Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Oxford Park Income Fund, Inc.NONE · Entity 49930 | 10% owner | April 03, 2023 | April 03, 2023 |
| Oxford Square Capital Corp.OXSQ · Entity 6547 | Director | June 14, 2023 | July 07, 2023 |
| ROYCE GLOBAL TRUST, INC.RGT · Entity 6751 | Sr. Advisor Royce & Associates | November 10, 2025 | November 12, 2025 |
| ROYCE MICRO-CAP TRUST, INC.RMT · Entity 5175 | Sr. Advisor Royce & Associates | November 05, 2025 | November 06, 2025 |
| ROYCE SMALL-CAP TRUST, INC.RVT · Entity 4424 | Sr. Advisor Royce & Associates | June 26, 2025 | June 27, 2025 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Oxford Park Income Fund, Inc.
Report date April 03, 2023 · Filed April 03, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectHeld by Royce Family Investments, LLC | 10,000 |
Reported balance
Holding disclosure · report date 2023-04-03 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 10,000 |
Oxford Square Capital Corp.
Report date June 14, 2023 · Filed July 07, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectHeld by Royce Family Investments, LLC | 1,727,510 |
Reported balance
After 2023-06-14 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2023-06-14 · Other · Acquired 497,208 · Balance 1,727,510 |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectHeld by Royce Family Fund, Inc. | 392,285 |
Reported balance
After 2023-06-14 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2023-06-14 · Other · Acquired 98,071 · Balance 392,285 |
| Transferable Subscription Rights (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.66 · Expires 2023-06-14 | IndirectHeld by Royce Family Investments, LLC | 0 |
Reported balance
After 2023-06-14 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2023-06-14 · Other · Disposed 497,208 · Balance 0 F1: On May 10, 2023, Oxford Square Capital Corp. (the "Company") announced the commencement of a pro rata offering (the "Rights Offering") of transferable rights (the "Rights") to holders of the Company's common shares, as of the record date of May 23, 2023 ("Record Date Shareholder"), entitling the holders of such rights to subscribe for up to an aggregate of 16,633,723 of the Company's common shares. Record Date Shareholders received one Right for every three common shares held on the record date. The Rights entitle their holders to purchase one new common share for every one Right held. The subscription price per common share is $2.66 (the "basic subscription privilege"). The subscription rights expired if they were not exercised by 5:00 p.m. Eastern time on June 14, 2023. F2: The Rights Offering also included an oversubscription privilege, which entitled holders who fully exercised their basic subscription privilege the right to purchase at a price of $2.66 per common share additional common shares of the Company, subject to availability and pro rata allocation of shares among Record Date Shareholders exercising such oversubscription privilege. Includes approximately 87,108 shares issued pursuant to the over-subscription privilege in connection with the Rights Offering. The amount of shares issued pursuant to such over-subscription privilege to each exercising rights holder was determined on June 22, 2023. |
| Transferable Subscription Rights (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.66 · Expires 2023-06-14 | IndirectHeld by Royce Family Fund, Inc. | 0 |
Reported balance
After 2023-06-14 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2023-06-14 · Other · Disposed 98,071 · Balance 0 F1: On May 10, 2023, Oxford Square Capital Corp. (the "Company") announced the commencement of a pro rata offering (the "Rights Offering") of transferable rights (the "Rights") to holders of the Company's common shares, as of the record date of May 23, 2023 ("Record Date Shareholder"), entitling the holders of such rights to subscribe for up to an aggregate of 16,633,723 of the Company's common shares. Record Date Shareholders received one Right for every three common shares held on the record date. The Rights entitle their holders to purchase one new common share for every one Right held. The subscription price per common share is $2.66 (the "basic subscription privilege"). The subscription rights expired if they were not exercised by 5:00 p.m. Eastern time on June 14, 2023. |
Filing footnotes · ownership attribution and instrument terms
F1: On May 10, 2023, Oxford Square Capital Corp. (the "Company") announced the commencement of a pro rata offering (the "Rights Offering") of transferable rights (the "Rights") to holders of the Company's common shares, as of the record date of May 23, 2023 ("Record Date Shareholder"), entitling the holders of such rights to subscribe for up to an aggregate of 16,633,723 of the Company's common shares. Record Date Shareholders received one Right for every three common shares held on the record date. The Rights entitle their holders to purchase one new common share for every one Right held. The subscription price per common share is $2.66 (the "basic subscription privilege"). The subscription rights expired if they were not exercised by 5:00 p.m. Eastern time on June 14, 2023.
F2: The Rights Offering also included an oversubscription privilege, which entitled holders who fully exercised their basic subscription privilege the right to purchase at a price of $2.66 per common share additional common shares of the Company, subject to availability and pro rata allocation of shares among Record Date Shareholders exercising such oversubscription privilege. Includes approximately 87,108 shares issued pursuant to the over-subscription privilege in connection with the Rights Offering. The amount of shares issued pursuant to such over-subscription privilege to each exercising rights holder was determined on June 22, 2023.
ROYCE GLOBAL TRUST, INC.
