Основная статистика
| LEI | 549300ZO564XGNG81814 |
| CIK | 825202 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Sprott Focus Trust, Inc.
SEC Filings (Chronological Order)
На этой странице представлен полный хронологический список документов SEC, за исключением документов о собственности, которые мы предоставляем в других местах.
| August 8, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confide |
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| August 6, 2024 |
As filed with the Securities and Exchange Commission on August 6, 2024 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| October 6, 2023 |
FUND / Sprott Focus Trust Inc / GEORGE W WHITNEY - SC 13D/A Activist Investment SC 13D/A 1 d546123dsc13da.htm SC 13D/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) Under the Securities Exchange Act of 1934 (Amendment No. 31)* Sprott Focus Trust, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of |
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| August 21, 2023 |
As filed with the Securities and Exchange Commission on August 21, 2023 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| July 5, 2023 |
June 28, 2023 VIA EDGAR Ms. Christina DiAngelo Fettig Senior Staff Accountant Division of Investment Management Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Sprott Focus Trust, Inc. File No. 811- 05379 Dear Ms. Fettig: This letter responds to comments of the staff (the “Staff”) of the Securities and Exchange Commission (the “SEC”) to the filing by the Sprott Foc |
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| September 29, 2022 |
FUND / Sprott Focus Trust Inc / GEORGE W WHITNEY - SC 13D/A Activist Investment SC 13D/A 1 d377965dsc13da.htm SC 13D/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) Under the Securities Exchange Act of 1934 (Amendment No. 30)* Sprott Focus Trust, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of |
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| August 10, 2022 |
As filed with the Securities and Exchange Commission on August 10, 2022 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| February 14, 2022 |
FUND / Sprott Focus Trust Inc / 1607 Capital Partners, LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. |
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| January 18, 2022 |
FUND / Sprott Focus Trust Inc / GEORGE W WHITNEY - SC 13D/A Activist Investment SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) Under the Securities Exchange Act of 1934 (Amendment No. |
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| August 4, 2021 |
DEF 14A 1 d135199ddef14a.htm SPROTT FOCUS TRUST INC. As filed with the Securities and Exchange Commission on August 4, 2021 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the |
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| June 29, 2021 |
FUND / Sprott Focus Trust Inc / GEORGE W WHITNEY - SC 13D/A Activist Investment SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) Under the Securities Exchange Act of 1934 (Amendment No. |
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| May 28, 2021 |
SPROTT FOCUS TRUST INC. Sprott Focus Trust March 31, 2021 (unaudited) Schedule of Investments Common Stocks - 99.1% SHARES VALUE CONSUMER DISCRETIONARY - 7.7% AUTOMOBILES - 3.1% Thor Industries, Inc.1 60,000 $ 8,084,400 SPECIALTY RETAIL - 4.6% Buckle, Inc. (The) 310,000 12,176,800 Total (Cost $10,311,053) 20,261,200 CONSUMER STAPLES - 8.0% FOOD PRODUCTS - 8.0% Cal-Maine Foods, Inc.2 265,000 10,181 |
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| April 13, 2021 |
SC 13D/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) Under the Securities Exchange Act of 1934 (Amendment No. |
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| February 16, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. |
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| November 20, 2020 |
Market Value of Loaned Securities SPROTT FOCUS TRUST INC. Sprott Focus Trust September 30, 2020 (unaudited) Schedule of Investments Common Stocks - 90.2% SHARES VALUE CONSUMER DISCRETIONARY - 4.8% AUTO COMPONENTS - 0.8% Gentex Corp. 60,000 $ 1,545,000 AUTOMOBILES - 0.9% Thor Industries, Inc.1 20,000 1,905,200 SPECIALTY RETAIL - 3.1% Buckle, Inc. (The) 320,000 6,524,800 Total (Cost $7,132,025) 9,975,000 CONSUMER STAPLES - 7.6% FOOD |
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| September 30, 2020 |
FUND / Sprott Focus Trust, Inc. / GEORGE W WHITNEY - SC 13D/A Activist Investment SC 13D/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) Under the Securities Exchange Act of 1934 (Amendment No. |
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| August 4, 2020 |
August 4, 2020 VIA EDGAR Cindy Chang Division of Investment Management Securities and Exchange Commission 100 F Street, N. |
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| August 3, 2020 |
SPROTT FOCUS TRUST INC. Table of Contents As filed with the Securities and Exchange Commission on August 3, 2020 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant |
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| May 29, 2020 |
Market Value of Loaned Securities SPROTT FOCUS TRUST, INC. Sprott Focus Trust March 31, 2020 (unaudited) Schedule of Investments Common Stocks - 99.2% SHARES VALUE CONSUMER DISCRETIONARY - 5.7% AUTO COMPONENTS - 1.5% Gentex Corp. 110,000 $ 2,437,600 AUTOMOBILES - 1.6% Thor Industries, Inc.1 65,000 2,741,700 HOUSEHOLD DURABLES - 0.2% Garmin Ltd. 5,000 374,800 SPECIALTY RETAIL - 2.4% Buckle, Inc. (The)1,2 290,000 3,975,900 Total (Co |
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| March 31, 2020 |
FUND / Sprott Focus Trust, Inc. / GEORGE W WHITNEY - SC 13D/A Activist Investment SC 13D/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) Under the Securities Exchange Act of 1934 (Amendment No. |
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| March 5, 2020 |
FUND / Sprott Focus Trust, Inc. / GEORGE W WHITNEY - SC 13D/A Activist Investment SC 13D/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) Under the Securities Exchange Act of 1934 (Amendment No. |
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| February 14, 2020 |
FUND / Sprott Focus Trust, Inc. / 1607 Capital Partners, LLC - SCHEDULE 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. |
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| November 13, 2019 |
Certification of Principal Executive Officer Section 302 Certification Ex-99 CERT: Certification of Principal Executive Officer I, Thomas W. |
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| November 13, 2019 |
SPROTT FOCUS TRUST INC. UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-05379 SPROTT FOCUS TRUST, INC. (Exact name of registrant as specified in charter) Royal Bank Plaza, South Tower 200 Bay Street, Suite 2600 Toronto, Ontario, Canada M5J 2J |
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| October 21, 2019 |
EX-99.B Exhibit B Schedule of Transactions in the Shares by W. Whitney George Trade Date Transaction Quantity Price Per Share 09/04/2019 Purchase 19,985[1] $6.6974[2] 09/27/2019 Purchase 113,359[3] $6.93 10/10/2019 Purchase 11,300[1] $6.5914[4] Schedule of Transactions in the Shares by Meredith George Trade Date Transaction Quantity Price Per Share 09/03/2019 Purchase 20,000[1] $6.63[5] 09/27/2019 |
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| October 21, 2019 |
FUND / Sprott Focus Trust, Inc. / GEORGE W WHITNEY - SC 13D/A Activist Investment SC 13D/A 1 d744509dsc13da.htm SC 13D/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) Under the Securities Exchange Act of 1934 (Amendment No. 23)* Sprott Focus Trust, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of |
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| October 21, 2019 |
EX-99.A Exhibit A AGREEMENT The undersigned agree that this Amendment No. 23 to Schedule 13D, dated October 21, 2019, relating to the Common Stock, $0.001 par value per share, of Sprott Focus Trust, Inc. shall be filed on behalf of the undersigned. Dated: October 21, 2019 W. Whitney George By: /s/ W. Whitney George Meredith George By: /s/ Meredith George The Meredith and Whitney George Family Foun |
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| August 2, 2019 |
FUND / Sprott Focus Trust, Inc. DEF 14A - - SPROTT FOCUS TRUST INC. SPROTT FOCUS TRUST INC. As filed with the Securities and Exchange Commission on August 2, 2019 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party |
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| May 15, 2019 |
Sprott Focus Trust Inc. - SPROTT FOCUS TRUST INC. SPROTT FOCUS TRUST INC. UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-05379 SPROTT FOCUS TRUST, INC. (Exact name of registrant as specified in charter) Royal Bank Plaza, South Tower 200 Bay Street, Suite 2600 Toronto, Ontario, Canada M5J 2J |
