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  <P STYLE="margin: 0"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 8pt">&nbsp;</FONT></P>
  
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      <TD STYLE="width: 80%; font-size: 11pt"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 8pt">&nbsp;</FONT></TD>
      <TD STYLE="width: 20%; border-bottom: Black 1pt solid; font-size: 11pt"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 8pt">&nbsp;</FONT></TD></TR>
  <TR STYLE="vertical-align: top">
      <TD ROWSPAN="5" STYLE="border-right: Black 1pt solid"><P STYLE="font: 11pt Times New Roman, Times, Serif; margin: 0; text-align: center"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 8pt"><B>UNITED
                                           STATES</B><BR>
                                           <B>SECURITIES AND EXCHANGE COMMISSION</B><BR>
                                           <B>Washington, D.C. 20549</B></FONT></P>
          <P STYLE="font: 11pt Times New Roman, Times, Serif; margin: 8pt 0 0; text-align: center"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 14pt"><B>FORM
          144</B></FONT><BR>
          <FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 8pt"><B>NOTICE OF PROPOSED SALE OF SECURITIES</B></FONT><BR>
          <FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 8pt"><B>PURSUANT TO RULE 144 UNDER THE SECURITIES
          ACT OF 1933</B></FONT></P>
          <P STYLE="font: 11pt Times New Roman, Times, Serif; margin: 0"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 8pt">&nbsp;</FONT></P>
          <P STYLE="font: 11pt Times New Roman, Times, Serif; margin: 0 0 10pt 0.9in; text-indent: -0.9in"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 10pt"><B>ATTENTION:
          </B><I>Transmit for filing 3 copies of this form concurrently with either placing an order with a broker to execute sale
          or executing a sale directly with a market maker.</I></FONT></P></TD>
      <TD STYLE="border-right: Black 1pt solid; border-bottom: Black 1pt solid; font-size: 11pt; text-align: center"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 8pt">OMB
      APPROVAL</FONT></TD></TR>
  <TR STYLE="vertical-align: top">
      <TD STYLE="border-right: Black 1pt solid; border-bottom: Black 1pt solid; padding-left: 3pt"><P STYLE="font: 11pt Times New Roman, Times, Serif; margin: 0"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 8pt">OMB
                                           Number: &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;3235-0101</FONT></P>
          <P STYLE="font: 11pt Times New Roman, Times, Serif; margin: 0"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 8pt">Expires:
          &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;July 31, 2023</FONT></P>
          <P STYLE="font: 11pt Times New Roman, Times, Serif; margin: 0"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 8pt">Estimated
          average burden hours per response &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;1.00</FONT></P></TD></TR>
  <TR STYLE="vertical-align: top">
      <TD STYLE="border-right: Black 1pt solid; border-bottom: Black 1pt solid; font-size: 11pt; text-align: center"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 8pt">SEC
      USE ONLY</FONT></TD></TR>
  <TR STYLE="vertical-align: top; background-color: #F3F3F3">
      <TD STYLE="border-right: Black 1pt solid; border-bottom: Black 1pt solid"><P STYLE="font: 11pt Times New Roman, Times, Serif; margin: 0"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 8pt">DOCUMENT
                                           SEQUENCE NO.</FONT></P>
          <P STYLE="font: 11pt Times New Roman, Times, Serif; margin: 0"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 8pt">&nbsp;</FONT></P></TD></TR>
  <TR STYLE="vertical-align: top; background-color: #F3F3F3">
      <TD STYLE="border-right: Black 1pt solid"><P STYLE="font: 11pt Times New Roman, Times, Serif; margin: 0"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 8pt">CUSIP
  NUMBER&nbsp;</FONT></P>
                                                <P STYLE="font: 11pt Times New Roman, Times, Serif; margin: 0"><FONT STYLE="font: 8pt Times New Roman, Times, Serif">&nbsp;</FONT></P></TD></TR>
  </TABLE>
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  <TABLE CELLSPACING="0" CELLPADDING="0" STYLE="font: 11pt Times New Roman, Times, Serif; width: 100%; border-collapse: collapse">
  <TR STYLE="vertical-align: top">
      <TD ROWSPAN="2" STYLE="width: 51%; border: black 1pt solid"><P STYLE="font: 11pt Times New Roman, Times, Serif; margin: 0.85pt 0 0 1.25pt"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 8pt">1
                                           <I>(a)</I> NAME OF ISSUER <I>(Please type or print)</I></FONT></P>
          <P STYLE="font: 11pt Times New Roman, Times, Serif; margin: 0.85pt 0 0 1.25pt"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 8pt">Royce
          Micro-Cap Trust, Inc.</FONT></P></TD>
      <TD ROWSPAN="2" STYLE="width: 14%; border-top: black 1pt solid; border-right: black 1pt solid; border-bottom: black 1pt solid"><P STYLE="font: 11pt Times New Roman, Times, Serif; margin: 0 0 0 0.8pt"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 8pt"><I>(b)
                                           </I> IRS IDENT. NO.</FONT></P>
          <P STYLE="font: 11pt Times New Roman, Times, Serif; margin: 0 0 0 0.8pt"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 8pt">13-3739778</FONT></P></TD>
      <TD ROWSPAN="2" STYLE="width: 14%; border-top: black 1pt solid; border-right: black 1pt solid; border-bottom: black 1pt solid"><P STYLE="font: 11pt Times New Roman, Times, Serif; margin: 0.85pt 0 0 8pt"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 8pt"><I>(c)
                                           </I>S.E.C. FILE NO.</FONT></P>
          <P STYLE="font: 11pt Times New Roman, Times, Serif; margin: 0.5pt 0 0"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 8pt">333-107924</FONT></P>
          <P STYLE="font: 11pt Times New Roman, Times, Serif; margin: 0 0 0 45.8pt"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 8pt">ZIP
          CODE</FONT></P></TD>
      <TD STYLE="width: 1%; border-top: Black 1pt solid; border-right: black 1pt solid; border-bottom: black 1pt solid; font-size: 11pt"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 8pt">&nbsp;</FONT></TD>
      <TD STYLE="width: 20%; border-top: black 1pt solid; border-right: black 1pt solid; border-bottom: black 1pt solid; background-color: #F3F3F3; padding-left: 1.3pt; font-size: 11pt"><P STYLE="margin-top: 0; margin-bottom: 0"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 8pt">WORK LOCATION</FONT></P>
                                                                                  <P STYLE="margin-top: 0; margin-bottom: 0"><FONT STYLE="font: 8pt Times New Roman, Times, Serif">&nbsp;</FONT></P></TD></TR>
  <TR STYLE="vertical-align: top">
      <TD COLSPAN="2" STYLE="border-right: Black 1pt solid; border-bottom: black 1pt solid; font-size: 11pt"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 8pt">&nbsp;</FONT></TD></TR>
  </TABLE>
  <P STYLE="font: 11pt Times New Roman, Times, Serif; margin: 0"></P>
  