Report date November 10, 2025 · Filed November 12, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectFamily Investment Entity | 549,346 |
Reported balance
After 2025-11-12 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2025-11-12 · Sale · Disposed 29,663 · Balance 549,346 F1: Shares held in a family investment entity of which the reporting person is the sole managing member and in which the reporting person has a substantial pecuniary interest (which may vary from time to time). The reporting person disclaims beneficial ownership of the portion of such shares owned the by the family investment entity in which he has no pecuniary interest. |
| Common StockSEC Table I · non-derivative | IndirectFamily Investment Entity | 579,009 |
Reported balance
After 2025-11-11 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2025-11-11 · Sale · Disposed 65,266 · Balance 579,009 F1: Shares held in a family investment entity of which the reporting person is the sole managing member and in which the reporting person has a substantial pecuniary interest (which may vary from time to time). The reporting person disclaims beneficial ownership of the portion of such shares owned the by the family investment entity in which he has no pecuniary interest. |
| Common StockSEC Table I · non-derivative | IndirectFamily Investment Entity | 644,275 |
Reported balance
After 2025-11-10 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 3 · 2025-11-10 · Sale · Disposed 36,075 · Balance 644,275 F1: Shares held in a family investment entity of which the reporting person is the sole managing member and in which the reporting person has a substantial pecuniary interest (which may vary from time to time). The reporting person disclaims beneficial ownership of the portion of such shares owned the by the family investment entity in which he has no pecuniary interest. |
| Common StockSEC Table I · non-derivative | IndirectShares held in the Royce Charitable Trust | 122,881 |
Reported balance
Holding disclosure · report date 2025-11-10 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 122,881 |
Filing footnotes · ownership attribution and instrument terms
F1: Shares held in a family investment entity of which the reporting person is the sole managing member and in which the reporting person has a substantial pecuniary interest (which may vary from time to time). The reporting person disclaims beneficial ownership of the portion of such shares owned the by the family investment entity in which he has no pecuniary interest.
ROYCE MICRO-CAP TRUST, INC.
Report date November 05, 2025 · Filed November 06, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 596,926 |
Reported balance
After 2025-11-05 transaction · row 1
1 source rowRow 1 · 2025-11-05 · Sale · Disposed 200,000 · Balance 596,926 |
| Common StockSEC Table I · non-derivative | IndirectShares held in the Royce Charitable Trust | 457,070 |
Reported balance
Holding disclosure · report date 2025-11-05 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 457,070 |
| Common StockSEC Table I · non-derivative | IndirectFamily Investment Entity | 26,074 |
Reported balance
Holding disclosure · report date 2025-11-05 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 26,074 F1: Shares held in a family investment entity of which the reporting person is the sole managing member and in which the reporting person has a substantial pecuniary interest (which may vary from time to time). The reporting person disclaims beneficial ownership of the portion of such shares owned the by the family investment entity in which he has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares held in a family investment entity of which the reporting person is the sole managing member and in which the reporting person has a substantial pecuniary interest (which may vary from time to time). The reporting person disclaims beneficial ownership of the portion of such shares owned the by the family investment entity in which he has no pecuniary interest.
ROYCE SMALL-CAP TRUST, INC.
Report date June 26, 2025 · Filed June 27, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectFamily Investment Entity | 86,938 |
Reported balance
After 2025-06-26 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2025-06-26 · Sale · Disposed 21,735 · Balance 86,938 F1: Shares held in a family investment entity of which the reporting person is the sole managing member and in which the reporting person has a substantial pecuniary interest (which may vary from time to time). The reporting person disclaims beneficial ownership of the portion of such shares owned the by the family investment entity in which he has no pecuniary interest. |
| Common StockSEC Table I · non-derivative | IndirectShares in the Royce Charitable Trust | 147,962 |
Reported balance
Holding disclosure · report date 2025-06-26 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 147,962 |
| Common StockSEC Table I · non-derivative | Direct | 100,491 |
Reported balance
Holding disclosure · report date 2025-06-26 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 100,491 |
Filing footnotes · ownership attribution and instrument terms