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| May 15, 2019 |
Certification of Principal Executive Officer Section 302 Certification Ex-99 CERT: Certification of Principal Executive Officer I, Thomas W. |
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| February 14, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Sprott Focus Trust, Inc. (Name of Issuer) Common (Title of Class of Securities) 85208J109 (CUSIP Number) December 31, 2018 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sche |
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| February 14, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. |
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| January 10, 2019 |
EX-99.A Exhibit A AGREEMENT The undersigned agree that this Amendment No. 22 to Schedule 13D, dated January 9, 2019, relating to the Common Stock, $0.001 par value per share, of Sprott Focus Trust, Inc. shall be filed on behalf of the undersigned. Dated: January 9, 2019 W. Whitney George By: /s/ W. Whitney George Meredith George By: /s/ Meredith George The Meredith and Whitney George Family Founda |
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| January 10, 2019 |
FUND / Sprott Focus Trust, Inc. / GEORGE W WHITNEY - SC 13D/A Activist Investment SC 13D/A 1 d688843dsc13da.htm SC 13D/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) Under the Securities Exchange Act of 1934 (Amendment No. 22)* Sprott Focus Trust, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of |
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| January 10, 2019 |
EX-99.B Exhibit B Schedule of Transactions in the Shares by W. Whitney George Trade Date Transaction Quantity Price Per Share 12/28/2018 Purchase 321,073 [1] $ 5.51 01/07/2019 Purchase 11,990 [2] $ 6.0205 [3] Schedule of Transactions in the Shares by Meredith George Trade Date Transaction Quantity Price Per Share 12/28/2018 Purchase 79,834 [4] $ 5.51 Schedule of Transactions in the Shares by The M |
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| December 26, 2018 |
FUND / Sprott Focus Trust, Inc. / GEORGE W WHITNEY - SC 13D/A Activist Investment SC 13D/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) Under the Securities Exchange Act of 1934 (Amendment No. |
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| December 26, 2018 |
EX-99.A Exhibit A AGREEMENT The undersigned agree that this Amendment No. 21 to Schedule 13D, dated December 26, 2018, relating to the Common Stock, $0.001 par value per share, of Sprott Focus Trust, Inc. shall be filed on behalf of the undersigned. Dated: December 26, 2018 W. Whitney George By: /s/ W. Whitney George Meredith George By: /s/ Meredith George The Meredith and Whitney George Family Fo |
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| December 26, 2018 |
EX-99.B Exhibit B Schedule of Transactions in the Shares by W. Whitney George[1] Trade Date Transaction Quantity Price Per Share[4] 10/24/2018 Purchase 40,000 $6.8371[5] 10/25/2018 Purchase 2,308 $6.80 11/01/2018 Purchase 8,252[2] $6.8349[6] 11/02/2018 Purchase 11,303[2] $6.9065[7] 12/12/2018 Gift (6,000)[3] No consideration was received for the gift. 12/13/2018 Purchase 50,000 $6.1972[8] 12/13/20 |
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| November 28, 2018 |
FUND / SPROTT FOCUS TRUST INC. SPROTT FOCUS TRUST INC. (Quarterly Schedule of Portfolio Holdings) SPROTT FOCUS TRUST INC. UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-05379 SPROTT FOCUS TRUST, INC. (Exact name of registrant as specified in charter) Royal Bank Plaza, South Tower 200 Bay Street, Suite 2600 Toronto, Ontario, Canada M5J 2J |
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| November 28, 2018 |
Certification of Principal Executive Officer Section 302 Certification Ex-99 CERT: Certification of Principal Executive Officer I, Thomas W. |
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| October 17, 2018 |
EX-99.B Exhibit B Schedule of Transactions in the Shares by W. Whitney George Trade Date Transaction Quantity Price Per Share 08/29/18 Gift 95,367 [1] No consideration was paid for the gift. 09/28/18 Purchase 109,554[2] $7.45 10/03/18 Purchase 12,437[3] $7.37 10/03/18 Purchase 12,437[4] $7.37 10/04/18 Purchase 37,563[3] $7.33 10/04/18 Purchase 37,563[4] $7.33 10/09/18 Purchase 389[5] $7.08 10/10/1 |
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| October 17, 2018 |
FUND / Sprott Focus Trust, Inc. / GEORGE W WHITNEY - SC 13D/A Activist Investment SC 13D/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. |
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| October 17, 2018 |
EX-99.A Exhibit A AGREEMENT The undersigned agree that this Amendment No. 20 to Schedule 13D, dated October 17, 2018, relating to the Common Stock, $0.001 par value per share, of Sprott Focus Trust, Inc. shall be filed on behalf of the undersigned. Dated: October 17, 2018 W. Whitney George By: /s/ W. Whitney George Meredith George By: /s/ Meredith George The Meredith and Whitney George Family Foun |
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| August 8, 2018 |
FUND / Sprott Focus Trust, Inc. SPROTT FOCUS TRUST INC. SPROTT FOCUS TRUST INC. As filed with the Securities and Exchange Commission on August 8, 2018 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant ☒ Filed by a Party |
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| May 25, 2018 |
Sprott Focus Trust Inc. - SPROTT FOCUS TRUST INC. SPROTT FOCUS TRUST INC. UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-05379 SPROTT FOCUS TRUST, INC. (Exact name of registrant as specified in charter) Royal Bank Plaza, South Tower 200 Bay Street, Suite 2600 Toronto, Ontario, Canada M5J 2J |
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| May 25, 2018 |
Certification of Principal Executive Officer Section 302 Certification Ex-99 CERT: Certification of Principal Executive Officer I, Thomas W. |
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| February 14, 2018 |
FUND / Sprott Focus Trust, Inc. / RIVERNORTH CAPITAL MANAGEMENT, LLC - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Sprott Focus Trust, Inc. (Name of Issuer) Common (Title of Class of Securities) 85208J109 (CUSIP Number) December 31, 2017 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sche |
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| February 12, 2018 |
FUND / Sprott Focus Trust, Inc. / GEORGE W WHITNEY Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| November 28, 2017 |
EX-99.CERT 2 d468808dex99cert.htm SECTION 302 CERTIFICATION EX-99.CERT CERTIFICATIONS: I, Thomas W. Ulrich, certify that: 1. I have reviewed this report on Form N-Q of Sprott Focus Trust, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under whi |
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| November 28, 2017 |
Sprott Focus Trust Inc. - SPROTT FOCUS TRUST INC. SPROTT FOCUS TRUST INC. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-05379 SPROTT FOCUS TRUST, INC. (Exact name of Registrant as specified in charter) Royal Bank Plaza, South Tower 200 Bay Street, Suite 2700 Toronto, Ontario, Canada M5J2J1 |
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| August 8, 2017 |
DEF 14A As filed with the Securities and Exchange Commission on August 8, 2017 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 19, 2017 |
Section 302 Certification EX-99.CERT CERTIFICATIONS: I, Scott Colbourne, certify that: 1. I have reviewed this report on Form N-Q of Sprott Focus Trust, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not m |
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| May 19, 2017 |
Sprott Focus Trust Inc. - SPROTT FOCUS TRUST INC. SPROTT FOCUS TRUST INC. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-05379 SPROTT FOCUS TRUST, INC. (Exact name of Registrant as specified in charter) Royal Bank Plaza, South Tower 200 Bay Street, Suite 2700 Toronto, Ontario, Canada M5J2J1 |
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| February 14, 2017 |
FUND / Sprott Focus Trust, Inc. / RIVERNORTH CAPITAL MANAGEMENT, LLC - SC 13G Passive Investment SC 13G 1 sc13g021017.htm SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Sprott Focus Trust, Inc. (Name of Issuer) Common (Title of Class of Securities) 85208J109 (CUSIP Number) December 31, 2016 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the r |
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| November 29, 2016 |
EX-99.CERT 2 d287887dex99cert.htm SECTION 302 CERTIFICATION EX-99.CERT CERTIFICATIONS: I, Scott Colbourne, certify that: 1. I have reviewed this report on Form N-Q of Sprott Focus Trust, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under whic |
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| November 29, 2016 |
