ADVISORY, INC. | 994,556 | $9.40 M | 0.33% | 2.03% |
| 05/13/2024 | UBS GROUP AG | 975,361 | $9.22 M | 0.40% | 1.99% |
| 05/14/2024 | ADVISORS ASSET MANAGEMENT, INC. | 942,077 | $8.90 M | -2.62% | 1.93% |
| 05/10/2024 | WELLS FARGO & COMPANY/MN | 489,683 | $4.63 M | -0.76% | 1.00% |
| 05/13/2024 | SHAKER FINANCIAL SERVICES, LLC | 488,719 | $4.62 M | 57.33% | 1.00% |
| 05/15/2024 | BANK OF AMERICA CORP /DE/ | 450,195 | $4.25 M | -5.97% | 0.92% |
| 05/13/2024 | 1607 CAPITAL PARTNERS, LLC | 445,270 | $4.21 M | -26.76% | 0.91% |
| 05/15/2024 | MRAZ, AMERINE & ASSOCIATES, INC. | 416,882 | $3.94 M | -2.98% | 0.85% |
| 04/16/2024 | FLAGSHIP HARBOR ADVISORS, LLC | 361,560 | $3.42 M | 2.66% | 0.74% |
| 04/22/2024 | RAYMOND JAMES & ASSOCIATES | 304,569 | $2.88 M | -4.69% | 0.62% |
| 05/08/2024 | FCA CORP /TX | 294,136 | $2.78 M | 1.13% | 0.60% |
| 05/10/2024 | LPL FINANCIAL LLC | 288,109 | $2.72 M | 5.90% | 0.59% |
| 05/24/2024 | CETERA INVESTMENT ADVISERS | 276,996 | $2.62 M | -0.34% | 0.57% |
| 05/15/2024 | CETERA ADVISORS LLC | 274,430 | $2.59 M | 100.00% | 0.56% |
| 05/01/2024 | FAMILY FIRM, INC. | 252,093 | $2.38 M | -7.82% | 0.52% |
| 04/24/2024 | BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC | 228,790 | $2.16 M | 12.43% | 0.47% |
| 05/13/2024 | BARD ASSOCIATES INC | 188,501 | $1.78 M | -16.07% | 0.39% |
| 05/10/2024 | ADVISOR GROUP HOLDINGS, INC. | 185,865 | $1.76 M | 2.03% | 0.38% |
| 05/15/2024 | AQR ARBITRAGE LLC | 160,054 | $1.51 M | -18.27% | 0.33% |
| 05/15/2024 | ROYAL BANK OF CANADA | 153,987 | $1.46 M | 1.61% | 0.31% |
| 04/29/2024 | COMMONWEALTH EQUITY SERVICES, LLC | 144,050 | $1.36 M | 100.00% | 0.29% |
| 05/14/2024 | HORIZON KINETICS ASSET MANAGEMENT LLC | 139,715 | $1.32 M | -2.51% | 0.29% |
| 05/08/2024 | MOORS & CABOT, INC. | 105,135 | $993,526 | 1.68% | 0.21% |
| 05/15/2024 | CAPTRUST FINANCIAL ADVISORS | 101,089 | $955,294 | 2.31% | 0.21% |
| 04/22/2024 | SAPIENT CAPITAL LLC | 87,292 | $824,909 | 1.88% | 0.18% |
| 05/09/2024 | ROBERTS GLORE & CO INC /IL/ | 87,036 | $822,490 | 8.46% | 0.18% |
| 04/30/2024 | PRIVATE ADVISOR GROUP, LLC | 85,188 | $805,030 | -4.90% | 0.17% |
| 05/09/2024 | LANDSCAPE CAPITAL MANAGEMENT, L.L.C. | 85,176 | $804,913 | 13.28% | 0.17% |
| 04/24/2024 | BROWN ADVISORY INC | 83,699 | $790,956 | 0.00% | 0.17% |
| 04/30/2024 | DIVERSIFY ADVISORY SERVICES, LLC | 71,054 | $664,353 | 100.00% | 0.15% |
| 05/15/2024 | TWIN FOCUS CAPITAL PARTNERS, LLC | 62,161 | $587,421 | 0.00% | 0.13% |
| 05/14/2024 | STIFEL FINANCIAL CORP | 58,555 | $553,326 | 18.60% | 0.12% |
| 05/14/2024 | EP WEALTH ADVISORS, LLC | 54,194 | $512,138 | 1.74% | 0.11% |
| 05/15/2024 | COHEN & STEERS, INC. | 50,884 | $481,000 | 0.00% | 0.10% |
| 05/02/2024 | APOLLON WEALTH MANAGEMENT, LLC | 49,619 | $468,901 | -1.08% | 0.10% |
| 04/24/2024 | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | 49,050 | $464,000 | -15.14% | 0.10% |
| 05/14/2024 | GUGGENHEIM CAPITAL LLC | 45,544 | $430,393 | 51.93% | 0.09% |
| 05/13/2024 | D.A. DAVIDSON & CO. | 42,749 | $403,982 | 0.37% | 0.09% |
| 04/29/2024 | WEALTHSHIELD PARTNERS, LLC | 41,121 | $388,593 | -7.03% | 0.08% |
| 05/13/2024 | FIRST TRUST ADVISORS LP | 38,403 | $362,908 | 14.49% | 0.08% |
| 04/26/2024 | HARA CAPITAL LLC | 37,760 | $356,832 | -0.53% | 0.08% |
| 05/13/2024 | KARPUS MANAGEMENT, INC. | 36,054 | $340,710 | -27.89% | 0.07% |
| 05/09/2024 | KINGSVIEW WEALTH MANAGEMENT, LLC | 34,325 | $324,371 | -1.25% | 0.07% |
| 05/01/2024 | FINANCIAL ADVOCATES INVESTMENT MANAGEMENT | 31,234 | $295,158 | 1.88% | 0.06% |
| 04/22/2024 | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC. | 28,090 | $265,446 | -7.68% | 0.06% |
| 04/16/2024 | PRAIRIE SKY FINANCIAL GROUP LLC | 26,676 | $252,084 | 0.00% | 0.05% |
| 05/16/2024 | JAFFETILCHIN INVESTMENT PARTNERS, LLC | 26,471 | $250,155 | 127.20% | 0.05% |
A. During the previous two years, 124 institutional investors and hedge funds held shares of Royce Micro-Cap Trust, Inc.. The most heavily invested institutionals were:
MORGAN STANLEY: 1.69 M
Allspring Global Investments Holdings, LLC: 1.43 M
PUNCH & ASSOCIATES INVESTMENT MANAGEMENT, INC.: 1.06 M
Alexander Randolph Advisory, Inc.: 994,556
UBS Group AG: 975,361
Advisors Asset Management, Inc.: 942,077
A. 29.53% of Royce Micro-Cap Trust, Inc. stock is owned by institutional investors.
A. Institutional investors have bought a total of 19.30 M shares in the last 24 months. This purchase volume represents approximately $176.61 M in transactions.