F1: Shares held in a family investment entity of which the reporting person is the sole managing member and in which the reporting person has a substantial pecuniary interest (which may vary from time to time). The reporting person disclaims beneficial ownership of the portion of such shares owned the by the family investment entity in which he has no pecuniary interest.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| November 12, 2025 Filed Nov 12, 2025 16:28 UTC | ROYCE GLOBAL TRUST, INC. RGT · Entity 6751 | SaleCommon Stock | 29,663 | $12.54 | $371,974.02 |
DisclosureSEC source: 0000906304-25-000250 · form4.xml · nonDerivative · entry 1 ROYCE CHARLES M · CIK 0001009121 · Sr. Advisor Royce & Associates 10b5-1 filing: No plan indicated Ownership: Indirect · Family Investment Entity Disclosed balance after: 549,346 F1 · ownership.nature: Shares held in a family investment entity of which the reporting person is the sole managing member and in which the reporting person has a substantial pecuniary interest (which may vary from time to time). The reporting person disclaims beneficial ownership of the portion of such shares owned the by the family investment entity in which he has no pecuniary interest. Read SEC document |
| November 11, 2025 Filed Nov 12, 2025 16:28 UTC | ROYCE GLOBAL TRUST, INC. RGT · Entity 6751 | SaleCommon Stock | 65,266 | $12.52 | $817,130.32 |
DisclosureSEC source: 0000906304-25-000250 · form4.xml · nonDerivative · entry 2 ROYCE CHARLES M · CIK 0001009121 · Sr. Advisor Royce & Associates 10b5-1 filing: No plan indicated Ownership: Indirect · Family Investment Entity Disclosed balance after: 579,009 F1 · ownership.nature: Shares held in a family investment entity of which the reporting person is the sole managing member and in which the reporting person has a substantial pecuniary interest (which may vary from time to time). The reporting person disclaims beneficial ownership of the portion of such shares owned the by the family investment entity in which he has no pecuniary interest. Read SEC document |
| November 10, 2025 Filed Nov 12, 2025 16:28 UTC | ROYCE GLOBAL TRUST, INC. RGT · Entity 6751 | SaleCommon Stock | 36,075 | $12.49 | $450,576.75 |
DisclosureSEC source: 0000906304-25-000250 · form4.xml · nonDerivative · entry 3 ROYCE CHARLES M · CIK 0001009121 · Sr. Advisor Royce & Associates 10b5-1 filing: No plan indicated Ownership: Indirect · Family Investment Entity Disclosed balance after: 644,275 F1 · ownership.nature: Shares held in a family investment entity of which the reporting person is the sole managing member and in which the reporting person has a substantial pecuniary interest (which may vary from time to time). The reporting person disclaims beneficial ownership of the portion of such shares owned the by the family investment entity in which he has no pecuniary interest. Read SEC document |
| November 07, 2025 Filed Nov 7, 2025 16:47 UTC | ROYCE GLOBAL TRUST, INC. RGT · Entity 6751 | SaleConmon Stock | 2,533 | $12.44 | $31,510.52 |
DisclosureSEC source: 0000906304-25-000244 · form4.xml · nonDerivative · entry 1 ROYCE CHARLES M · CIK 0001009121 · Sr. Advisor Royce & Associates 10b5-1 filing: No plan indicated Ownership: Indirect · Family Investment Entity Disclosed balance after: 680,350 F1 · ownership.nature: Shares held in a family investment entity of which the reporting person is the sole managing member and in which the reporting person has a substantial pecuniary interest (which may vary from time to time). The reporting person disclaims beneficial ownership of the portion of shares owned by the family investment entity in which he has no pecuniary interest. Read SEC document |
| November 06, 2025 Filed Nov 7, 2025 16:47 UTC | ROYCE GLOBAL TRUST, INC. RGT · Entity 6751 | SaleConmon Stock | 8,031 | $12.59 | $101,110.29 |
DisclosureSEC source: 0000906304-25-000244 · form4.xml · nonDerivative · entry 2 ROYCE CHARLES M · CIK 0001009121 · Sr. Advisor Royce & Associates 10b5-1 filing: No plan indicated Ownership: Indirect · Family Investment Entity Disclosed balance after: 682,883 F1 · ownership.nature: Shares held in a family investment entity of which the reporting person is the sole managing member and in which the reporting person has a substantial pecuniary interest (which may vary from time to time). The reporting person disclaims beneficial ownership of the portion of shares owned by the family investment entity in which he has no pecuniary interest. Read SEC document |
| November 05, 2025 Filed Nov 6, 2025 20:02 UTC | ROYCE MICRO-CAP TRUST, INC. RMT · Entity 5175 | SaleCommon Stock | 200,000 | $10.27 | $2,054,000.00 |
DisclosureSEC source: 0000906304-25-000240 · form4.xml · nonDerivative · entry 1 ROYCE CHARLES M · CIK 0001009121 · Sr. Advisor Royce & Associates 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 596,926 Read SEC document |
| November 05, 2025 Filed Nov 6, 2025 15:58 UTC | ROYCE GLOBAL TRUST, INC. RGT · Entity 6751 | SaleCommon Stock | 8,432 | $12.61 | $106,327.52 |
DisclosureSEC source: 0000906304-25-000241 · form4.xml · nonDerivative · entry 1 ROYCE CHARLES M · CIK 0001009121 · Sr. Advisor Royce & Associates 10b5-1 filing: No plan indicated Ownership: Indirect · Family Investment Entity Disclosed balance after: 690,914 F1 · ownership.nature: Shares held in a family investment entity of which the reporting person is the sole managing member and in which the reporting person has a substantial pecuniary interest (which may vary from time to time). The reporting person disclaims beneficial ownership of the portion of such shares owned the by the family investment entity in which he has no pecuniary interest. Read SEC document |