Sprott Focus Trust SPROTT FOCUS TRUST INC. (Quarterly Schedule of Portfolio Holdings) N-Q 1 d287887dnq.htm SPROTT FOCUS TRUST INC. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-05379 SPROTT FOCUS TRUST, INC. (Exact name of Registrant as specified in charter) Royal Bank Plaza, South Tower 200 Bay Street, Suite 2700 Toronto, On |
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| August 4, 2016 |
DEF 14A As filed with the Securities and Exchange Commission on August 4, 2016 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| July 8, 2016 |
FUND / Sprott Focus Trust, Inc. / GEORGE W WHITNEY Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| May 26, 2016 |
Section 302 Certification EX-99.CERT CERTIFICATIONS: I, Scott Colbourne, certify that: 1. I have reviewed this report on Form N-Q of Sprott Focus Trust, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not m |
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| May 26, 2016 |
Sprott Focus Trust SPROTT FOCUS TRUST INC. (Quarterly Schedule of Portfolio Holdings) SPROTT FOCUS TRUST INC. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 812-14437 SPROTT FOCUS TRUST, INC. (Exact name of Registrant as specified in charter) Royal Bank Plaza, South Tower 200 Bay Street, Suite 2700 Toronto, Ontario, Canada M5J2J1 |
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| December 23, 2015 |
FUND / Sprott Focus Trust, Inc. / GEORGE W WHITNEY Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| November 12, 2015 |
Section 302 Certification EX-99.CERT CERTIFICATIONS: I, Scott Colbourne, certify that: 1. I have reviewed this report on Form N-Q of Sprott Focus Trust, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not m |
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| November 12, 2015 |
Sprott Focus Trust SPROTT FOCUS TRUST INC. (Quarterly Schedule of Portfolio Holdings) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 812-14437 SPROTT FOCUS TRUST, INC. (Exact name of Registrant as specified in charter) Royal Bank Plaza, South Tower 200 Bay Street, Suite 2700 Toronto, Ontario, Canada M5J2J1 (Address of principal ex |
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| October 9, 2015 |
FUND / Sprott Focus Trust, Inc. / GEORGE W WHITNEY Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| August 27, 2015 |
Exhibit 77C A special meeting of stockholders was held on February 26, 2015 (the “Meeting”). |
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| August 24, 2015 |
As filed with the Securities and Exchange Commission on August 24, 2015 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| July 9, 2015 |
FUND / Sprott Focus Trust, Inc. / GEORGE W WHITNEY Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| May 20, 2015 |
Sprott Focus Trust SPROTT FOCUS TRUST INC. (Quarterly Schedule of Portfolio Holdings) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 812-14437 SPROTT FOCUS TRUST, INC. (Exact name of Registrant as specified in charter) Royal Bank Plaza, South Tower 200 Bay Street, Suite 2700 Toronto, Ontario, Canada M5J2J1 (Address of principal ex |
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| May 20, 2015 |
Section 302 Certification EX-99.CERT CERTIFICATIONS: I, Scott Colbourne, certify that: 1. I have reviewed this report on Form N-Q of Sprott Focus Trust, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not m |
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| February 27, 2015 |
EX-99.77C VOTES 3 rft77c14.htm ANNUAL MEETING ROYCE FOCUS TRUST, INC. At the 2014 Annual Meeting of Stockholders held on September 24, 2014, the Fund's stockholders elected two Directors, consisting of: Votes For Votes Withheld Patricia W. Chadwick 17,401,762 195,798 Richard M. Galkin 17,394,783 202,776 |
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| February 27, 2015 |
[TAIT, WELLER & BAKER LLP Letterhead] REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM [TAIT, WELLER & BAKER LLP Letterhead] REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Board of Directors Royce Focus Trust, Inc. |
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| February 11, 2015 |
The Royce Funds 745 Fifth Avenue New York, NY 10151 (212) 508-4500 (800) 221-4268 February 11, 2015 Securities and Exchange Commission 100 F. |
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| February 11, 2015 |
RVT / Royce Value Trust, Inc. CORRESP - - The Royce Funds 745 Fifth Avenue New York, NY 10151 (212) 508-4500 (800) 221-4268 February 11, 2015 Securities and Exchange Commission 100 F. |
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| January 13, 2015 |
FUND / Sprott Focus Trust, Inc. / GEORGE W WHITNEY Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| January 6, 2015 |
FUND / Sprott Focus Trust, Inc. DEF 14A - - As filed with the Securities and Exchange Commission on January 6, 2015 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| January 6, 2015 |
FUND / Sprott Focus Trust, Inc. COVER - - COVER 11 filename11.htm Royce Focus Trust, Inc. 745 Fifth Avenue New York, NY 10151 (212) 508-4500 (800) 221-4268 January 6, 2015 Securities and Exchange Commission 100 F. Street, N.E. Washington, D.C. 20549 Attention: Valerie Lithotomos, Division of Investment Management Re: Royce Focus Trust, Inc. File Nos. 333-123047 and 811-05379 Dear Ms. Thomas: This letter is in response to telephonic commen |
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| December 19, 2014 |
FUND / Sprott Focus Trust, Inc. PRE 14A - - As filed with the Securities and Exchange Commission on December 19, 2014 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| December 19, 2014 |
FUND / Sprott Focus Trust, Inc. CORRESP - - Royce Focus Trust, Inc. 745 Fifth Avenue New York, NY 10151 (212) 508-4500 (800) 221-4268 December 19, 2014 Securities and Exchange Commission 100 F. Street, N.E. Washington, D.C. 20549 Attention: Larry Greene, Division of Investment Management Re: Royce Focus Trust, Inc. (the “Trust”) File Nos. 333-123047 and 811-05379 Dear Mr. Greene: Enclosed herewith for filing with the Securities and Exchange |
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| November 24, 2014 |
I, Charles M. Royce, certify that: CERTIFICATION I, Charles M. Royce, certify that: 1. I have reviewed this report on Form N-Q of Royce Focus Trust, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period co |
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| November 24, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act File Number: 811-05379 Name of Fund: Royce Focus Trust, Inc. Fund Address: 745 Fifth Avenue New York, NY 10151 Name and address of agent for service: John E. Denneen, Esq. Royce & Associates, LLC 745 Fifth Avenu |
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| November 10, 2014 |
FUND / Sprott Focus Trust, Inc. / GEORGE W WHITNEY Activist Investment SC 13D/A 1 d622822713d-a.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 13)* Royce Focus Trust, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 78080N108 (CUSIP Number) W. Whitney George, 745 Fifth Avenue, New York, New York 10151, (212) 508-4500 (Name, Address and Telephone Number of Perso |
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| October 3, 2014 |
FUND / Sprott Focus Trust, Inc. / GEORGE W WHITNEY - WWG 13D Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 12)* Royce Focus Trust, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 78080N108 (CUSIP Number) W. Whitney George, 745 Fifth Avenue, New York, New York 10151, (212) 508-4500 (Name, Address and Telephone Number of Person Authorized to Receive Notices and |
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| August 4, 2014 |
FUND / Sprott Focus Trust, Inc. DEF 14A - - As filed with the Securities and Exchange Commission on August 4, 2014 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| August 4, 2014 |
FUND / Sprott Focus Trust, Inc. DEFA14A - - *** Exercise Your Right to Vote *** Important Notice Regarding the Availability of Proxy Materials for the Stockholder Meeting to Be Held on September 24, 2014. |
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| May 27, 2014 |
I, Charles M. Royce, certify that: CERTIFICATION I, Charles M. Royce, certify that: 1. I have reviewed this report on Form N-Q of Royce Focus Trust, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period co |
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| May 27, 2014 |
Quarterly Schedule of Portfolio Holdings - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act File Number: 811-05379 Name of Fund: Royce Focus Trust, Inc. Fund Address: 745 Fifth Avenue New York, NY 10151 Name and address of agent for service: John E. Denneen, Esq. Royce & Associates, LLC 745 Fifth Avenu |
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| May 2, 2014 |