  <P STYLE="font: 11pt Times New Roman, Times, Serif; margin: 0"><FONT STYLE="font: 8pt Times New Roman, Times, Serif"></FONT></P>
  
  <TABLE CELLSPACING="0" CELLPADDING="0" STYLE="font: 11pt Times New Roman, Times, Serif; width: 100%; border-collapse: collapse">
  <TR STYLE="vertical-align: top">
      <TD STYLE="width: 27%; padding-top: 0.65pt; padding-left: 1.25pt; font-size: 11pt; border-left: Black 1pt solid"><FONT STYLE="font-size: 1px">&nbsp;</FONT></TD>
      <TD STYLE="width: 14%; padding-top: 0.3pt; font-size: 11pt; text-align: center"><FONT STYLE="font-size: 1px">&nbsp;</FONT></TD>
      <TD STYLE="width: 12%; font-size: 11pt; text-align: center"><FONT STYLE="font-size: 1px">&nbsp;</FONT></TD>
      <TD STYLE="width: 20%; font-size: 11pt; text-align: right"><FONT STYLE="font-size: 1px">&nbsp;</FONT></TD>
      <TD STYLE="width: 7%; font-size: 11pt; text-align: center"><FONT STYLE="font-size: 1px">&nbsp;</FONT></TD>
      <TD STYLE="width: 8%; padding-top: 0.65pt; padding-left: 7.85pt; font-size: 11pt; border-left: Black 1pt solid"><FONT STYLE="font-size: 1px">&nbsp;</FONT></TD>
      <TD STYLE="width: 12%; padding-top: 0.65pt; padding-left: 7.85pt; font-size: 11pt; border-right: Black 1pt solid"><FONT STYLE="font-size: 1px">&nbsp;</FONT></TD></TR>
  <TR STYLE="vertical-align: top">
      <TD ROWSPAN="2" STYLE="border-bottom: Black 1pt solid; border-left: black 1pt solid"><P STYLE="font: 11pt Times New Roman, Times, Serif; margin: 0.65pt 0 0 1.25pt"><FONT STYLE="font-size: 8pt">1
                                           <I>(d)</I> ADDRESS OF ISSUER</FONT></P>
          <P STYLE="font: 11pt Times New Roman, Times, Serif; margin: 0"><FONT STYLE="font-size: 8pt">&nbsp;</FONT></P></TD>
      <TD ROWSPAN="2" STYLE="border-bottom: Black 1pt solid"><P STYLE="font: 11pt Times New Roman, Times, Serif; margin: 0.3pt 0 0; text-align: center"><FONT STYLE="font-size: 8pt">STREET</FONT></P>
          <P STYLE="font: 11pt Times New Roman, Times, Serif; margin: 0.3pt 0 0; text-align: center"><FONT STYLE="font-size: 8pt">745
          Fifth Avenue</FONT></P></TD>
      <TD ROWSPAN="2" STYLE="border-bottom: Black 1pt solid"><P STYLE="font: 11pt Times New Roman, Times, Serif; margin: 0; text-align: center"><FONT STYLE="font-size: 8pt">CITY</FONT></P>
          <P STYLE="font: 11pt Times New Roman, Times, Serif; margin: 0; text-align: center"><FONT STYLE="font-size: 8pt">New York</FONT></P></TD>
      <TD ROWSPAN="2" STYLE="border-bottom: Black 1pt solid"><P STYLE="font: 11pt Times New Roman, Times, Serif; margin: 0; text-align: right"><FONT STYLE="font-size: 8pt">STATE</FONT></P>
          <P STYLE="font: 11pt Times New Roman, Times, Serif; margin: 0; text-align: right"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 8pt">NY</FONT><FONT STYLE="font-size: 8pt">&nbsp;&nbsp;</FONT></P></TD>
      <TD ROWSPAN="2" STYLE="border-right: black 1pt solid; border-bottom: Black 1pt solid"><P STYLE="font: 11pt Times New Roman, Times, Serif; margin: 0; text-align: center"><FONT STYLE="font-size: 8pt">&nbsp;</FONT></P>
          <P STYLE="font: 11pt Times New Roman, Times, Serif; margin: 0; text-align: center"><FONT STYLE="font-size: 8pt">10151</FONT></P></TD>
      <TD COLSPAN="2" STYLE="border-right: black 1pt solid; border-bottom: Black 1pt solid; padding-top: 0.65pt; padding-left: 7.85pt; font-size: 11pt"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 8pt"><I>(e)
      </I>TELEPHONE NO.</FONT></TD></TR>
  <TR STYLE="vertical-align: top">
      <TD STYLE="border-right: black 1pt solid; border-bottom: black 1pt solid; padding-top: 2.75pt; padding-left: 2.95pt; font-size: 11pt; padding-bottom: 10pt"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 8pt">AREA
      CODE</FONT></TD>
      <TD STYLE="border-right: black 1pt solid; border-bottom: black 1pt solid; padding-top: 2.75pt; padding-left: 0.05pt; font-size: 11pt; text-align: center"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 8pt">NUMBER</FONT></TD></TR>
  </TABLE>
  