| June 27, 2025 Filed Jun 27, 2025 16:24 UTC | ROYCE GLOBAL TRUST, INC. RGT · Entity 6751 | SaleCommon Stock | 38,125 | $11.89 | $453,306.25 |
DisclosureSEC source: 0001514490-25-000004 · form4.xml · nonDerivative · entry 1 ROYCE CHARLES M · CIK 0001009121 · Sr. Advisor Royce & Associates 10b5-1 filing: No plan indicated Ownership: Indirect · Family Investment Entity Disclosed balance after: 699,345 F1 · ownership.nature: Shares held in a family investment entity of which the reporting person is the sole managing member and in which the reporting person has a substantial pecuniary interest (which may vary from time to time). The reporting person disclaims beneficial ownership of the portion of such shares owned the by the family investment entity in which he has no pecuniary interest. Read SEC document |
| June 26, 2025 Filed Jun 27, 2025 20:23 UTC | ROYCE SMALL-CAP TRUST, INC. RVT · Entity 4424 | SaleCommon Stock | 21,735 | $14.96 | $325,155.60 |
DisclosureSEC source: 0000804116-25-000008 · form4.xml · nonDerivative · entry 1 ROYCE CHARLES M · CIK 0001009121 · Sr. Advisor Royce & Associates 10b5-1 filing: No plan indicated Ownership: Indirect · Family Investment Entity Disclosed balance after: 86,938 F1 · ownership.nature: Shares held in a family investment entity of which the reporting person is the sole managing member and in which the reporting person has a substantial pecuniary interest (which may vary from time to time). The reporting person disclaims beneficial ownership of the portion of such shares owned the by the family investment entity in which he has no pecuniary interest. Read SEC document |
| June 26, 2025 Filed Jun 27, 2025 16:24 UTC | ROYCE GLOBAL TRUST, INC. RGT · Entity 6751 | SaleCommon Stock | 11,875 | $11.93 | $141,668.75 |
DisclosureSEC source: 0001514490-25-000004 · form4.xml · nonDerivative · entry 2 ROYCE CHARLES M · CIK 0001009121 · Sr. Advisor Royce & Associates 10b5-1 filing: No plan indicated Ownership: Indirect · Family Investment Entity Disclosed balance after: 737,470 F1 · ownership.nature: Shares held in a family investment entity of which the reporting person is the sole managing member and in which the reporting person has a substantial pecuniary interest (which may vary from time to time). The reporting person disclaims beneficial ownership of the portion of such shares owned the by the family investment entity in which he has no pecuniary interest. Read SEC document |
| May 06, 2025 Filed May 6, 2025 17:54 UTC | ROYCE MICRO-CAP TRUST, INC. RMT · Entity 5175 | SaleCommon Stock | 2,042 | $8.17 | $16,683.14 |
DisclosureSEC source: 0000912147-25-000026 · form4.xml · nonDerivative · entry 1 ROYCE CHARLES M · CIK 0001009121 · Sr. Advisor Royce & Associates 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 796,928 Read SEC document |
| May 05, 2025 Filed May 6, 2025 17:54 UTC | ROYCE MICRO-CAP TRUST, INC. RMT · Entity 5175 | SaleCommon Stock | 7,570 | $8.31 | $62,906.70 |
DisclosureSEC source: 0000912147-25-000026 · form4.xml · nonDerivative · entry 3 ROYCE CHARLES M · CIK 0001009121 · Sr. Advisor Royce & Associates 10b5-1 filing: No plan indicated Ownership: Indirect · Shares held in the Royce Charitable Trust Disclosed balance after: 457,070 Read SEC document |
| May 05, 2025 Filed May 6, 2025 17:54 UTC | ROYCE MICRO-CAP TRUST, INC. RMT · Entity 5175 | SaleCommon Stock | 43,229 | $8.31 | $359,232.99 |
DisclosureSEC source: 0000912147-25-000026 · form4.xml · nonDerivative · entry 2 ROYCE CHARLES M · CIK 0001009121 · Sr. Advisor Royce & Associates 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 798,970 Read SEC document |
| May 02, 2025 Filed May 5, 2025 20:18 UTC | ROYCE MICRO-CAP TRUST, INC. RMT · Entity 5175 | SaleCommon Stock | 43,230 | $8.33 | $360,105.90 |
DisclosureSEC source: 0000912147-25-000024 · form4.xml · nonDerivative · entry 2 ROYCE CHARLES M · CIK 0001009121 · Sr. Advisor Royce & Associates 10b5-1 filing: No plan indicated Ownership: Indirect · Shares held in the Royce Charitable Trust Disclosed balance after: 464,640 Read SEC document |
| May 02, 2025 Filed May 5, 2025 20:18 UTC | ROYCE MICRO-CAP TRUST, INC. RMT · Entity 5175 | SaleCommon Stock | 43,229 | $8.33 | $360,097.57 |
DisclosureSEC source: 0000912147-25-000024 · form4.xml · nonDerivative · entry 1 ROYCE CHARLES M · CIK 0001009121 · Sr. Advisor Royce & Associates 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 842,199 Read SEC document |
| April 17, 2025 Filed Apr 17, 2025 19:02 UTC | ROYCE MICRO-CAP TRUST, INC. RMT · Entity 5175 | SaleCommon Stock | 76,354 | $7.83 | $597,851.82 |
DisclosureSEC source: 0000912147-25-000022 · form4.xml · nonDerivative · entry 1 ROYCE CHARLES M · CIK 0001009121 · Sr. Advisor Royce & Associates 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 885,428 Read SEC document |
| April 16, 2025 Filed Apr 17, 2025 19:02 UTC | ROYCE MICRO-CAP TRUST, INC. RMT · Entity 5175 | SaleCommon Stock | 9,160 | $7.87 | $72,089.20 |
DisclosureSEC source: 0000912147-25-000022 · form4.xml · nonDerivative · entry 2 ROYCE CHARLES M · CIK 0001009121 · Sr. Advisor Royce & Associates 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 961,782 Read SEC document |
| February 19, 2025 Filed Feb 19, 2025 21:48 UTC | ROYCE MICRO-CAP TRUST, INC. RMT · Entity 5175 | SaleCommon Stock | 100,000 | $9.92 | $991,700.00 |