FUND / Sprott Focus Trust, Inc. / Sprott Focus Trust Inc. - WWG 13D 5/2/2014 Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 11)* Royce Focus Trust, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 78080N108 (CUSIP Number) W. Whitney George, 745 Fifth Avenue, New York, New York 10151, (212) 508-4500 (Name, Address and Telephone Number of Person Authorized to Receive Notices and |
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| February 28, 2014 |
EX-99.77C VOTES 3 rft77c13.htm RFT ANNUAL STOCKHOLDER MEETING ROYCE FOCUS TRUST, INC. At the 2013 Annual Meeting of Stockholders held on September 25, 2013, the Fund's stockholders elected four Directors, consisting of: Votes For Votes Withheld W. Whitney George 17,072,186 194,727 Arthur S. Mehlman 17,072,823 194,090 Stephen L. Isaacs 17,072,306 194,607 David L. Meister 17,051,034 215,879 |
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| February 28, 2014 |
[TAIT, WELLER & BAKER LLP LETTERHEAD] EX-99.77B ACCT LTTR 2 rft77b13.htm INTERNAL CONTROL LETTER [TAIT, WELLER & BAKER LLP LETTERHEAD] REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Board of Directors Royce Focus Trust, Inc. New York, New York In planning and performing our audits of the financial statements of Royce Focus Trust, Inc. (“Fund”) as of and for the year ended December 31, 2013, in accordance with the standards of |
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| February 12, 2014 |
FUND / Sprott Focus Trust, Inc. / Sprott Focus Trust Inc. - WWG 13D 2/12/2014 Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 10)* Royce Focus Trust, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 78080N108 (CUSIP Number) W. Whitney George, 745 Fifth Avenue, New York, New York 10151, (212) 508-4500 (Name, Address and Telephone Number of Person Authorized to Receive Notices and |
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| November 22, 2013 |
I, Charles M. Royce, certify that: CERTIFICATION I, Charles M. Royce, certify that: 1. I have reviewed this report on Form N-Q of Royce Focus Trust, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period co |
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| November 22, 2013 |
Quarterly Schedule of Portfolio Holdings - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act File Number: 811-05379 Name of Fund: Royce Focus Trust, Inc. Fund Address: 745 Fifth Avenue New York, NY 10151 Name and address of agent for service: John E. Denneen, Esq. Royce & Associates, LLC 745 Fifth Avenu |
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| August 16, 2013 |
FUND / Sprott Focus Trust, Inc. / Sprott Focus Trust Inc. - WWG 13D 9 8/16/13 Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 9)* Royce Focus Trust, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 78080N108 (CUSIP Number) W. Whitney George, 745 Fifth Avenue, New York, New York 10151, (212) 508-4500 (Name, Address and Telephone Number of Person Authorized to Receive Notices and |
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| August 2, 2013 |
As filed with the Securities and Exchange Commission on August 2, 2013 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 29, 2013 |
FUND / Sprott Focus Trust, Inc. / Sprott Focus Trust Inc. - WWG 13D AMENDMENT 8 Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 8)* Royce Focus Trust, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 78080N108 (CUSIP Number) W. Whitney George, 745 Fifth Avenue, New York, New York 10151, (212) 508-4500 (Name, Address and Telephone Number of Person Authorized to Receive Notices and |
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| May 28, 2013 |
I, Charles M. Royce, certify that: CERTIFICATION I, Charles M. Royce, certify that: 1. I have reviewed this report on Form N-Q of Royce Focus Trust, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period co |
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| May 28, 2013 |
Quarterly Schedule of Portfolio Holdings - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act File Number: 811-05379 Name of Fund: Royce Focus Trust, Inc. Fund Address: 745 Fifth Avenue New York, NY 10151 Name and address of agent for service: John E. Denneen, Esq. Royce & Associates, LLC 745 Fifth Avenu |
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| February 28, 2013 |
[TAIT, WELLER & BAKER LLP Letterhead] REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM [TAIT, WELLER & BAKER LLP Letterhead] REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Board of Directors Royce Focus Trust, Inc. |
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| February 28, 2013 |
EX-99.77C VOTES 3 rft77c12.htm ANNUAL STOCKHOLDERS MEETING Exhibit 77C ROYCE FOCUS TRUST, INC. At the 2012 Annual Meeting of Stockholders held on September 20, 2012, the Fund's stockholders elected four Directors, consisting of: Votes For Votes Withheld *Charles M. Royce 17,738,928 203,236 *G. Peter O’Brien 17,700,904 241,260 **Stephen L. Isaacs 873,774 12,148 **David L. Meister 874,275 11,647 *Co |
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| January 15, 2013 |
FUND / Sprott Focus Trust, Inc. / Sprott Focus Trust Inc. - SCHEDULE 13D #7 WWG Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 7)* Royce Focus Trust, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 78080N108 (CUSIP Number) W. Whitney George, 745 Fifth Avenue, New York, New York 10151, (212) 508-4500 (Name, Address and Telephone Number of Person Authorized to Receive Notices and |
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| December 17, 2012 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The New York Stock Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on December 28, 2012, pursuant to the provisions of Rule 12d2-2 (a). |
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| November 20, 2012 |
I, Charles M. Royce, certify that: CERTIFICATION I, Charles M. Royce, certify that: 1. I have reviewed this report on Form N-Q of Royce Focus Trust, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period co |
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| November 20, 2012 |
Quarterly Schedule of Portfolio Holdings - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act File Number: 811-05379 Name of Fund: Royce Focus Trust, Inc. Fund Address: 745 Fifth Avenue New York, NY 10151 Name and address of agent for service: John E. Denneen, Esq. Royce & Associates, LLC 745 Fifth Avenu |
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| August 6, 2012 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| August 6, 2012 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| May 29, 2012 |
Quarterly Schedule of Portfolio Holdings - N-Q 1 e11449.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act File Number: 811-05379 Name of Fund: Royce Focus Trust, Inc. Fund Address: 745 Fifth Avenue New York, NY 10151 Name and address of agent for service: John E. Denneen, Esq. Royce & Associates, LL |
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| May 29, 2012 |
I, Charles M. Royce, certify that: CERTIFICATION I, Charles M. Royce, certify that: 1. I have reviewed this report on Form N-Q of Royce Focus Trust, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period co |
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| February 29, 2012 |
TAIT, WELLER & BAKER LLP Certified Public Accountants REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Board of Directors Royce Focus Trust, Inc. |
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| February 29, 2012 |
Exhibit 77C ROYCE FOCUS TRUST, INC. At the 2011 Annual Meeting of Stockholders held on September 22, 2011, the Fund's stockholders elected four Directors, consisting of: Votes For Votes Withheld *Patricia W. Chadwick 16,525,914 454,879 *Richard M. Galkin 16,544,888 435,905 **Stephen L. Isaacs 916,834 11,594 **David L. Meister 916,600 11,828 *Common Stock and Preferred Stock voting together as a si |
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| February 15, 2012 |
The Royce Funds 745 Fifth Avenue New York, NY 10151 (212) 508-4500 (800) 221-4268 e-mail: funds@roycenet. |
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| February 15, 2012 |
The Royce Funds 745 Fifth Avenue New York, NY 10151 212-508-4500 800-221-4268 e-mail: funds@roycefunds. |
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| November 16, 2011 |
I, Charles M. Royce, certify that: CERTIFICATION I, Charles M. Royce, certify that: 1. I have reviewed this report on Form N-Q of Royce Focus Trust, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period co |
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| November 16, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act File Number: 811-05379 Name of Fund: Royce Focus Trust, Inc. Fund Address: 745 Fifth Avenue New York, NY 10151 Name and address of agent for service: John E. Denneen, Esq. Royce & Associates, LLC 745 Fifth Avenu |