  
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  <TABLE CELLSPACING="0" CELLPADDING="0" STYLE="font: 11pt Times New Roman, Times, Serif; width: 100%; border-collapse: collapse">
  <TR STYLE="vertical-align: top">
      <TD STYLE="width: 33%; border-right: black 1pt solid; border-bottom: Black 1pt solid; border-left: black 1pt solid"><P STYLE="font: 11pt Times New Roman, Times, Serif; margin: 2.7pt 2.95pt 0 16.1pt; text-indent: -14.85pt"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 8pt">2
                                           <I>(a) </I>NAME OF PERSON FOR WHOSE ACCOUNT THE SECURITIES ARE TO BE SOLD</FONT></P>
          <P STYLE="font: 11pt Times New Roman, Times, Serif; margin: 2.7pt 2.95pt 0 16.1pt; text-indent: -14.85pt"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 8pt">Charles
          M. Royce*</FONT></P></TD>
      <TD STYLE="width: 7%; border-right: black 1pt solid; border-bottom: Black 1pt solid; font-size: 11pt"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 8pt">&nbsp;</FONT></TD>
      <TD STYLE="width: 15%; border-right: black 1pt solid; border-bottom: Black 1pt solid"><P STYLE="font: 11pt Times New Roman, Times, Serif; margin: 2.7pt 8.8pt 0 11.1pt; text-indent: 5.8pt"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 8pt">RELATIONSHIP
                                           TO ISSUER</FONT></P>
          <P STYLE="font: 11pt Times New Roman, Times, Serif; margin: 2.7pt 8.8pt 0 11.1pt; text-indent: 5.8pt"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 8pt">Portfolio
          Manager</FONT></P></TD>
      <TD STYLE="width: 19%; border-bottom: Black 1pt solid"><P STYLE="font: 11pt Times New Roman, Times, Serif; margin: 2.7pt 0 0 4.5pt"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 8pt"><I>(c)
                                           </I>ADDRESS STREET</FONT></P>
          <P STYLE="font: 11pt Times New Roman, Times, Serif; margin: 2.7pt 0 0 4.5pt"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 8pt">745
          Fifth Avenue</FONT></P></TD>
      <TD STYLE="width: 9%; border-bottom: Black 1pt solid"><P STYLE="font: 11pt Times New Roman, Times, Serif; margin: 2.7pt 0 0 4.5pt; text-align: center"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 8pt">CITY</FONT></P>
          <P STYLE="font: 11pt Times New Roman, Times, Serif; margin: 2.7pt 0 0 4.5pt; text-align: center"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 8pt">New
          York</FONT></P></TD>
      <TD STYLE="width: 7%; border-bottom: Black 1pt solid"><P STYLE="font: 11pt Times New Roman, Times, Serif; margin: 2.7pt 0 0 4.5pt; text-align: center"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 8pt">STATE</FONT></P>
          <P STYLE="font: 11pt Times New Roman, Times, Serif; margin: 2.7pt 0 0 4.5pt; text-align: center"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 8pt">NY</FONT></P></TD>
      <TD STYLE="width: 10%; border-right: black 1pt solid; border-bottom: Black 1pt solid"><P STYLE="font: 11pt Times New Roman, Times, Serif; margin: 2.7pt 0 0 4.5pt; text-align: center"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 8pt">ZIP
                                           CODE</FONT></P>
          <P STYLE="font: 11pt Times New Roman, Times, Serif; margin: 2.7pt 0 0 4.5pt; text-align: center"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 8pt">10151</FONT></P></TD></TR>
  </TABLE>
  <P STYLE="font: 11pt Times New Roman, Times, Serif; margin: 0"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 8pt">&nbsp;</FONT></P>
  
  <P STYLE="font: 11pt Times New Roman, Times, Serif; margin: 0"><FONT STYLE="font: 8pt Times New Roman, Times, Serif"></FONT></P>
  
  <P STYLE="font: 11pt Times New Roman, Times, Serif; margin-top: 3.45pt; text-align: center; margin-bottom: 0"><FONT STYLE="font-size: 10pt"><I>INSTRUCTION: The
  person filing this notice should contact the issuer to obtain the I.R.S. Identification Number and the S.E.C. File Number.</I></FONT></P>
  
  
  