DisclosureSEC source: 0000912147-25-000010 · form4.xml · nonDerivative · entry 2 ROYCE CHARLES M · CIK 0001009121 · Sr. Advisor Royce & Associates 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 970,942 Read SEC document |
| February 18, 2025 Filed Feb 19, 2025 21:48 UTC | ROYCE MICRO-CAP TRUST, INC. RMT · Entity 5175 | SaleCommon Stock | 50,000 | $9.97 | $498,400.00 |
DisclosureSEC source: 0000912147-25-000010 · form4.xml · nonDerivative · entry 1 ROYCE CHARLES M · CIK 0001009121 · Sr. Advisor Royce & Associates 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,070,942 Read SEC document |
| January 31, 2025 Filed Feb 3, 2025 21:00 UTC | ROYCE MICRO-CAP TRUST, INC. RMT · Entity 5175 | SaleCommon Stock | 50,000 | $9.94 | $497,000.00 |
DisclosureSEC source: 0000912147-25-000004 · form4.xml · nonDerivative · entry 4 ROYCE CHARLES M · CIK 0001009121 · Sr. Advisor Royce & Associates 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,120,942 Read SEC document |
| January 30, 2025 Filed Feb 3, 2025 21:00 UTC | ROYCE MICRO-CAP TRUST, INC. RMT · Entity 5175 | SaleCommon Stock | 50,000 | $9.93 | $496,500.00 |
DisclosureSEC source: 0000912147-25-000004 · form4.xml · nonDerivative · entry 3 ROYCE CHARLES M · CIK 0001009121 · Sr. Advisor Royce & Associates 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,170,942 Read SEC document |
| January 30, 2025 Filed Feb 3, 2025 21:00 UTC | ROYCE MICRO-CAP TRUST, INC. RMT · Entity 5175 | SaleCommon Stock | 50,000 | $9.96 | $498,000.00 |
DisclosureSEC source: 0000912147-25-000004 · form4.xml · nonDerivative · entry 2 ROYCE CHARLES M · CIK 0001009121 · Sr. Advisor Royce & Associates 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,220,942 Read SEC document |
| January 29, 2025 Filed Feb 3, 2025 21:00 UTC | ROYCE MICRO-CAP TRUST, INC. RMT · Entity 5175 | SaleCommon Stock | 50,000 | $9.88 | $494,000.00 |
DisclosureSEC source: 0000912147-25-000004 · form4.xml · nonDerivative · entry 1 ROYCE CHARLES M · CIK 0001009121 · Sr. Advisor Royce & Associates 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,270,942 Read SEC document |
| June 14, 2023 Filed Jul 7, 2023 12:44 UTC | Oxford Square Capital Corp. OXSQ · Entity 6547 | OtherTransferable Subscription Rights (right to buy) · Derivative | 98,071 | $0.00 Strike: $2.66 | $0.00 |
DisclosureSEC source: 0001213900-23-055412 · ownership.xml · derivative · entry 4 ROYCE CHARLES M · CIK 0001009121 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · Held by Royce Family Fund, Inc. Disclosed balance after: 0 Underlying: Common Stock · 98,071 shares Expires 2023-06-14 F1 · security: On May 10, 2023, Oxford Square Capital Corp. (the "Company") announced the commencement of a pro rata offering (the "Rights Offering") of transferable rights (the "Rights") to holders of the Company's common shares, as of the record date of May 23, 2023 ("Record Date Shareholder"), entitling the holders of such rights to subscribe for up to an aggregate of 16,633,723 of the Company's common shares. Record Date Shareholders received one Right for every three common shares held on the record date. The Rights entitle their holders to purchase one new common share for every one Right held. The subscription price per common share is $2.66 (the "basic subscription privilege"). The subscription rights expired if they were not exercised by 5:00 p.m. Eastern time on June 14, 2023. Read SEC document |
| June 14, 2023 Filed Jul 7, 2023 12:44 UTC | Oxford Square Capital Corp. OXSQ · Entity 6547 | OtherTransferable Subscription Rights (right to buy) · Derivative | 497,208 | $0.00 Strike: $2.66 | $0.00 |
DisclosureSEC source: 0001213900-23-055412 · ownership.xml · derivative · entry 3 ROYCE CHARLES M · CIK 0001009121 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · Held by Royce Family Investments, LLC Disclosed balance after: 0 Underlying: Common stock · 497,208 shares Expires 2023-06-14 F1 · security: On May 10, 2023, Oxford Square Capital Corp. (the "Company") announced the commencement of a pro rata offering (the "Rights Offering") of transferable rights (the "Rights") to holders of the Company's common shares, as of the record date of May 23, 2023 ("Record Date Shareholder"), entitling the holders of such rights to subscribe for up to an aggregate of 16,633,723 of the Company's common shares. Record Date Shareholders received one Right for every three common shares held on the record date. The Rights entitle their holders to purchase one new common share for every one Right held. The subscription price per common share is $2.66 (the "basic subscription privilege"). The subscription rights expired if they were not exercised by 5:00 p.m. Eastern time on June 14, 2023. F2 · shares: The Rights Offering also included an oversubscription privilege, which entitled holders who fully exercised their basic subscription privilege the right to purchase at a price of $2.66 per common share additional common shares of the Company, subject to availability and pro rata allocation of shares among Record Date Shareholders exercising such oversubscription privilege. Includes approximately 87,108 shares issued pursuant to the over-subscription privilege in connection with the Rights Offering. The amount of shares issued pursuant to such over-subscription privilege to each exercising rights holder was determined on June 22, 2023. F2 · derivative.underlying_shares: The Rights Offering also included an oversubscription privilege, which entitled holders who fully exercised their basic subscription privilege the right to purchase at a price of $2.66 per common share additional common shares of the Company, subject to availability and pro rata allocation of shares among Record Date Shareholders exercising such oversubscription privilege. Includes approximately 87,108 shares issued pursuant to the over-subscription privilege in connection with the Rights Offering. The amount of shares issued pursuant to such over-subscription privilege to each exercising rights holder was determined on June 22, 2023. Read SEC document |