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| August 24, 2011 |
Exhibit 77D Royce Focus Trust, Inc. On April 6, 2011, The Board of Trustees of Royce Focus Trust, Inc. voted to amend the definition of "foreign securities", for purposes of the Fund's investment restrictions, so that it is determined based on whether the headquarters of the Company are located outside the United States. |
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| August 5, 2011 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| August 5, 2011 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| May 26, 2011 |
I, Charles M. Royce, certify that: CERTIFICATION I, Charles M. Royce, certify that: 1. I have reviewed this report on Form N-Q of Royce Focus Trust, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period co |
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| May 26, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act File Number: 811-05379 Name of Fund: Royce Focus Trust, Inc. Fund Address: 745 Fifth Avenue New York, NY 10151 Name and address of agent for service: John E. Denneen, Esq. Royce & Associates, LLC 745 Fifth Avenu |
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| March 1, 2011 |
TAIT, WELLER & BAKER LLP Certified Public Accountants TAIT, WELLER & BAKER LLP Certified Public Accountants REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Board of Directors Royce Focus Trust, Inc. |
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| March 1, 2011 |
Exhibit 77C ROYCE FOCUS TRUST, INC. At the 2010 Annual Meeting of Stockholders held on September 22, 2010, the Fund's stockholders elected five Directors, consisting of: Votes For Votes Withheld *Richard M. Galkin 16,211,911 469,000 *Mark R. Fetting 16,228,052 452,859 *Arthur S. Mehlman 16,211,032 469,879 **Stephen L. Isaacs 876,478 84,383 **David L. Meister 876,478 84,383 *Common Stock and Prefer |
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| February 4, 2011 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 7)* Royce Focus Trust, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 78080N108 (CUSIP Number) Charles M. Royce, 745 Fifth Avenue, New York, New York 10151, (212) 508-4500 (Name, Address and Telephone Number of Person Authorized to Receive Notices and C |
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| January 18, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933 OMB APPROVAL OMB Number: 3235-0101 Expires: March 31, 2011 Estimated average burden hours per response . . . . . . . . . 2.0 SEC USE ONLY DOCUMENT SEQUENCE NO. CUSIP NUMBER ATTENTION: Transmit for filing 3 copies of this form c |
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| November 19, 2010 |
I, Charles M. Royce, certify that: CERTIFICATION I, Charles M. Royce, certify that: 1. I have reviewed this report on Form N-Q of Royce Focus Trust, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period co |
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| November 19, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-05379 Name of Fund: Royce Focus Trust, Inc. Fund Address: 745 Fifth Avenue New York, NY 10151 Name and address of agent for service: John E. Denneen, Esq. Royce & Associates, LLC 745 Fifth Avenu |
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| August 6, 2010 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| August 6, 2010 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| May 26, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-05379 Name of Fund: Royce Focus Trust, Inc. Fund Address: 745 Fifth Avenue New York, NY 10151 Name and address of agent for service: John E. Denneen, Esq. Royce & Associates, LLC 745 Fifth Avenu |
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| May 26, 2010 |
I, Charles M. Royce, certify that: CERTIFICATION I, Charles M. Royce, certify that: 1. I have reviewed this report on Form N-Q of Royce Focus Trust, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period co |
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| February 25, 2010 |
TAIT, WELLER & BAKER LLP Certified Public Accountants TAIT, WELLER & BAKER LLP Certified Public Accountants REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Board of Directors Royce Focus Trust, Inc. |
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| February 25, 2010 |
Exhibit 77C ROYCE FOCUS TRUST, INC. At the 2009 Annual Meeting of Stockholders held on September 23, 2009, the Fund's stockholders elected four Directors, consisting of: Votes For Votes Withheld *Charles M. Royce 16,512,734 302,507 *G. Peter O'Brien 14,903,285 1,911,956 **Stephen L. Isaacs 948,560 7,373 **David L. Meister 948,560 7,373 *Common Stock and Preferred Stock voting together as a single |
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| November 20, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-05379 Name of Fund: Royce Focus Trust, Inc. Fund Address: 745 Fifth Avenue New York, NY 10151 Name and address of agent for service: John E. Denneen, Esq. Royce & Associates, LLC 745 Fifth Avenu |
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| November 20, 2009 |
I, Charles M. Royce, certify that: CERTIFICATION I, Charles M. Royce, certify that: 1. I have reviewed this report on Form N-Q of Royce Focus Trust, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period co |
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| November 16, 2009 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 6)* Royce Focus Trust, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 78080N108 (CUSIP Number) W. Whitney George, 745 Fifth Avenue, New York, New York 10151, (212) 508-4500 (Name, Address and Telephone Number of Person Authorized to Receive Notices and |
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| August 14, 2009 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| August 14, 2009 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| May 28, 2009 |
The Royce Funds 745 Fifth Avenue New York, NY 10151 212-508-4500 800-221-4268 e-mail: funds@roycefunds. |
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| May 27, 2009 |
I, Charles M. Royce, certify that: CERTIFICATION I, Charles M. Royce, certify that: 1. I have reviewed this report on Form N-Q of Royce Focus Trust, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period co |
|
| May 27, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-05379 Name of Fund : Royce Focus Trust, Inc. Fund Address : 745 Fifth Avenue New York, NY 10151 Name and address of agent for service: John E. Denneen, Esq. Royce & Associates, LLC 745 Fifth Ave |
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| May 26, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-05379 Name of Fund : Royce Focus Trust, Inc. Fund Address : 745 Fifth Avenue New York, NY 10151 Name and address of agent for service: John E. Denneen, Esq. Royce & Associates, LLC 745 Fifth Ave |
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| May 26, 2009 |
I, Charles M. Royce, certify that: CERTIFICATION I, Charles M. Royce, certify that: 1. I have reviewed this report on Form N-Q of Royce Focus Trust, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period co |
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| February 27, 2009 |
TAIT, WELLER & BAKER LLP Certified Public Accountants TAIT, WELLER & BAKER LLP Certified Public Accountants REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Board of Directors Royce Focus, Inc. |
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| February 27, 2009 |
Exhibit 77C ROYCE FOCUS TRUST, INC. At the 2008 Annual Meeting of Stockholders held on September 25, 2008, the Fund's stockholders elected four Directors, consisting of: Votes For Votes Withheld *Donald R. Dwight 16,408,582 236,886 *William L. Koke 16,411,164 234,304 **Stephen L. Isaacs 919,928 7,289 **David L. Meister 919,928 7,289 *Common Stock and Preferred Stock voting together as a single cla |
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| November 21, 2008 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-05379 Name of Fund: Royce Focus Trust, Inc. Fund Address: 1414 Avenue of the Americas New York, NY 10019 Name and address of agent for service: John E. Denneen, Esq. Royce & Associates, LLC 1414 |
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| November 21, 2008 |
I, Charles M. Royce, certify that: CERTIFICATION I, Charles M. Royce, certify that: 1. I have reviewed this report on Form N-Q of Royce Focus Trust, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period co |
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| October 14, 2008 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 5)* Royce Focus Trust, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 78080N108 (CUSIP Number) W. Whitney George, 1414 Avenue of the Americas, New York, New York 10019, (212) 486-1445 (Name, Address and Telephone Number of Person Authorized to Receive N |