  <P STYLE="font: 11pt Times New Roman, Times, Serif; margin: 0"><FONT STYLE="font: 8pt Times New Roman, Times, Serif">&nbsp;</FONT></P>
  <TABLE CELLSPACING="0" CELLPADDING="0" STYLE="width: 100%; font: 10pt Times New Roman, Times, Serif; border-collapse: collapse">
  <TR STYLE="vertical-align: top">
      <TD STYLE="width: 9%; border-top: black 1pt solid; border-right: black 1pt solid; border-left: black 1pt solid"><P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0 0pt 1pt"><FONT STYLE="font-size: 7pt">3
                                           <I>(a)</I></FONT></P>
          </TD>
      <TD STYLE="width: 32%; border-top: black 1pt solid; border-right: black 1pt solid"><P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0 0pt 1.2pt"><FONT STYLE="font-size: 7pt"><I>(b)</I></FONT></P></TD>
      <TD STYLE="width: 10%; border-top: black 1pt solid; border-right: black 1pt solid; border-bottom: black 1pt solid; padding-top: 0.35pt; padding-left: 5.5pt"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 7pt"><B>SEC
      USE ONLY</B></FONT></TD>
      <TD STYLE="width: 10%; border-top: black 1pt solid; border-right: black 1pt solid"><P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0 0pt 0.45pt"><FONT STYLE="font-size: 7pt"><I>(c)</I></FONT></P></TD>
      <TD STYLE="width: 10%; border-top: black 1pt solid; border-right: black 1pt solid"><P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0 0pt 0.35pt"><FONT STYLE="font-size: 7pt"><I>(d)</I></FONT></P></TD>
      <TD STYLE="width: 10%; border-top: black 1pt solid; border-right: black 1pt solid"><P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0 0pt 0.55pt"><FONT STYLE="font-size: 7pt"><I>(e)</I></FONT></P></TD>
      <TD STYLE="width: 10%; border-top: black 1pt solid; border-right: black 1pt solid"><P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0 0pt 0.45pt"><FONT STYLE="font-size: 7pt"><I>(f)</I></FONT></P></TD>
      <TD STYLE="width: 9%; border-top: black 1pt solid; border-right: black 1pt solid"><P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0 0pt 0.45pt"><FONT STYLE="font-size: 7pt"><I>(g)</I></FONT></P></TD></TR>
  <TR>
      <TD STYLE="vertical-align: bottom; border-right: black 1pt solid; border-bottom: black 1pt solid; border-left: black 1pt solid; padding-top: 0.35pt; padding-right: 18.75pt; padding-left: 18.2pt; text-align: center"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 7pt"><B>Title
      of the Class of Securities To Be Sold</B></FONT></TD>
      <TD STYLE="vertical-align: bottom; border-right: black 1pt solid; border-bottom: black 1pt solid; padding-right: 24.05pt; padding-left: 23.25pt; text-align: center"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 7pt"><B>Name
      and Address of Each Broker Through Whom the Securities are to be Offered or Each Market Maker who is Acquiring the Securities</B></FONT></TD>
      <TD STYLE="border-right: black 1pt solid; border-bottom: black 1pt solid; background-color: #F3F3F3; padding-right: 13.75pt; padding-left: 15.8pt; text-align: center; text-indent: -2.9pt"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 7pt"><B>Broker-Dealer
      File Number</B></FONT></TD>
      <TD STYLE="vertical-align: bottom; border-right: black 1pt solid; border-bottom: black 1pt solid"><P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 8.1pt 0pt 7.55pt; text-align: center"><FONT STYLE="font-size: 7pt"><B>Number
                                           of Shares or Other Units</B></FONT></P>
          <P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0.4pt 0pt 0; text-align: center"><FONT STYLE="font-size: 7pt"><B>To
          Be Sold</B></FONT></P>
          <P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0.3pt 0pt 0; text-align: center"><FONT STYLE="font-size: 7pt"><I>(See
          instr. 3(c))</I></FONT></P></TD>
      <TD STYLE="vertical-align: bottom; border-right: black 1pt solid; border-bottom: black 1pt solid"><P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 19.95pt 0pt 19.4pt; text-align: center"><FONT STYLE="font-size: 7pt"><B>Aggregate
                                           Market Value</B></FONT></P>
          <P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0.4pt 0pt 0; text-align: center"><FONT STYLE="font-size: 7pt"><I>(See
          instr. 3(d))</I></FONT></P></TD>
      <TD STYLE="vertical-align: bottom; border-right: black 1pt solid; border-bottom: black 1pt solid"><P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 7.85pt 0pt 12.95pt; text-align: center; text-indent: -5.2pt"><FONT STYLE="font-size: 7pt"><B>Number
                                           of Shares or Other Units Outstanding</B></FONT></P>
          <P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0 0pt 12.95pt; text-align: center"><FONT STYLE="font-size: 7pt"><I>(See
          instr. 3(e))</I></FONT></P></TD>
      <TD STYLE="vertical-align: bottom; border-right: black 1pt solid; border-bottom: black 1pt solid"><P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 13.7pt 0pt 13.4pt; text-align: center; text-indent: -0.2pt"><FONT STYLE="font-size: 7pt"><B>Approximate
                                           Date of Sale</B></FONT></P>
          <P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0.3pt 0pt 0; text-align: center"><FONT STYLE="font-size: 7pt"><I>(See
          instr. 3(f))</I></FONT></P>
          <P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0.4pt 0pt 0; text-align: center"><FONT STYLE="font-size: 7pt">(MO. DAY YR.)</FONT></P></TD>
      <TD STYLE="vertical-align: bottom; border-right: black 1pt solid; border-bottom: black 1pt solid"><P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 13.15pt 0pt 19.65pt; text-align: center; text-indent: -6.5pt"><FONT STYLE="font-size: 7pt"><B>Name
                                           of Each Securities Exchange</B></FONT></P>
          <P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0 0pt 11.85pt; text-align: center"><FONT STYLE="font-size: 7pt"><I>(See
          instr. 3(g))</I></FONT></P></TD></TR>
  <TR STYLE="vertical-align: top">
      <TD STYLE="border-right: black 1pt solid; border-bottom: black 1pt solid; border-left: black 1pt solid; text-align: center"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 7pt">Common
      Stock</FONT></TD>
      <TD STYLE="border-right: black 1pt solid; border-bottom: black 1pt solid"><P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: center"><FONT STYLE="font-size: 7pt">Rockefeller
                                           Financial LLC</FONT></P>
          <P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: center"><FONT STYLE="font-size: 7pt">45
          Rockefeller Plaza</FONT></P>
          <P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: center"><FONT STYLE="font-size: 7pt">Floor
          5</FONT></P>
          <P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: center"><FONT STYLE="font-size: 7pt">New
          York, NY 10111</FONT></P></TD>
      <TD STYLE="border-right: black 1pt solid; border-bottom: black 1pt solid; background-color: #F3F3F3; text-align: center"><FONT STYLE="font-size: 7pt">&nbsp;</FONT></TD>
      <TD STYLE="border-right: black 1pt solid; border-bottom: black 1pt solid; text-align: center"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 7pt">378,000</FONT></TD>
      <TD STYLE="border-right: black 1pt solid; border-bottom: black 1pt solid"><P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: center"><FONT STYLE="font-size: 7pt">2,929,500</FONT></P>
          <P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: center"><FONT STYLE="font-size: 7pt">(based
          on</FONT></P>
          <P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: center"><FONT STYLE="font-size: 7pt">September
          10, 2020 market close</FONT></P>
          <P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: center"><FONT STYLE="font-size: 7pt">of $7.75 per share)</FONT></P></TD>
      <TD STYLE="border-right: black 1pt solid; border-bottom: black 1pt solid"><P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: center"><FONT STYLE="font-size: 7pt">43,098,921</FONT></P>
          <P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: center"><FONT STYLE="font-size: 7pt">(as
          of June 30, 2020 semiannual report)</FONT></P></TD>
      <TD STYLE="border-right: black 1pt solid; border-bottom: black 1pt solid; text-align: center"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 7pt">From
      date hereof through </FONT><FONT STYLE="font-size: 7pt"><BR>
      <FONT STYLE="font-family: Times New Roman, Times, Serif">September 25, 2020 </FONT></FONT></TD>
      <TD STYLE="border-right: black 1pt solid; border-bottom: black 1pt solid; text-align: center"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 7pt">NYSE</FONT></TD></TR>
  <TR STYLE="vertical-align: top">
      <TD STYLE="border-right: black 1pt solid; border-bottom: black 1pt solid; border-left: black 1pt solid; padding-top: 10pt; padding-bottom: 10pt"><FONT STYLE="font-size: 7pt">&nbsp;</FONT></TD>
      <TD STYLE="border-right: black 1pt solid; border-bottom: black 1pt solid; padding-top: 10pt; padding-bottom: 10pt"><FONT STYLE="font-size: 7pt">&nbsp;</FONT></TD>
      <TD STYLE="border-right: black 1pt solid; border-bottom: black 1pt solid; background-color: #F3F3F3; padding-top: 10pt; padding-bottom: 10pt"><FONT STYLE="font-size: 7pt">&nbsp;</FONT></TD>
      <TD STYLE="border-right: black 1pt solid; border-bottom: black 1pt solid; padding-top: 10pt; padding-bottom: 10pt"><FONT STYLE="font-size: 7pt">&nbsp;</FONT></TD>
      <TD STYLE="border-right: black 1pt solid; border-bottom: black 1pt solid; padding-top: 10pt; padding-bottom: 10pt"><FONT STYLE="font-size: 7pt">&nbsp;</FONT></TD>
      <TD STYLE="border-right: black 1pt solid; border-bottom: black 1pt solid; padding-top: 10pt; padding-bottom: 10pt"><FONT STYLE="font-size: 7pt">&nbsp;</FONT></TD>
      <TD STYLE="border-right: black 1pt solid; border-bottom: black 1pt solid; padding-top: 10pt; padding-bottom: 10pt"><FONT STYLE="font-size: 7pt">&nbsp;</FONT></TD>
      <TD STYLE="border-right: black 1pt solid; border-bottom: black 1pt solid; padding-top: 10pt; padding-bottom: 10pt"><FONT STYLE="font-size: 7pt">&nbsp;</FONT></TD></TR>
  <TR STYLE="vertical-align: top">
      <TD STYLE="border-right: black 1pt solid; border-bottom: black 1pt solid; border-left: black 1pt solid; padding-top: 10pt; padding-bottom: 10pt"><FONT STYLE="font-size: 7pt">&nbsp;</FONT></TD>
      <TD STYLE="border-right: black 1pt solid; border-bottom: black 1pt solid; padding-top: 10pt; padding-bottom: 10pt"><FONT STYLE="font-size: 7pt">&nbsp;</FONT></TD>
      <TD STYLE="border-right: black 1pt solid; border-bottom: black 1pt solid; background-color: #F3F3F3; padding-top: 10pt; padding-bottom: 10pt"><FONT STYLE="font-size: 7pt">&nbsp;</FONT></TD>
      <TD STYLE="border-right: black 1pt solid; border-bottom: black 1pt solid; padding-top: 10pt; padding-bottom: 10pt"><FONT STYLE="font-size: 7pt">&nbsp;</FONT></TD>
      <TD STYLE="border-right: black 1pt solid; border-bottom: black 1pt solid; padding-top: 10pt; padding-bottom: 10pt"><FONT STYLE="font-size: 7pt">&nbsp;</FONT></TD>
      <TD STYLE="border-right: black 1pt solid; border-bottom: black 1pt solid; padding-top: 10pt; padding-bottom: 10pt"><FONT STYLE="font-size: 7pt">&nbsp;</FONT></TD>
      <TD STYLE="border-right: black 1pt solid; border-bottom: black 1pt solid; padding-top: 10pt; padding-bottom: 10pt"><FONT STYLE="font-size: 7pt">&nbsp;</FONT></TD>
      <TD STYLE="border-right: black 1pt solid; border-bottom: black 1pt solid; padding-top: 10pt; padding-bottom: 10pt"><FONT STYLE="font-size: 7pt">&nbsp;</FONT></TD></TR>
  </TABLE>
  