| June 14, 2023 Filed Jul 7, 2023 12:44 UTC | Oxford Square Capital Corp. OXSQ · Entity 6547 | OtherCommon Stock, par value $0.01 per share | 98,071 | $2.66 | $260,868.86 |
DisclosureSEC source: 0001213900-23-055412 · ownership.xml · nonDerivative · entry 2 ROYCE CHARLES M · CIK 0001009121 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · Held by Royce Family Fund, Inc. Disclosed balance after: 392,285 Read SEC document |
| June 14, 2023 Filed Jul 7, 2023 12:44 UTC | Oxford Square Capital Corp. OXSQ · Entity 6547 | OtherCommon Stock, par value $0.01 per share | 497,208 | $2.66 | $1,322,573.28 |
DisclosureSEC source: 0001213900-23-055412 · ownership.xml · nonDerivative · entry 1 ROYCE CHARLES M · CIK 0001009121 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · Held by Royce Family Investments, LLC Disclosed balance after: 1,727,510 Read SEC document |
| December 29, 2021 Filed Dec 30, 2021 19:23 UTC | ROYCE SMALL-CAP TRUST, INC. RVT · Entity 4424 | GiftCommon Stock | 125,000 | $19.29 | $2,411,250.00 |
DisclosureSEC source: 0001567619-21-022661 · doc1.xml · nonDerivative · entry 1 ROYCE CHARLES M · CIK 0001009121 · Portfolio Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,490 F2 · kind: Gift of shares to The Royce Charitable Trust. Read SEC document |
| December 29, 2021 Filed Dec 30, 2021 19:27 UTC | ROYCE MICRO-CAP TRUST, INC. RMT · Entity 5175 | GiftCommon Stock | 420,000 | $11.57 | $4,859,400.00 |
DisclosureSEC source: 0001567619-21-022663 · doc1.xml · nonDerivative · entry 1 ROYCE CHARLES M · CIK 0001009121 · Portfolio Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,044,038 F2 · kind: Gift of shares to The Royce Charitable Trust. Read SEC document |
| December 29, 2021 Filed Dec 30, 2021 14:30 UTC | ROYCE GLOBAL TRUST, INC. RGT · Entity 6751 | GiftCommon Stock | 119,176 | $13.00 | $1,549,288.00 |
DisclosureSEC source: 0001567619-21-022664 · doc1.xml · nonDerivative · entry 1 ROYCE CHARLES M · CIK 0001009121 · Portfolio Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F2 · kind: Gift of shares to The Royce Charitable Trust. Read SEC document |
| September 21, 2020 Filed Sep 22, 2020 16:05 UTC | ROYCE MICRO-CAP TRUST, INC. RMT · Entity 5175 | SaleCommon Stock | 5,455 | $7.72 | $42,112.60 |
DisclosureSEC source: 0001567619-20-016964 · doc1.xml · nonDerivative · entry 3 ROYCE CHARLES M · CIK 0001009121 · Portfolio Manager 10b5-1 filing: Not disclosed Ownership: Indirect · Family Investment Entity Disclosed balance after: 114,424 F1 · ownership.direct: Shares held in a family investment entity of which the reporting person is the sole managing member and in which the reporting person has a substantial pecuniary interest (which may vary from time to time). The reporting person disclaims beneficial ownership of the portion of such shares owned by the family investment entity in which he has no pecuniary interest. Read SEC document |
| September 21, 2020 Filed Sep 22, 2020 16:05 UTC | ROYCE MICRO-CAP TRUST, INC. RMT · Entity 5175 | SaleCommon Stock | 44,545 | $7.60 | $338,542.00 |
DisclosureSEC source: 0001567619-20-016964 · doc1.xml · nonDerivative · entry 2 ROYCE CHARLES M · CIK 0001009121 · Portfolio Manager 10b5-1 filing: Not disclosed Ownership: Indirect · Family Investment Entity Disclosed balance after: 69,879 F1 · ownership.direct: Shares held in a family investment entity of which the reporting person is the sole managing member and in which the reporting person has a substantial pecuniary interest (which may vary from time to time). The reporting person disclaims beneficial ownership of the portion of such shares owned by the family investment entity in which he has no pecuniary interest. Read SEC document |
| September 21, 2020 Filed Sep 22, 2020 16:05 UTC | ROYCE MICRO-CAP TRUST, INC. RMT · Entity 5175 | SaleCommon Stock | 43,000 | $7.61 | $327,230.00 |
DisclosureSEC source: 0001567619-20-016964 · doc1.xml · nonDerivative · entry 1 ROYCE CHARLES M · CIK 0001009121 · Portfolio Manager 10b5-1 filing: Not disclosed Ownership: Indirect · Family Investment Entity Disclosed balance after: 26,879 F1 · ownership.direct: Shares held in a family investment entity of which the reporting person is the sole managing member and in which the reporting person has a substantial pecuniary interest (which may vary from time to time). The reporting person disclaims beneficial ownership of the portion of such shares owned by the family investment entity in which he has no pecuniary interest. Read SEC document |
| September 18, 2020 Filed Sep 21, 2020 20:48 UTC | ROYCE MICRO-CAP TRUST, INC. RMT · Entity 5175 | SaleCommon Stock | 50,000 | $7.88 | $394,000.00 |
DisclosureSEC source: 0001567619-20-016943 · doc1.xml · nonDerivative · entry 1 ROYCE CHARLES M · CIK 0001009121 · Portfolio Manager 10b5-1 filing: Not disclosed Ownership: Indirect · Family Investment Entity Disclosed balance after: 119,879 F1 · ownership.direct: Shares held in a family investment entity of which the reporting person is the sole managing member and in which the reporting person has a substantial pecuniary interest (which may vary from time to time). The reporting person disclaims beneficial ownership of the portion of such shares owned by the family investment entity in which he has no pecuniary interest. Read SEC document |
| September 17, 2020 Filed Sep 17, 2020 20:21 UTC | ROYCE MICRO-CAP TRUST, INC. RMT · Entity 5175 | SaleCommon Stock | 50,000 | $7.83 | $391,500.00 |
DisclosureSEC source: 0001567619-20-016839 · doc1.xml · nonDerivative · entry 1 ROYCE CHARLES M · CIK 0001009121 · Portfolio Manager 10b5-1 filing: Not disclosed Ownership: Indirect · Family Investment Entity Disclosed balance after: 169,879 F1 · ownership.direct: Shares held in a family investment entity of which the reporting person is the sole managing member and in which the reporting person has a substantial pecuniary interest (which may vary from time to time). The reporting person disclaims beneficial ownership of the portion of such shares owned by the family investment entity in which he has no pecuniary interest. Read SEC document |
| September 16, 2020 Filed Sep 17, 2020 20:21 UTC | ROYCE MICRO-CAP TRUST, INC. RMT · Entity 5175 | SaleCommon Stock | 14,390 | $7.85 | $112,961.50 |
DisclosureSEC source: 0001567619-20-016839 · doc1.xml · nonDerivative · entry 3 ROYCE CHARLES M · CIK 0001009121 · Portfolio Manager 10b5-1 filing: Not disclosed Ownership: Indirect · Family Investment Entity Disclosed balance after: 255,489 F1 · ownership.direct: Shares held in a family investment entity of which the reporting person is the sole managing member and in which the reporting person has a substantial pecuniary interest (which may vary from time to time). The reporting person disclaims beneficial ownership of the portion of such shares owned by the family investment entity in which he has no pecuniary interest. Read SEC document |
| September 16, 2020 Filed Sep 17, 2020 20:21 UTC | ROYCE MICRO-CAP TRUST, INC. RMT · Entity 5175 | SaleCommon Stock | 35,610 | $7.89 | $280,962.90 |
DisclosureSEC source: 0001567619-20-016839 · doc1.xml · nonDerivative · entry 2 ROYCE CHARLES M · CIK 0001009121 · Portfolio Manager 10b5-1 filing: Not disclosed Ownership: Indirect · Family Investment Entity Disclosed balance after: 219,879 F1 · ownership.direct: Shares held in a family investment entity of which the reporting person is the sole managing member and in which the reporting person has a substantial pecuniary interest (which may vary from time to time). The reporting person disclaims beneficial ownership of the portion of such shares owned by the family investment entity in which he has no pecuniary interest. Read SEC document |
| September 15, 2020 Filed Sep 16, 2020 20:39 UTC | ROYCE MICRO-CAP TRUST, INC. RMT · Entity 5175 | SaleCommon Stock | 100,000 | $7.83 | $782,700.00 |
DisclosureSEC source: 0001567619-20-016804 · doc1.xml · nonDerivative · entry 1 ROYCE CHARLES M · CIK 0001009121 · Portfolio Manager 10b5-1 filing: Not disclosed Ownership: Indirect · Family Investment Entity Disclosed balance after: 269,879 F1 · ownership.direct: Shares held in a family investment entity of which the reporting person is the sole managing member and in which the reporting person has a substantial pecuniary interest (which may vary from time to time). The reporting person disclaims beneficial ownership of the portion of such shares owned by the family investment entity in which he has no pecuniary interest. Read SEC document |
| September 14, 2020 Filed Sep 15, 2020 18:39 UTC | ROYCE MICRO-CAP TRUST, INC. RMT · Entity 5175 | SaleCommon Stock | 35,000 | $7.77 | $271,950.00 |
DisclosureSEC source: 0001567619-20-016714 · doc1.xml · nonDerivative · entry 1 ROYCE CHARLES M · CIK 0001009121 · Portfolio Manager 10b5-1 filing: Not disclosed Ownership: Indirect · Family Investment Entity Disclosed balance after: 369,879 F1 · ownership.direct: Shares held in a family investment entity of which the reporting person is the sole managing member and in which the reporting person has a substantial pecuniary interest (which may vary from time to time). The reporting person disclaims beneficial ownership of the portion of such shares owned by the family investment entity in which he has no pecuniary interest. Read SEC document |
| September 02, 2020 Filed Sep 3, 2020 16:38 UTC | ROYCE GLOBAL TRUST, INC. RGT · Entity 6751 | PurchaseCommon Stock | 499,351 | $14.28 | $7,130,732.28 |
DisclosureSEC source: 0001567619-20-016439 · doc1.xml · nonDerivative · entry 1 ROYCE CHARLES M · CIK 0001009121 · Portfolio Manager 10b5-1 filing: Not disclosed Ownership: Indirect · Family Investment Entity Disclosed balance after: 788,056 F1 · ownership.direct: Shares held in a family investment entity of which the reporting person is the sole managing member and in which the reporting person has a substantial pecuniary interest (which may vary from time to time). The reporting person disclaims beneficial ownership of the portion of such shares owned by the family investment entity in which he has no pecuniary interest. Read SEC document |
| April 29, 2020 Filed Apr 30, 2020 16:29 UTC | ROYCE GLOBAL TRUST, INC. RGT · Entity 6751 | PurchaseCommon Stock | 15,000 | $10.19 | $152,850.00 |
DisclosureSEC source: 0001567619-20-008685 · doc1.xml · nonDerivative · entry 1 ROYCE CHARLES M · CIK 0001009121 · Portfolio Manager 10b5-1 filing: Not disclosed Ownership: Indirect · Family Investment Entity Disclosed balance after: 288,705 F1 · ownership.direct: Shares held in a family investment entity of which the reporting person is the sole managing member and in which the reporting person has a substantial pecuniary interest (which may vary from time to time). The reporting person disclaims beneficial ownership of the portion of such shares owned by the family investment entity in which he has no pecuniary interest. Read SEC document |
| April 28, 2020 Filed Apr 29, 2020 16:28 UTC | ROYCE GLOBAL TRUST, INC. RGT · Entity 6751 | PurchaseCommon Stock | 25,000 | $9.76 | $243,875.00 |
DisclosureSEC source: 0001567619-20-008604 · doc1.xml · nonDerivative · entry 1 ROYCE CHARLES M · CIK 0001009121 · Portfolio Manager 10b5-1 filing: Not disclosed Ownership: Indirect · Family Investment Entity Disclosed balance after: 273,705 F1 · ownership.direct: Shares held in a family investment entity of which the reporting person is the sole managing member and in which the reporting person has a substantial pecuniary interest (which may vary from time to time). The reporting person disclaims beneficial ownership of the portion of such shares owned by the family investment entity in which he has no pecuniary interest. Read SEC document |
| April 24, 2020 Filed Apr 24, 2020 17:14 UTC | ROYCE GLOBAL TRUST, INC. RGT · Entity 6751 | PurchaseCommon Stock | 15,000 | $9.39 | $140,850.00 |
DisclosureSEC source: 0001567619-20-008422 · doc1.xml · nonDerivative · entry 1 ROYCE CHARLES M · CIK 0001009121 · Portfolio Manager 10b5-1 filing: Not disclosed Ownership: Indirect · Family Investment Entity Disclosed balance after: 248,705 F1 · ownership.direct: Shares held in a family investment entity of which the reporting person is the sole managing member and in which the reporting person has a substantial pecuniary interest (which may vary from time to time). The reporting person disclaims beneficial ownership of the portion of such shares owned by the family investment entity in which he has no pecuniary interest. Read SEC document |
| April 23, 2020 Filed Apr 24, 2020 17:14 UTC | ROYCE GLOBAL TRUST, INC. RGT · Entity 6751 | PurchaseCommon Stock | 10,000 | $9.32 | $93,200.00 |
DisclosureSEC source: 0001567619-20-008422 · doc1.xml · nonDerivative · entry 2 ROYCE CHARLES M · CIK 0001009121 · Portfolio Manager 10b5-1 filing: Not disclosed Ownership: Indirect · Family Investment Entity Disclosed balance after: 233,705 F1 · ownership.direct: Shares held in a family investment entity of which the reporting person is the sole managing member and in which the reporting person has a substantial pecuniary interest (which may vary from time to time). The reporting person disclaims beneficial ownership of the portion of such shares owned by the family investment entity in which he has no pecuniary interest. Read SEC document |
| December 11, 2018 Filed Dec 11, 2018 12:18 UTC | ROYCE GLOBAL TRUST, INC. RGT · Entity 6751 | PurchaseCommon Stock | 11,100 | $9.22 | $102,319.80 |
DisclosureSEC source: 0001567619-18-007676 · doc1.xml · nonDerivative · entry 1 ROYCE CHARLES M · CIK 0001009121 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Family Investment Entity Disclosed balance after: 221,503 F1 · ownership.direct: Shares held in a family investment entity of which the reporting person is the sole managing member and in which the reporting person has a substantial pecuniary interest (which may vary from time to time). The reporting person disclaims beneficial ownership of the portion of such shares owned by the family investment entity in which he has no pecuniary interest. Read SEC document |
| December 10, 2018 Filed Dec 11, 2018 12:18 UTC | ROYCE GLOBAL TRUST, INC. RGT · Entity 6751 | PurchaseCommon Stock | 100,000 | $9.21 | $921,000.00 |
DisclosureSEC source: 0001567619-18-007676 · doc1.xml · nonDerivative · entry 2 ROYCE CHARLES M · CIK 0001009121 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Family Investment Entity Disclosed balance after: 210,403 Read SEC document |
| July 09, 2018 Filed Jul 10, 2018 19:58 UTC | ROYCE SMALL-CAP TRUST, INC. RVT · Entity 4424 | PurchaseCommon Stock | 10,541 | $15.33 | $161,593.53 |
DisclosureSEC source: 0001140361-18-032018 · doc1.xml · nonDerivative · entry 2 ROYCE CHARLES M · CIK 0001009121 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Family Investment Entity Disclosed balance after: 117,894 F1 · ownership.nature: Shares held in a family investment entity of which the reporting person is the sole managing member and in which the reporting person has a substantial pecuniary interest (which may vary from time to time). The reporting person disclaims beneficial ownership of the portion of such 117,894 shares owned by the family investment entity in which he has no pecuniary interest. Read SEC document |
| July 09, 2018 Filed Jul 10, 2018 19:58 UTC | ROYCE SMALL-CAP TRUST, INC. RVT · Entity 4424 | PurchaseCommon Stock | 16,045 | $15.33 | $245,969.85 |
DisclosureSEC source: 0001140361-18-032018 · doc1.xml · nonDerivative · entry 1 ROYCE CHARLES M · CIK 0001009121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 179,456 Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.