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| August 21, 2008 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| May 28, 2008 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-05379 Name of Fund: Royce Focus Trust, Inc. Fund Address: 1414 Avenue of the Americas New York, NY 10019 Name and address of agent for service: John E. Denneen, Esq. Royce & Associates, LLC 1414 |
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| May 28, 2008 |
I, Charles M. Royce, certify that: CERTIFICATION I, Charles M. Royce, certify that: 1. I have reviewed this report on Form N-Q of Royce Focus Trust, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period co |
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| May 8, 2008 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 4)* Royce Focus Trust, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 78080N108 (CUSIP Number) W. Whitney George, 1414 Avenue of the Americas, New York, New York 10019, (212) 486-1445 (Name, Address and Telephone Number of Person Authorized to Receive N |
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| February 29, 2008 |
TAIT, WELLER & BAKER LLP Certified Public Accountants TAIT, WELLER & BAKER LLP Certified Public Accountants REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Board of Directors Royce Focus Trust, Inc. |
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| February 29, 2008 |
Exhibit 77C ROYCE FOCUS TRUST, INC. At the 2007 Annual Meeting of Stockholders held on September 27, 2007, the Fund's stockholders elected five Directors, consisting of: Votes For Votes Withheld *Mark R. Fetting 14,233,685 120,839 *Richard M. Galkin 14,231,985 122,539 *Arthur S. Mehlman 14,232,588 121,936 **Stephen L. Isaacs 929,145 5,150 **David L. Meister 929,345 4,950 *Common Stock and Preferre |
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| December 18, 2007 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 6)* Royce Focus Trust, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 78080N108 (CUSIP Number) Charles M. Royce, 1414 Avenue of the Americas, New York, New York 10019, (212) 486-1445 (Name, Address and Telephone Number of Person Authorized to Receive No |
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| December 5, 2007 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933 OMB APPROVAL OMB Number: 3235-0101 xpires: December 31, 2006 Estimated average burden hours per response . . . . . . . . . 4.47 SEC USE ONLY DOCUMENT SEQUENCE NO. CUSIP NUMBER ATTENTION: Transmit for filing 3 copies of this for |
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| December 3, 2007 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 144/Amended* NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933 OMB APPROVAL OMB Number: 3235-0101 Expires: December 31, 2006 Estimated average burden hours per response . . . . . . . . . 4.47 SEC USE ONLY DOCUMENT SEQUENCE NO. CUSIP NUMBER ATTENTION: Transmit for filing 3 copies o |
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| December 3, 2007 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933 OMB APPROVAL OMB Number: 3235-0101 Expires: December 31, 2006 Estimated average burden hours per response . . . . . . . . . 4.47 SEC USE ONLY DOCUMENT SEQUENCE NO. CUSIP NUMBER ATTENTION: Transmit for filing 3 copies of this fo |
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| November 16, 2007 |
I, Charles M. Royce, certify that: CERTIFICATION I, Charles M. Royce, certify that: 1. I have reviewed this report on Form N-Q of Royce Focus Trust, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period co |
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| November 16, 2007 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-05379 Name of Fund: Royce Focus Trust, Inc. Fund Address: 1414 Avenue of the Americas New York, NY 10019 Name and address of agent for service: John E. Denneen, Esq. Royce & Associates, LLC 1414 |
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| August 23, 2007 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| August 6, 2007 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3)* Royce Focus Trust, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 78080N108 (CUSIP Number) W. Whitney George, 1414 Avenue of the Americas, New York, New York 10019, (212) 486-1445 (Name, Address and Telephone Number of Person Authorized to Receive N |
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| May 29, 2007 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-05379 Name of Fund: Royce Focus Trust, Inc. Fund Address: 1414 Avenue of the Americas New York, NY 10019 Name and address of agent for service: John E. Denneen, Esq. Royce & Associates, LLC 1414 |
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| May 29, 2007 |
I, Charles M. Royce, certify that: CERTIFICATION I, Charles M. Royce, certify that: 1. I have reviewed this report on Form N-Q of Royce Focus Trust, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period co |
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| February 28, 2007 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Board of Directors Royce Focus Trust, Inc. |
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| February 28, 2007 |
Exhibit 77C ROYCE FOCUS TRUST, INC. At the 2006 Annual Meeting of Stockholders held on September 28, 2006, the Fund's stockholders elected four Directors, consisting of: Votes For Votes Abstained **Stephen L. Isaacs 911,276 1,680 **David L. Meister 911,276 1,680 *G. Peter O'Brien 14,485,743 155,571 *Charles M. Royce 14,508,798 132,516 *Common Stock and Preferred Stock Voting Together As A Single C |
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| December 14, 2006 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933 OMB APPROVAL OMB Number: 3235-0101 Expires: December 31, 2006 Estimated average burden hours per response . . . . . . . . . 4.47 SEC USE ONLY DOCUMENT SEQUENCE NO. CUSIP NUMBER ATTENTION: Transmit for filing 3 copies of this fo |
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| November 14, 2006 |
I, Charles M. Royce, certify that: CERTIFICATION I, Charles M. Royce, certify that: 1. I have reviewed this report on Form N-Q of Royce Focus Trust, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period co |
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| November 14, 2006 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-05379 Name of Fund: Royce Focus Trust, Inc. Fund Address: 1414 Avenue of the Americas New York, NY 10019 Name and address of agent for service: John E. Denneen, Esq. Royce & Associates, LLC 1414 |
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| June 28, 2006 |
The Royce Funds 1414 Avenue of the Americas New York, NY 10019 (212) 355-7311 (800) 221-4268 March 27, 2006 Securities and Exchange Commission Attn: Sheila Stout, Senior Staff Accountant 450 Fifth Street, N. |
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| May 17, 2006 |
I, Charles M. Royce, certify that: Ex-99.CERT CERTIFICATION I, Charles M. Royce, certify that: 1. I have reviewed this report on Form N-Q of Royce Focus Trust, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to th |
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| May 17, 2006 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-05379 Name of Fund: Royce Focus Trust, Inc. Fund Address: 1414 Avenue of the Americas New York, NY 10019 Name and address of agent for service: John E. Denneen, Esq. Royce & Associates, LLC 1414 |
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| April 3, 2006 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933 OMB APPROVAL OMB Number: 3235-0101 Expires: December 31, 2006 Estimated average burden hours per response . . . . . . . . . 4.47 SEC USE ONLY DOCUMENT SEQUENCE NO. CUSIP NUMBER ATTENTION: Transmit for filing 3 copies of this fo |
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| February 28, 2006 |
Exhibit 77C ROYCE FOCUS TRUST, INC. At the 2005 Annual Meeting of Stockholders held on September 29, 2005, the Fund's stockholders elected four Directors, consisting of: Votes For Votes Abstained *Donald R. Dwight 12,467,299 123,891 **Stephen L. Isaacs 920,921 4,780 *William L. Koke 12,723,349 118,841 **David L. Meister 920,521 5,180 *Common Stock and Preferred Stock Voting Together As A Single Cl |
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| February 28, 2006 |
Exhibit 77D Royce Focus Trust, Inc. On September 20-21, 2005, The Board of Directors of Royce Focus Trust, Inc. (the "Fund") voted to amend the Fund's non-fundamental investment policies to permit the Fund to enter into repurchase agreements through the Fixed Income Clearing Corporation as a "Sponsored Member" in the Fixed Income Clearing Corporation. |
