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CUSIP No. 78080N108
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13D
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Page 2 of 5 Pages
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1
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NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
W. Whitney George
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ]
(b) [ ]
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3
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SEC USE ONLY
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4
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SOURCE OF FUNDS*
PF
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5
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CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEMS 2(d) OR 2(e) [ ]
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6
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CITIZENSHIP OR PLACE OF ORGANIZATION
U.S.A.
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NUMBER OF
SHARES
BENEFICIALLY
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7
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SOLE VOTING POWER
3,369,591
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OWNED BY
EACH
REPORTING
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8
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SHARED VOTING POWER
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PERSON
WITH
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9
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SOLE DISPOSITIVE POWER
3,369,591
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10
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SHARED DISPOSITIVE POWER
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11
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON
3,369,591
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12
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CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES* [ ]
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CUSIP No. 78080N108
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13D
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Page 3 of 5 Pages
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13
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
15.78%
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14
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TYPE OF REPORTING PERSON*
IN
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CUSIP No. 78080N108
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13D
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Page 4 of 5 Pages
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Item 1. Security and Issuer.
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The title and class of equity securities to which this statement relates is Common Stock.
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The name and address of the principal executive offices of the Issuer are:
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Royce Focus Trust, Inc.
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745 Fifth Avenue
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New York, New York 10151
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Item 2. Identity and Background.
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(a) The name of the person filing this statement is W. Whitney George.
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(b) Mr. George's business address is 745 Fifth Avenue, New York, New York 10151.
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(c) Mr. George is Co-Chief Investment Officer, Managing Director and Vice President of Royce & Associates, LLC, a registered investment adviser whose clients include the Issuer and other registered investment companies. He is Vice President of the Issuer and such other investment companies. These companies are located at 745 Fifth Avenue, New York, New York 10151.
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(d) Not applicable.
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(e) Not applicable.
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(f) Mr. George is a citizen of the United States.
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Item 3. Source and Amount of Funds or Other Consideration.
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This schedule is being filed as a result of Mr. George acquiring a total of 6,598 shares of the Issuer’s Common Stock in an open-market transaction effected on January 8, 2013 for an aggregate purchase price of $45,130.32. The shares of the Issuer’s Common Stock he acquired in this transaction were purchased for The Mallory Descendant's Trust U/T/A DTD 12/13/2013 (the "Trust"). Mr. George serves as trustee of the Trust and, in such capacity, has investment and voting discretion over shares held by the Trust. Mr. George's spouse has a pecuniary interest in the Trust.
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Item 4. Purpose of Transaction.
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Mr. George purchased the shares of the Issuer's Common Stock as an investment for The Mallory Descendant's Trust U/T/A DTD 12/13/2013 (the "Trust").
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CUSIP No. 78080N108
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13D
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Page 5 of 5 Pages
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Item 5. Interest in Securities of Issuer.
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(a) Mr. George had sole investment and voting discretion over 3,369,591 shares or 15.78% of the Issuer's outstanding Common Stock as of January 8, 2013. This amount included 14,528 shares held by the Trust. Mr. George serves as trustee of the Trust and, in such capacity, has investment and voting discretion over shares held by the Trust. Mr. George's spouse has a pecuniary interest in the Trust.
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(b) Mr. George has sole voting and sole dispositive powers as to all of the shares shown in item 5(a) above.
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(c) In the 60 days prior to the date of filing of this statement, Mr. George effected the following purchases of the Common Stock of the Issuer, which were effected in the open market and not previously reported on any Schedule 13D filing: (i) 7,930 shares @ $6.83 on January 7, 2013 and (ii) 6,598 shares @ $6.84 on January 8, 2013.
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Item 6. Contracts, Arrangements, Understandings or Relationships With Respect to Securities of the Issuer.
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Not applicable.
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Item 7. Materials to be Filed as Exhibits.
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Not applicable.
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January 15, 2013
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(Date)
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/s/ W. Whitney George
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(Signature)
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W. Whitney George
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