  <DIV STYLE="POSITION:RELATIVE;FLOAT:LEFT;WIDTH:38%"><P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0"><FONT STYLE="font-size: 8pt"><B>INSTRUCTIONS:</B></FONT></P>
  
  
  
  <TABLE CELLPADDING="0" CELLSPACING="0" STYLE="width: 100%; font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt"><TR STYLE="vertical-align: top">
  <TD STYLE="width: 0.25in"><FONT STYLE="font-size: 8pt">1.</FONT></TD><TD STYLE="width: 0.25in"><FONT STYLE="font-size: 8pt">(a)</FONT></TD>
                                                             <TD><FONT STYLE="font-size: 8pt">Name of issuer</FONT></TD></TR></TABLE>
  
  
  
  <TABLE CELLPADDING="0" CELLSPACING="0" WIDTH="100%" STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt"><TR STYLE="vertical-align: top">
  <TD STYLE="width: 0.25in"></TD><TD STYLE="width: 0.25in"><FONT STYLE="font-size: 8pt">(b)</FONT></TD><TD><FONT STYLE="font-size: 8pt">Issuer&rsquo;s
                                           I.R.S. Identification Number</FONT></TD></TR></TABLE>
  
  
  
  <TABLE CELLPADDING="0" CELLSPACING="0" WIDTH="100%" STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt"><TR STYLE="vertical-align: top">
  <TD STYLE="width: 0.25in"></TD><TD STYLE="width: 0.25in"><FONT STYLE="font-size: 8pt">(c)</FONT></TD><TD><FONT STYLE="font-size: 8pt">Issuer&rsquo;s
                                           S.E.C. file number, if any</FONT></TD></TR></TABLE>
  
  
  
  <TABLE CELLPADDING="0" CELLSPACING="0" WIDTH="100%" STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt"><TR STYLE="vertical-align: top">
  <TD STYLE="width: 0.25in"></TD><TD STYLE="width: 0.25in"><FONT STYLE="font-size: 8pt">(d)</FONT></TD><TD><FONT STYLE="font-size: 8pt">Issuer&rsquo;s
                                           address, including zip code</FONT></TD></TR></TABLE>
  
  
  
  <TABLE CELLPADDING="0" CELLSPACING="0" WIDTH="100%" STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt"><TR STYLE="vertical-align: top">
  <TD STYLE="width: 0.25in"></TD><TD STYLE="width: 0.25in"><FONT STYLE="font-size: 8pt">(e)</FONT></TD><TD><FONT STYLE="font-size: 8pt">Issuer&rsquo;s
                                           telephone number, including area code</FONT></TD></TR></TABLE>
  
  
  <P STYLE="margin-top: 0pt; margin-bottom: 0pt; font: 10pt Times New Roman, Times, Serif"><FONT STYLE="font-size: 8pt">&nbsp;</FONT></P>
  
  <TABLE CELLPADDING="0" CELLSPACING="0" STYLE="width: 100%; font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt"><TR STYLE="vertical-align: top">
  <TD STYLE="width: 0.25in"><FONT STYLE="font-size: 8pt">2. .</FONT></TD><TD STYLE="width: 0.25in"><FONT STYLE="font-size: 8pt">(a)</FONT></TD>
                                                               <TD><FONT STYLE="font-size: 8pt">Name of person for whose account
                                           the securities are to be sold</FONT></TD></TR></TABLE>
  
  
  
  <TABLE CELLPADDING="0" CELLSPACING="0" WIDTH="100%" STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt"><TR STYLE="vertical-align: top">
  <TD STYLE="width: 0.25in"></TD><TD STYLE="width: 0.25in"><FONT STYLE="font-size: 8pt">(b)</FONT></TD><TD><FONT STYLE="font-size: 8pt">Such
                                           person&rsquo;s relationship to the issuer (e.g., officer, director, 10% stockholder,
                                           or member of immediate family of any of the foregoing)</FONT></TD></TR></TABLE>
  
  
  
  <TABLE CELLPADDING="0" CELLSPACING="0" WIDTH="100%" STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt"><TR STYLE="vertical-align: top">
  <TD STYLE="width: 0.25in"></TD><TD STYLE="width: 0.25in"><FONT STYLE="font-size: 8pt">(c)</FONT></TD><TD><FONT STYLE="font-size: 8pt">Such
                                           person&rsquo;s address, including zip code</FONT></TD></TR></TABLE>
  
  
  </div>
  <DIV STYLE="POSITION:RELATIVE;FLOAT:RIGHT;WIDTH:58%"><TABLE CELLPADDING="0" CELLSPACING="0" STYLE="width: 100%; font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt"><TR STYLE="vertical-align: top"><TD STYLE="width: 0.25in"><FONT STYLE="font-size: 8pt">3.</FONT></TD><TD STYLE="width: 0.25in"><FONT STYLE="font-size: 8pt">(a)</FONT></TD>
                                                             <TD><FONT STYLE="font-size: 8pt">Title of the class of securities to
                                           be sold</FONT></TD></TR></TABLE>
  