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| February 28, 2006 |
TAIT, WELLER & BAKER LLP Certified Public Accountants TAIT, WELLER & BAKER LLP Certified Public Accountants REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Board of Directors Royce Focus Trust, Inc. |
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| November 29, 2005 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-05379 Name of Fund: Royce Focus Trust, Inc. Fund Address: 1414 Avenue of the Americas New York, NY 10019 Name and address of agent for service: John E. Denneen, Esq. Royce & Associates, LLC 1414 |
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| November 29, 2005 |
I, Charles M. Royce, certify that: Certification Filed as Exhibit 3 to Form N-Q CERTIFICATION I, Charles M. Royce, certify that: 1. I have reviewed this report on Form N-Q of Royce Focus Trust, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, |
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| August 25, 2005 |
NSAR Sub-Item 77D (g) Royce Focus Trust, Inc. On February 9-10, 2005, The Board of Directors of Royce Focus Trust, Inc. (the "Fund") voted to amend the Fund's fundamental investment policies to permit the Fund to enter into repurchase agreements with recognized securities dealers and banks considered by Royce & Associates, LLC to present minimal credit risk and having a term of seven days or less. |
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| August 1, 2005 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 5)* Royce Focus Trust, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 78080N108 (CUSIP Number) Charles M. Royce, 1414 Avenue of the Americas, New York, New York 10019, (212) 486-1445 (Name, Address and Telephone Number of Person Authorized to Receive No |
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| August 1, 2005 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D SC 13D/A 1 wwg13d2.htm SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2)* Royce Focus Trust, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 78080N108 (CUSIP Number) W. Whitney George, 1414 Avenue of the Americas, New York, New York 10019, (212) 486-1445 (Name, Address and Telephone Number of Person |
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| May 24, 2005 |
Certification Filed as Exhibit 3 to Form N-Q CERTIFICATION I, Charles M. Royce, certify that: 1. I have reviewed this report on Form N-Q of Royce Focus Trust, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, |
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| May 24, 2005 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANIES Investment Company Act file number: 811-05379 Name of Fund: Royce Focus Trust, Inc. Fund Address: 1414 Avenue of the Americas New York, NY 10019 Name and address of agent for service: John E. Denneen, Esq. Royce & Associates, LLC 14 |
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| February 28, 2005 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM ON INTERNAL CONTROL REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM ON INTERNAL CONTROL Board of Directors Royce Focus Trust, Inc. |
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| February 28, 2005 |
Exhibit 77C ROYCE FOCUS TRUST, INC. At the 2004 Annual Meeting of Stockholders held on September 28, 2004, the Fund's stockholders elected those members of the Board of Directors whose terms would otherwise have expired at the completion of the 2004 Annual Meeting, consisting of (a) Mark R. Fetting, (b) Richard M. Galkin, (c) Stephen L. Isaacs, (d) Arthur S. Mehlman and (e) David L. Meister. Commo |
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| February 28, 2005 |
1414 AVENUE OF THE AMERICAS NEW YORK, NY 10019 (212) 355-7311 - (800) 221-4268 FAX. (212) 832-8921 ROYCE FOCUS TRUST, INC. 1414 AVENUE OF THE AMERICAS NEW YORK, NY 10019 (212) 355-7311 - (800) 221-4268 FAX. (212) 832-8921 February 28, 2005 Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C. 20549 Re: Royce Focus Trust, Inc. Inadvertently filed Post-Effective Amendment Accession Number: 825202-05-000001 Ladies and Gentlemen: On behalf of Royce Focus Trust, Inc. (the "Fund" |
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| November 30, 2004 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANIES Investment Company Act file number: 811-05379 Name of Fund: Royce Focus Trust, Inc. Fund Address: 1414 Avenue of the Americas New York, NY 10019 Name and address of agent for service: John E. Denneen, Esq. Royce & Associates, LLC 14 |
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| November 30, 2004 |
Certification Filed as Exhibit 3 to Form N-Q Certification Filed as Exhibit 3 to Form N-Q CERTIFICATION I, Charles M. Royce, certify that: 1. I have reviewed this report on Form N-Q of Royce Focus Trust, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, |
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| November 29, 2004 |
Certification Filed as Exhibit 3 to Form N-Q Certification Filed as Exhibit 3 to Form N-Q CERTIFICATION I, Charles M. Royce, certify that: 1. I have reviewed this report on Form N-Q of Royce Focus Trust, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, |
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| November 29, 2004 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANIES Investment Company Act file number: 811-05379 Name of Fund: Royce Focus Trust, Inc. Fund Address: 1414 Avenue of the Americas New York, NY 10019 Name and address of agent for service: John E. Denneen, Esq. Royce & Associates, LLC 14 |
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| August 26, 2004 |
ROYCE FOCUS TRUST, INC. ARTICLES SUPPLEMENTARY Royce Focus Trust, Inc., a Maryland corporation (the "Corporation"), hereby certifies to the State Department of Assessments and Taxation of Maryland that: FIRST: Under a power contained in Article IV of the charter of the Corporation (the "Charter"), the Board of Directors of the Corporation (the "Board of Directors"), by resolutions duly adopted, ha |
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| August 26, 2004 |
NSAR Sub-Item 77D (g) Royce Focus Trust, Inc. On June 10-11, 2004, the Board of Directors of Royce Focus Trust, Inc. (the "Fund") voted to amend the Fund's non-fundamental investment policies to require it to normally invest more than 65% of its total assets in common stocks and convertible securities. Previously the Fund's policies had required it to invest more than 75% of its total assets in co |
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| April 23, 2004 |
POWER OF ATTORNEY The undersigned, Arthur S. Mehlman, hereby makes, constitutes and appoints John E. Denneen/Dani Eng as his duly authorized representative, to sign, certify and file on his behalf any Form 3's, Form 4's and/or Form 5's required pursuant to Section 16(a) under the Securities Exchange Act of 1934 or pursuant to Section 30(f) of the Investment Company Act of 1940 and any amendments t |
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| February 27, 2004 |
Exhibit 77O ROYCE FOCUS TRUST, INC. Trade Date Company Name Ticker Broker Members of Selling Syndicate Price Total Shares Purchased Compliance with Rule 10f-3 08/11/03 Direct General DRCT Keefe Bruyette Keefe, Bruyette & Woods; Morgan Keegan; US Bancorp Piper Jaffray; SunTrust Capital Markets; Legg Mason Wood Walker; Raymond James; Advest; Avondale Partners; Ferris, Baker Watts; Putnam, Lovell NBF |
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| February 27, 2004 |
Exhibit 77I ROYCE FOCUS TRUST, INC. The Articles Supplementary establishing and fixing the rights and preferences of the Fund's newly-issued 6.00% Cumulative Preferred Stock is attached herewith as Exhibit 77(Q1). |
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| February 27, 2004 |
EX-99.77Q1 OTHR EXHB 7 artsup1003.htm ROYCE FOCUS TRUST, INC. ARTICLES SUPPLEMENTARY 6.00% CUMULATIVE PREFERRED STOCK ROYCE FOCUS TRUST, INC., a Maryland corporation, having its principal office in Baltimore City, Maryland (hereinafter called the "Corporation"), hereby certifies to the State Department of Assessments and Taxation of Maryland that: FIRST: Under a power contained in Article IV of th |
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| February 27, 2004 |
REPORT OF INDEPENDENT CERTIFIED PUBLIC ACCOUNTANTS ON INTERNAL CONTROL REPORT OF INDEPENDENT CERTIFIED PUBLIC ACCOUNTANTS ON INTERNAL CONTROL Board of Directors Royce Focus Trust, Inc. |
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| February 27, 2004 |
Exhibit 77C ROYCE FOCUS TRUST, INC. At the 2003 Annual Meeting of Stockholders held on September 29, 2003, the Fund's stockholders elected those members of the Board of Directors whose terms would otherwise have expired at the completion of the 2003 Annual Meeting, consisting of (a) Charles M. Royce, (b) G. Peter O'Brien, (c) Stephen L. Isaacs and (d) David L. Meister. Common Stock and Preferred S |
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| January 6, 2004 |
Item 5. Ownership of Five Percent of Less of a Class OMB APPROVAL OMB Number: 3235-0145 Expires: December 31, 2005 estimated average burden hours per response. |
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| October 10, 2003 |
OMB APPROVAL OMB Number: 3235-0145 Expires: December 31, 2005 estimated average burden hours per response. |
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| June 18, 2003 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* Royce Focus Trust, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 78080N108 (CUSIP Number) W. Whitney George, 1414 Avenue of the Americas, New York, New York 10019, (212) 486-1445 (Name, Address and Telephone Number of Person Authorized to Receive N |
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| June 16, 2003 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0145 Expires: December 31, 2005 estimated average burden hours per response. |
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| February 27, 2003 |
Exhibit 77C ROYCE FOCUS TRUST, INC. At the 2002 Annual Meeting of Stockholders held on September 30, 2002, the Fund's stockholders elected the Board of Directors, consisting of (a) Charles M. Royce, (b) Donald R. Dwight, (c) Mark R. Fetting, (d) Richard M. Galkin, (e) Stephen L. Isaacs, (f) William L. Koke, (g) David L. Meister and (h) G. Peter O'Brien. Common Stock and Preferred Stock Voting Toge |
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| February 27, 2003 |
ROYCE FOCUS TRUST, INC. ARTICLES SUPPLEMENTARY Royce Focus Trust, Inc., a Maryland corporation (the "Corporation"), hereby certifies to the State Department of Assessments and Taxation of Maryland (the "SDAT"), that: FIRST: Under a power contained in Title 3, Subtitle 8 of the Maryland General Corporation Law (the "MGCL"), the Corporation, by resolutions of its Board of Directors (the "Board of Di |
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| February 27, 2003 |
EXHIBIT 77Q3 TO FORM N-SAR Registrant Name: Royce Focus Trust, Inc. File Number: 811-05379 Registrant CIK Number: 0000825202 Sub-Item 77Q3 Exhibit 77Q3-1 (a)(i) The Principal Executive and Financial Officers concluded that the Registrant's Disclosure Controls and Procedures are effective based on their evaluation of the Disclosure Controls and Procedures as of a date within 90 days of the filing d |
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| February 27, 2003 |
REPORT OF INDEPENDENT CERTIFIED PUBLIC ACCOUNTANTS ON INTERNAL CONTROL EX-99.77B ACCT LTTR 3 rft77b02.htm REPORT OF INDEPENDENT CERTIFIED PUBLIC ACCOUNTANTS ON INTERNAL CONTROL Board of Directors Royce Focus Trust, Inc. New York, New York In planning and performing our audit of the financial statements of Royce Focus Trust, Inc. for the year ended December 31, 2002, we considered its internal control, including control activities for safeguarding securities, in order |
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| February 27, 2003 |
Exhibit 77D (g) On September 12, 2002, the Fund's board of directors/trustees approved a change in the Fund's definition of foreign security as described below: Old definition: All securities issued by companies not domiciled in the U. |
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| February 27, 2003 |
AMENDED AND RESTATED ROYCE FOCUS TRUST, INC. A Maryland Corporation AMENDED AND RESTATED BYLAWS OF ROYCE FOCUS TRUST, INC. A Maryland Corporation ARTICLE I MEETINGS OF STOCKHOLDERS SECTION 1. Place. All meetings of stockholders of Royce Focus Trust, Inc. (the "Corporation") shall be held in the United States at the principal executive office of the Corporation or at such other place as shall be set by the Board of Directors and stated in the notice of the meeting. |
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| November 5, 2002 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* Royce Focus Trust, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 78080N108 (CUSIP Number) W. Whitney George, 1414 Avenue of the Americas, New York, New York 10019, (212) 486-1445 (Name, Address and Telephone Number of Person Authorized to Receive No |
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| September 24, 2002 |
As filed with the Securities and Exchange Commission on September 24, 2002 As filed with the Securities and Exchange Commission on September 24, 2002 SCHEDULE 14A (Rule 14a-101) Information required in Proxy Statement Schedule 14A Information Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [ ] Definitive Proxy Statement [X] Definitive Additional Materials [ ] Soliciting Material Pursuant to ‘SS’240. |
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| February 28, 2002 |
REPORT OF INDEPENDENT CERTIFIED PUBLIC ACCOUNTANTS ON INTERNAL CONTROL REPORT OF INDEPENDENT CERTIFIED PUBLIC ACCOUNTANTS ON INTERNAL CONTROL Board of Directors Royce Focus Trust, Inc. |
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| February 28, 2002 |
ROYCE FOCUS TRUST, INC. At the 2001 Annual Meeting of Stockholders held on September 14, 2001, the Fund's stockholders: (i) approved a new Investment Advisory Agreement for the Fund and (ii) elected the board of directors, consisting of (a) Charles M. Royce, (b) Donald R. Dwight, (c) Mark R. Fetting, (d) Richard M. Galkin, (e) Stephen L. Isaacs, (f) William L. Koke, (g) David L. Meister and (h) G. |
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| February 28, 2002 |
INVESTMENT ADVISORY AGREEMENT BETWEEN ROYCE FOCUS TRUST, INC. AND ROYCE & ASSOCIATES, INC. INVESTMENT ADVISORY AGREEMENT BETWEEN ROYCE FOCUS TRUST, INC. AND ROYCE & ASSOCIATES, INC. Agreement made this 1st day of October, 2001, by and between ROYCE FOCUS TRUST, INC., a Maryland corporation (the "Fund"), and ROYCE & ASSOCIATES, INC., a New York corporation (the "Adviser"). The Fund and the Adviser hereby agree as follows: 1. Duties of the Adviser. The Adviser shall, during the term and s |
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| February 28, 2002 |
NSAR Sub-Item 77Q2 Section 16(a) Beneficial Ownership Reporting Compliance Two non-management directors of Royce & Associates, Inc. |
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| August 27, 2001 |
AMENDED AND RESTATED ROYCE FOCUS TRUST, INC. A Maryland Corporation AMENDED AND RESTATED BYLAWS OF ROYCE FOCUS TRUST, INC. A Maryland Corporation ARTICLE I STOCKHOLDERS SECTION 1. Annual Meetings. The annual meeting of the stockholders of Royce Focus Trust, Inc. (the "Corporation") shall be held on a date fixed from time to time by the Board of Directors within the thirty-one (31) day period ending on September 30 of each calendar year. An annual meeting may be he |
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| February 27, 2001 |
REPORT OF INDEPENDENT CERTIFIED PUBLIC ACCOUNTANTS ON INTERNAL CONTROL STRUCTURE REPORT OF INDEPENDENT CERTIFIED PUBLIC ACCOUNTANTS ON INTERNAL CONTROL STRUCTURE Board of Directors Royce Focus Trust, Inc. |
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| August 22, 2000 |
ROYCE FOCUS TRUST, INC. Form N-SAR attachment for period ending 6/30/00 ROYCE FOCUS TRUST, INC. Form N-SAR attachment for period ending 6/30/00 Item 77(C) At the 2000 Annual Meeting of Stockholders held on April 26, 2000, the Fund's stockholders: (i) elected the board of directors, consisting of (a) Charles M. Royce, (b) Donald R. Dwight, (c) Richard M. Galkin, (d) Stephen L. Isaacs, (e) William L. Koke and (f) David L. Meister and (ii) ratified the selection of Tait, |
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| August 22, 2000 |
ROYCE FOCUS TRUST, INC. Form N-SAR attachment for period ending 6/30/00 ROYCE FOCUS TRUST, INC. Form N-SAR attachment for period ending 6/30/00 Item 77(C) At the 2000 Annual Meeting of Stockholders held on April 26, 2000, the Fund's stockholders: (i) elected the board of directors, consisting of (a) Charles M. Royce, (b) Donald R. Dwight, (c) Richard M. Galkin, (d) Stephen L. Isaacs, (e) William L. Koke and (f) David L. Meister and (ii) ratified the selection of Tait, |
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| August 22, 2000 |
AMENDED AND RESTATED BYLAWS OF ROYCE FOCUS TRUST, INC. A Maryland Corporation ARTICLE I STOCKHOLDERS| SECTION 1. Annual Meetings. The annual meeting of the stockholders of Royce Focus Trust, Inc. (the "Corporation") shall be held on a date fixed from time to time by the Board of Directors within the thirty-one (31) day period ending on April 30 of each calendar year. An annual meeting may be held |
