Insider · CIK 0001457990

Fockler Jack E. Jr.

Reports to the SEC for 3 companies · NEW YORK, NY

sec.gov

Transactions

Companies

Filings

CIK

0001457990

Forms 4 and 5

Insider transactions

50 trades

Date	Company	Role	Code	Shares	Price	Value	Shares after
2014-10-14	RMTROYCE MICRO-CAP TRUST, INC.S Sale	Vice President, VP - Investment Advisor	SSale	−3,139 sh	$10.85	−$34.1K	0
2014-10-14	RMTROYCE MICRO-CAP TRUST, INC.S Sale	Vice President, VP - Investment Advisor	SSale	−3,139 sh	$10.85	−$34.1K	0
2014-10-13	RMTROYCE MICRO-CAP TRUST, INC.S Sale	Vice President, VP - Investment Advisor	SSale	−8,352 sh	$10.93	−$91.3K	3,139
2014-10-13	RMTROYCE MICRO-CAP TRUST, INC.S Sale	Vice President, VP - Investment Advisor	SSale	−8,352 sh	$10.93	−$91.3K	3,139
2014-10-10	RMTROYCE MICRO-CAP TRUST, INC.S Sale	Vice President, VP - Investment Advisor	SSale	−10.1K sh	$11.00	−$111K	11,491
2014-10-10	RMTROYCE MICRO-CAP TRUST, INC.S Sale	Vice President, VP - Investment Advisor	SSale	−10.1K sh	$11.00	−$111K	11,491
2014-02-05	RMTROYCE MICRO-CAP TRUST, INC.P Purchase	Vice President, VP - Investment Advisor	PPurchase	+4,300 sh	$11.59	+$49.8K	12,300
2014-02-05	RMTROYCE MICRO-CAP TRUST, INC.P Purchase	Vice President, VP - Investment Advisor	PPurchase	+4,300 sh	$11.59	+$49.8K	12,300
2014-01-24	RMTROYCE MICRO-CAP TRUST, INC.P Purchase	Vice President, VP - Investment Advisor	PPurchase	+5,868 sh	$12.53	+$73.5K	8,000
2014-01-24	RMTROYCE MICRO-CAP TRUST, INC.P Purchase	Vice President, VP - Investment Advisor	PPurchase	+5,869 sh	$12.53	+$73.5K	8,000
2014-01-23	RMTROYCE MICRO-CAP TRUST, INC.P Purchase	Vice President, VP - Investment Advisor	PPurchase	+2,132 sh	$12.58	+$26.8K	2,132
2014-01-23	RMTROYCE MICRO-CAP TRUST, INC.P Purchase	Vice President, VP - Investment Advisor	PPurchase	+2,131 sh	$12.58	+$26.8K	2,131
2013-05-15	FUNDSPROTT FOCUS TRUST INC.P Purchase	Vice President, VP - Investment Advisor	PPurchase	+2,500 sh	$7.21	+$18K	131,554
2013-05-15	FUNDSPROTT FOCUS TRUST INC.P Purchase	Vice President, VP - Investment Advisor	PPurchase	+2,500 sh	$7.21	+$18K	131,112
2013-05-14	FUNDSPROTT FOCUS TRUST INC.P Purchase	Vice President, VP - Investment Advisor	PPurchase	+4,500 sh	$7.19	+$32.4K	128,612
2013-05-14	FUNDSPROTT FOCUS TRUST INC.P Purchase	Vice President, VP - Investment Advisor	PPurchase	+4,500 sh	$7.19	+$32.4K	129,054
2013-01-08	FUNDSPROTT FOCUS TRUST INC.P Purchase	Vice President, VP - Investment Advisor	PPurchase	+11K sh	$6.91	+$76K	187,383
2013-01-08	FUNDSPROTT FOCUS TRUST INC.P Purchase	Vice President, VP - Investment Advisor	PPurchase	+11K sh	$6.91	+$76K	187,819
2011-01-28	FUNDSPROTT FOCUS TRUST INC.P Purchase	Vice President, VP - Investment Advisor	PPurchase	+6,500 sh	$7.69	+$50K	98,500
2011-01-28	FUNDSPROTT FOCUS TRUST INC.P Purchase	Vice President, VP - Investment Advisor	PPurchase	+6,500 sh	$7.69	+$50K	98,116
2011-01-27	FUNDSPROTT FOCUS TRUST INC.P Purchase	Vice President, VP - Investment Advisor	PPurchase	+5,000 sh	$7.76	+$38.8K	92,000
2011-01-27	FUNDSPROTT FOCUS TRUST INC.P Purchase	Vice President, VP - Investment Advisor	PPurchase	+5,000 sh	$7.76	+$38.8K	91,616
2010-05-18	FUNDSPROTT FOCUS TRUST INC.P Purchase	Vice President, VP - Investment Advisor	PPurchase	+3,000 sh	$6.43	+$19.3K	87,000
2010-05-18	FUNDSPROTT FOCUS TRUST INC.P Purchase	Vice President, VP - Investment Advisor	PPurchase	+3,000 sh	$6.43	+$19.3K	86,616
2010-05-07	FUNDSPROTT FOCUS TRUST INC.P Purchase	Vice President, VP - Investment Advisor	PPurchase	+24K sh	$6.28	+$151K	83,616
2010-05-07	FUNDSPROTT FOCUS TRUST INC.P Purchase	Vice President, VP - Investment Advisor	PPurchase	+24K sh	$6.28	+$151K	84,000
2010-01-15	FUNDSPROTT FOCUS TRUST INC.P Purchase	Vice President, VP - Investment Advisor	PPurchase	+15K sh	$6.75	+$101K	60,000
2010-01-15	FUNDSPROTT FOCUS TRUST INC.P Purchase	Vice President, VP - Investment Advisor	PPurchase	+15K sh	$6.75	+$101K	59,616
2010-01-07	RMTROYCE MICRO-CAP TRUST, INC.S Sale	Vice President, VP - Investment Advisor	SSale	+2,140 sh	$7.45	+$15.9K	0
2010-01-07	RMTROYCE MICRO-CAP TRUST, INC.S Sale	Vice President, VP - Investment Advisor	SSale	−2,140 sh	$7.45	−$15.9K	0
2010-01-07	RMTROYCE MICRO-CAP TRUST, INC.S Sale	Vice President, VP - Investment Advisor	SSale	−2,140 sh	$7.45	−$15.9K	0
2010-01-07	RMTROYCE MICRO-CAP TRUST, INC.S Sale	Vice President, VP - Investment Advisor	SSale	−2,140 sh	$7.45	−$15.9K	0
2010-01-06	RMTROYCE MICRO-CAP TRUST, INC.S Sale	Vice President, VP - Investment Advisor	SSale	−17.9K sh	$7.49	−$134K	2,140
2010-01-06	RMTROYCE MICRO-CAP TRUST, INC.S Sale	Vice President, VP - Investment Advisor	SSale	−17.9K sh	$7.49	−$134K	2,140
2009-04-21	FUNDSPROTT FOCUS TRUST INC.P Purchase	Vice President, VP - Investment Advisor	PPurchase	+7,200 sh	$4.64	+$33.4K	45,000
2009-04-21	RMTROYCE MICRO-CAP TRUST, INC.P Purchase	Vice President, VP - Investment Advisor	PPurchase	+2,200 sh	$5.25	+$11.6K	20,000
2009-04-20	FUNDSPROTT FOCUS TRUST INC.P Purchase	Vice President, VP - Investment Advisor	PPurchase	+7,800 sh	$4.64	+$36.2K	37,800
2009-04-20	RMTROYCE MICRO-CAP TRUST, INC.P Purchase	Vice President, VP - Investment Advisor	PPurchase	+2,800 sh	$5.32	+$14.9K	17,800
2009-04-20	RMTROYCE MICRO-CAP TRUST, INC.P Purchase	Vice President, VP - Investment Advisor	PPurchase	+5,000 sh	$5.32	+$26.6K	20,000
2009-04-08	RMTROYCE MICRO-CAP TRUST, INC.P Purchase	Vice President, VP - Investment Advisor	PPurchase	+600 sh	$5.15	+$3,090	15,000
2009-04-07	RMTROYCE MICRO-CAP TRUST, INC.P Purchase	Vice President, VP - Investment Advisor	PPurchase	+2,500 sh	$5.15	+$12.9K	15,000
2009-04-07	RMTROYCE MICRO-CAP TRUST, INC.P Purchase	Vice President, VP - Investment Advisor	PPurchase	+1,900 sh	$5.15	+$9,785	14,400
2009-04-07	RMTROYCE MICRO-CAP TRUST, INC.P Purchase	Vice President, VP - Investment Advisor	PPurchase	+5,655 sh	$5.25	+$29.7K	12,500
2009-04-01	RMTROYCE MICRO-CAP TRUST, INC.P Purchase	Vice President, VP - Investment Advisor	PPurchase	+6,845 sh	$4.98	+$34.1K	6,845
2009-03-31	RMTROYCE MICRO-CAP TRUST, INC.P Purchase	Vice President, VP - Investment Advisor	PPurchase	+12.5K sh	$4.94	+$61.8K	12,500
2009-03-25	FUNDSPROTT FOCUS TRUST INC.P Purchase	Vice President, VP - Investment Advisor	PPurchase	+11.4K sh	$4.24	+$48.3K	44,616
2009-03-24	FUNDSPROTT FOCUS TRUST INC.P Purchase	Vice President, VP - Investment Advisor	PPurchase	+3,240 sh	$4.25	+$13.8K	33,240
2009-03-06	FUNDSPROTT FOCUS TRUST INC.P Purchase	Vice President, VP - Investment Advisor	PPurchase	+4,898 sh	$3.54	+$17.4K	30,000
2009-03-06	FUNDSPROTT FOCUS TRUST INC.P Purchase	Vice President, VP - Investment Advisor	PPurchase	+4,898 sh	$3.54	+$17.4K	30,000
2009-03-05	FUNDSPROTT FOCUS TRUST INC.P Purchase	Vice President, VP - Investment Advisor	PPurchase	+25.1K sh	$3.56	+$89.4K	25,102

Recent filings

Accepted (ET)
Oct 154
ROYCE MICRO-CAP TRUST, INC /MD/0001140361-14-038175
SEC(opens sec.gov)
Oct 144
ROYCE MICRO-CAP TRUST, INC /MD/0001140361-14-038023
SEC(opens sec.gov)
Feb 64
ROYCE MICRO-CAP TRUST, INC /MD/0001140361-14-005031
SEC(opens sec.gov)
Jan 274
ROYCE MICRO-CAP TRUST, INC /MD/0001140361-14-003285
SEC(opens sec.gov)
May 164
Fockler Jack E. Jr.0001140361-13-021288
SEC(opens sec.gov)
May 154
Fockler Jack E. Jr.0001140361-13-020965
SEC(opens sec.gov)
Jan 94
Fockler Jack E. Jr.0001140361-13-001497
SEC(opens sec.gov)
Jan 284
Fockler Jack E. Jr.0000825202-11-000003
SEC(opens sec.gov)

Companies

Address

C/O ROYCE & ASSOCIATES, LLC 745 FIFTH AVENUE

NEW YORK, NY, 10151