  
  
  <TABLE CELLPADDING="0" CELLSPACING="0" WIDTH="100%" STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt"><TR STYLE="vertical-align: top">
  <TD STYLE="width: 0.25in"></TD><TD STYLE="width: 0.25in"><FONT STYLE="font-size: 8pt">(b)</FONT></TD><TD><FONT STYLE="font-size: 8pt">Name
                                           and address of each broker through whom the securities are intended to be sold</FONT></TD></TR></TABLE>
  
  
  
  <TABLE CELLPADDING="0" CELLSPACING="0" WIDTH="100%" STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt"><TR STYLE="vertical-align: top">
  <TD STYLE="width: 0.25in"></TD><TD STYLE="width: 0.25in"><FONT STYLE="font-size: 8pt">(c)</FONT></TD><TD><FONT STYLE="font-size: 8pt">Number
                                           of shares or other units to be sold (if debt securities, give the aggregate face amount)</FONT></TD></TR></TABLE>
  
  
  
  <TABLE CELLPADDING="0" CELLSPACING="0" WIDTH="100%" STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt"><TR STYLE="vertical-align: top">
  <TD STYLE="width: 0.25in"></TD><TD STYLE="width: 0.25in"><FONT STYLE="font-size: 8pt">(d)</FONT></TD><TD><FONT STYLE="font-size: 8pt">Aggregate
                                           market value of the securities to be sold as of a specified date within 10 days prior
                                           to the filing of this notice</FONT></TD></TR></TABLE>
  
  
  
  <TABLE CELLPADDING="0" CELLSPACING="0" WIDTH="100%" STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt"><TR STYLE="vertical-align: top">
  <TD STYLE="width: 0.25in"></TD><TD STYLE="width: 0.25in"><FONT STYLE="font-size: 8pt">(e)</FONT></TD><TD><FONT STYLE="font-size: 8pt">Number
                                           of shares or other units of the class outstanding, or if debt securities the face amount
                                           thereof outstanding, as shown by the most recent report or statement published by the
                                           issuer</FONT></TD></TR></TABLE>
  
  
  
  <TABLE CELLPADDING="0" CELLSPACING="0" WIDTH="100%" STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt"><TR STYLE="vertical-align: top">
  <TD STYLE="width: 0.25in"></TD><TD STYLE="width: 0.25in"><FONT STYLE="font-size: 8pt">(f)</FONT></TD><TD><FONT STYLE="font-size: 8pt">Approximate
                                           date on which the securities are to be sold</FONT></TD></TR></TABLE>
  
  
  
  <TABLE CELLPADDING="0" CELLSPACING="0" WIDTH="100%" STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt"><TR STYLE="vertical-align: top">
  <TD STYLE="width: 0.25in"></TD><TD STYLE="width: 0.25in"><FONT STYLE="font-size: 8pt">(g)</FONT></TD><TD><FONT STYLE="font-size: 8pt">Name
                                           of each securities exchange, if any, on which the securities are intended to be sold</FONT></TD></TR></TABLE>
  
  
  </div>
  <BR CLEAR="ALL"><BR>
  
  <TABLE CELLPADDING="0" CELLSPACING="0" STYLE="border-collapse: collapse; width: 100%; font: 10pt Times New Roman, Times, Serif">
  <TR STYLE="vertical-align: bottom">
      <TD STYLE="width: 25%">&nbsp;</TD>
      <TD STYLE="width: 75%; font-weight: bold">Potential persons who are to respond to the collection of information contained in this form are not</TD></TR>
  <TR STYLE="vertical-align: bottom">
      <TD>&nbsp;</TD>
      <TD STYLE="font-weight: bold">required to respond unless the form displays a currently valid OMB control number.</TD></TR>
  </TABLE>
  
  
  <P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>
  
  <!-- Field: Page; Sequence: 1; Options: NewSection -->
      <DIV STYLE="margin-top: 6pt; margin-bottom: 6pt; border-bottom: Black 0pt solid"><P STYLE="margin-top: 0pt; text-align: center; margin-bottom: 0pt; font: 10pt Arial, Helvetica, Sans-Serif">&nbsp;</P></DIV>
      <DIV STYLE="page-break-before: always; margin-top: 6pt; margin-bottom: 6pt"><P STYLE="margin: 0pt; font: 9pt Times New Roman, Times, Serif">&nbsp;</P></DIV>
      <!-- Field: /Page -->
  
  <P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>
  
  <P STYLE="margin: 0"></P>
  
  <P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 43.8pt 0pt 18.75pt; text-align: center"><FONT STYLE="font-size: 12pt"><B>TABLE
  I &ndash;&ndash; SECURITIES TO BE SOLD</B></FONT></P>
  
  <P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 25.05pt 0pt 0; text-align: center"><FONT STYLE="font-size: 10pt"><I>Furnish
  the following information with respect to the acquisition of the securities to be sold</I></FONT></P>
  
  <P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 43.85pt 0pt 18.75pt; text-align: center"><FONT STYLE="font-size: 10pt"><I>and
  with respect to the payment of all or any part of the purchase price or other consideration therefor:</I>&nbsp;</FONT></P>
  
  <P STYLE="margin: 0"></P>
  
  <TABLE CELLSPACING="0" CELLPADDING="0" STYLE="width: 100%; font-size: 10pt; border-collapse: collapse">
  <TR STYLE="vertical-align: top">
      <TD STYLE="width: 9%; border: black 1pt solid; font-size: 10pt; text-align: center; padding-right: 5.4pt; padding-left: 5.4pt; vertical-align: bottom"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 8pt">Title
      of the Class</FONT></TD>
      <TD STYLE="width: 9%; border-top: black 1pt solid; border-right: black 1pt solid; border-bottom: black 1pt solid; font-size: 10pt; text-align: center; padding-right: 5.4pt; padding-left: 5.4pt; vertical-align: bottom"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 8pt">Date
      you Acquired</FONT></TD>
      <TD STYLE="width: 24%; border-top: black 1pt solid; border-right: black 1pt solid; border-bottom: black 1pt solid; font-size: 10pt; text-align: center; padding-right: 5.4pt; padding-left: 5.4pt; vertical-align: bottom"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 8pt">Nature
      of Acquisition Transaction</FONT></TD>
      <TD STYLE="width: 23%; border-top: black 1pt solid; border-right: black 1pt solid; border-bottom: black 1pt solid; text-align: center; padding-right: 5.4pt; padding-left: 5.4pt; vertical-align: bottom"><P STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; text-align: center; margin-bottom: 0pt"><FONT STYLE="font-size: 8pt">Name
          of Person from Whom Acquired</FONT></P>
          <P STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; text-align: center; margin-bottom: 0pt"><FONT STYLE="font-size: 8pt"><I>(If
          gift, also give date donor acquired)</I></FONT></P></TD>
      <TD STYLE="width: 11%; border-top: black 1pt solid; border-right: black 1pt solid; border-bottom: black 1pt solid; font-size: 10pt; text-align: center; padding-right: 5.4pt; padding-left: 5.4pt; vertical-align: bottom"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 8pt">Amount
      of Securities Acquired</FONT></TD>
      <TD STYLE="width: 10%; border-top: black 1pt solid; border-right: black 1pt solid; border-bottom: black 1pt solid; font-size: 10pt; text-align: center; padding-right: 5.4pt; padding-left: 5.4pt; vertical-align: bottom"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 8pt">Date
      of Payment</FONT></TD>
      <TD STYLE="width: 14%; border-top: black 1pt solid; border-right: black 1pt solid; border-bottom: black 1pt solid; font-size: 10pt; text-align: center; padding-right: 5.4pt; padding-left: 5.4pt; vertical-align: bottom"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 8pt">Nature
      of Payment</FONT></TD></TR>
  <TR STYLE="vertical-align: top">
      <TD STYLE="border-right: black 1pt solid; border-bottom: black 1pt solid; border-left: black 1pt solid; font-size: 10pt; text-align: center; padding-right: 5.4pt; padding-left: 5.4pt"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 8pt">Common
      Stock</FONT></TD>
      <TD STYLE="border-right: black 1pt solid; border-bottom: black 1pt solid; text-align: center; padding-right: 5.4pt; padding-left: 5.4pt"><P STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt; text-align: center"><FONT STYLE="font-size: 8pt">7/31/2002</FONT></P>
          <P STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt; text-align: center"><FONT STYLE="font-size: 8pt">4/1/2003</FONT></P>
          <P STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt; text-align: center"><FONT STYLE="font-size: 8pt">2002
          to 2019</FONT></P></TD>
      <TD STYLE="border-right: black 1pt solid; border-bottom: black 1pt solid; text-align: center; padding-right: 5.4pt; padding-left: 5.4pt"><P STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt; text-align: center"><FONT STYLE="font-size: 8pt">Share
          Purchase</FONT></P>
          <P STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt; text-align: center"><FONT STYLE="font-size: 8pt">Capital
          Contribution of Shares of RMT</FONT></P>
          <P STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt; text-align: center"><FONT STYLE="font-size: 8pt">Dividend
          Reinvestment</FONT></P></TD>
      <TD STYLE="border-right: black 1pt solid; border-bottom: black 1pt solid; text-align: center; padding-right: 5.4pt; padding-left: 5.4pt"><P STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt; text-align: center"><FONT STYLE="font-size: 8pt">Charles
          M. Royce</FONT></P>
          <P STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt; text-align: center"><FONT STYLE="font-size: 8pt">1992
          GST Trust</FONT></P></TD>
      <TD STYLE="border-right: black 1pt solid; border-bottom: black 1pt solid; text-align: center; padding-right: 5.4pt; padding-left: 5.4pt"><P STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt; text-align: center"><FONT STYLE="font-size: 8pt">37,838</FONT></P>
          <P STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt; text-align: center"><FONT STYLE="font-size: 8pt">115,599</FONT></P>
          <P STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt; text-align: center"><FONT STYLE="font-size: 8pt">224,563</FONT></P></TD>
      <TD STYLE="border-right: black 1pt solid; border-bottom: black 1pt solid; text-align: center; padding-right: 5.4pt; padding-left: 5.4pt"><P STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt; text-align: center"><FONT STYLE="font-size: 8pt">7/31/2002</FONT></P>
          <P STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt; text-align: center"><FONT STYLE="font-size: 8pt">&nbsp;</FONT></P>
          <P STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt; text-align: center"><FONT STYLE="font-size: 8pt">2002
          to 2019</FONT></P></TD>
      <TD STYLE="border-right: black 1pt solid; border-bottom: black 1pt solid; text-align: center; padding-right: 5.4pt; padding-left: 5.4pt"><P STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt; text-align: center"><FONT STYLE="font-size: 8pt">Cash</FONT></P>
          <P STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt; text-align: center"><FONT STYLE="font-size: 8pt">&nbsp;</FONT></P>
          <P STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt; text-align: center"><FONT STYLE="font-size: 8pt">Shares
          from</FONT></P>
          <P STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt; text-align: center"><FONT STYLE="font-size: 8pt">Dividend
          Reinvestment</FONT></P>
          <P STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt; text-align: center"><FONT STYLE="font-size: 8pt">&nbsp;</FONT></P>
          <P STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt; text-align: center"><FONT STYLE="font-size: 8pt">&nbsp;</FONT></P>
          <P STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt; text-align: center"><FONT STYLE="font-size: 8pt">&nbsp;</FONT></P>
          <P STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt; text-align: center"><FONT STYLE="font-size: 8pt">&nbsp;</FONT></P>
          <P STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt; text-align: center"><FONT STYLE="font-size: 8pt">&nbsp;</FONT></P></TD></TR>
  </TABLE>
  
  
  <P STYLE="margin: 0">&nbsp;</P>
  
  <P STYLE="margin: 0"></P>
  
  <TABLE CELLPADDING="0" CELLSPACING="0" STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0; margin-bottom: 0; width: 50%"><TR STYLE="vertical-align: top; text-align: justify">
  <TD STYLE="width: 15%; text-align: left"><FONT STYLE="font-size: 8pt"><B>INSTRUCTIONS:</B></FONT></TD><TD STYLE="text-align: justify; width: 35%; padding-left: 0.125in; text-indent: -0.125in"><FONT STYLE="font-size: 8pt">If
                                           the securities were purchased and full payment therefor was not made in cash at the time
                                           of purchase, explain in the table or in a note thereto the nature of the consideration
                                           given. If the consideration consisted of any note or other obligation, or if payment
                                           was made in installments describe the arrangement and state when the note or other obligation
                                           was discharged in full or the last installment paid.</FONT></TD>
  </TR></TABLE>
  
  
  
  <P STYLE="margin: 0"></P>
  
  <!-- Field: Rule-Page --><DIV ALIGN="LEFT" STYLE="margin-top: 3pt; margin-bottom: 3pt"><DIV STYLE="font-size: 1pt; border-top: Black 0pt solid; width: 100%">&nbsp;</DIV></DIV><!-- Field: /Rule-Page -->
  
  <P STYLE="margin: 0"></P>
  
  <P STYLE="margin: 0"></P>
  
  <P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 43.95pt 0pt 18.75pt; text-align: center"><FONT STYLE="font-size: 12pt"><B>TABLE
  II &ndash;&ndash; SECURITIES SOLD DURING THE PAST 3 MONTHS</B></FONT></P>
  
  <P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 44.3pt 0pt 18.75pt; text-align: center"><FONT STYLE="font-size: 10pt"><I>Furnish
  the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the
  securities are to be sold.</I></FONT></P>
  
  
  
  <P STYLE="margin: 0">&nbsp;</P>
  
  <P STYLE="margin: 0"></P>
  
  <TABLE CELLSPACING="0" CELLPADDING="0" STYLE="width: 100%; font-size: 10pt; border-collapse: collapse">
  <TR STYLE="vertical-align: top">
      <TD STYLE="width: 44%; border: black 1pt solid; text-align: center"><P STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; text-align: center; margin-bottom: 0pt"><FONT STYLE="font-size: 8pt"><I>&nbsp;</I></FONT></P>
          <P STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt; text-align: center"><FONT STYLE="font-size: 8pt">Name
          and Address of Seller</FONT></P></TD>
      <TD STYLE="width: 24%; border-top: black 1pt solid; border-right: black 1pt solid; border-bottom: black 1pt solid; text-align: center"><P STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; text-align: center; margin-bottom: 0pt"><FONT STYLE="font-size: 8pt"><I>&nbsp;</I></FONT></P>
          <P STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; text-align: center; margin-bottom: 0pt"><FONT STYLE="font-size: 8pt">Title
          of Securities Sold</FONT></P></TD>
      <TD STYLE="width: 10%; border-top: black 1pt solid; border-right: black 1pt solid; border-bottom: black 1pt solid; text-align: center"><P STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; text-align: center; margin-bottom: 0pt"><FONT STYLE="font-size: 8pt"><I>&nbsp;</I></FONT></P>
          <P STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; text-align: center; margin-bottom: 0pt"><FONT STYLE="font-size: 8pt">Date
          of Sale</FONT></P></TD>
      <TD STYLE="width: 10%; border-top: black 1pt solid; border-right: black 1pt solid; border-bottom: black 1pt solid; font-size: 10pt; text-align: center"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 8pt">Amount
      of Securities Sold</FONT></TD>
      <TD STYLE="width: 12%; border-top: black 1pt solid; border-right: black 1pt solid; border-bottom: black 1pt solid; text-align: center"><P STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; text-align: center; margin-bottom: 0pt"><FONT STYLE="font-size: 8pt"><I>&nbsp;</I></FONT></P>
          <P STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; text-align: center; margin-bottom: 0pt"><FONT STYLE="font-size: 8pt">Gross
          Proceeds</FONT></P></TD></TR>
  <TR STYLE="vertical-align: top">
      <TD STYLE="border-right: black 1pt solid; border-bottom: black 1pt solid; border-left: black 1pt solid; font-size: 10pt; text-align: center"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 8pt">Not
      applicable</FONT></TD>
      <TD STYLE="border-right: black 1pt solid; border-bottom: black 1pt solid; font-size: 10pt; text-align: center"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 8pt">Not
      applicable</FONT></TD>
      <TD STYLE="border-right: black 1pt solid; border-bottom: black 1pt solid; font-size: 10pt; text-align: center"><P STYLE="margin-top: 0; margin-bottom: 0"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 8pt">Not</FONT></P>
                                                                                  <P STYLE="margin-top: 0; margin-bottom: 0"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 8pt">applicable</FONT></P>
                                                                                  <P STYLE="margin-top: 0; margin-bottom: 0"><FONT STYLE="font-size: 8pt">&nbsp;</FONT></P>
                                                                                  <P STYLE="margin-top: 0; margin-bottom: 0"><FONT STYLE="font-size: 8pt">&nbsp;</FONT></P>
                                                                                  <P STYLE="margin-top: 0; margin-bottom: 0"><FONT STYLE="font-size: 8pt">&nbsp;</FONT></P>
                                                                                  <P STYLE="margin-top: 0; margin-bottom: 0"><FONT STYLE="font-size: 8pt">&nbsp;</FONT></P>
                                                                                  <P STYLE="margin-top: 0; margin-bottom: 0"><FONT STYLE="font-size: 8pt">&nbsp;</FONT></P>
                                                                                  <P STYLE="margin-top: 0; margin-bottom: 0"><FONT STYLE="font-size: 8pt">&nbsp;</FONT></P>
                                                                                  <P STYLE="margin-top: 0; margin-bottom: 0"><FONT STYLE="font-size: 8pt">&nbsp;</FONT></P></TD>
      <TD STYLE="border-right: black 1pt solid; border-bottom: black 1pt solid; font-size: 10pt; text-align: center"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 8pt">Not
      applicable</FONT></TD>
      <TD STYLE="border-right: black 1pt solid; border-bottom: black 1pt solid; font-size: 10pt; text-align: center"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 8pt">Not
      applicable</FONT></TD></TR>
  </TABLE>
  
  
  <P STYLE="margin: 0"></P>
  
  <P STYLE="margin: 0"></P>
  
  <P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify"><FONT STYLE="font-size: 8pt"><B>REMARKS:
  </B>*The s<FONT STYLE="background-color: white">hares of common stock to be sold are 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.</FONT></FONT></P>
  
  <P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0 0pt 6.35pt; text-align: justify"><FONT STYLE="font-size: 8pt">&nbsp;</FONT></P>
  
  <P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0 0pt 6.35pt; text-align: justify"><FONT STYLE="font-size: 8pt">&nbsp;</FONT></P>
  
  
  
  <P STYLE="margin: 0"></P>
  
  <TABLE CELLSPACING="0" CELLPADDING="0" STYLE="font-size: 10pt; width: 100%; border-collapse: collapse">
  <TR STYLE="vertical-align: top">
      <TD STYLE="width: 48%; font-size: 10pt"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 8pt"><B>INSTRUCTIONS:</B></FONT></TD>
      <TD STYLE="width: 2%"><FONT STYLE="font-size: 8pt">&nbsp;</FONT></TD>
      <TD STYLE="width: 49%; font-size: 10pt"><FONT STYLE="font-size: 8pt">&nbsp;</FONT></TD></TR>
  <TR STYLE="vertical-align: top">
      <TD STYLE="font-size: 10pt; text-align: justify"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 8pt">See
      the definition of &ldquo;person&rdquo; in paragraph (a) of Rule 144. