Form D · Other Investment Fund

Royce Institutional, LLC - Global Smaller Companies Portfolio

New York, NY · CIK 0001580201

Offering snapshot reported Jun 26, 2013 · SEC filing

Reported sold: $3M
Investors reported: 1
Minimum accepted: $1M
First sale: Dec 1, 2012

Fundraising history

Reported sold

Dates are filing dates, not cash receipt dates. Decreases are reported revisions, not evidence of withdrawals. Separate offering histories are not added together.

What changed?

Latest filing versus its linked predecessor, where available.

No comparable changes in the displayed metrics.

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Jun 26, 2013	Initial	$3,000,000	No comparison	1	SEC filing
Jun 26, 2013	Amendment	$3,000,000	$0vs Jun 26, 2013	1	SEC filing

Offering details

Securities: Pooled investment fund
Exemptions: 06, 3C, 3C.1
Duration over one year: Yes
Business combination: No

Sales commissions: $0
Finders' fees: $0
Form D file number: 021-198639

Source: Form D, filed Jun 26, 2013. Minimum accepted may differ from a standard advertised minimum.

Fund connections

The linked fund shows its most recently reported ADV details.

Matched by reported Form D file number

ROYCE INSTITUTIONAL, LLC - GLOBAL SMALLER COMPANIES PORTFOLIO

Investment adviser: ROYCE & ASSOCIATES, LP

Gross asset value: $3.2M
Beneficial owners: 1
ADV minimum commitment: $1M

Reported in Form ADV on Feb 3, 2014. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator BANK OF NEW YORK MELLON NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor ROTHSTEIN, KASS & COMPANY, P.C. ROSELAND, New Jersey, United States

Custodian THE BANK OF NEW YORK MELLON NEW YORK,, New York, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

Filing source

Form ADV 783731 · Feb 3, 2014 · Schedule D 7.B.(1), fund 805-3758641870

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

People & organizations

Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.

People and organizations reported in Form D filings
Name	Reported role
John E. Denneen	Executive
John D. Diederich	Executive
Jack E. Fockler, Jr.	Executive
W. Whitney George	Executive
Daniel A. O'byrne	Executive
Charles M. Royce	Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

745 Fifth Avenue
New York, NY, 10151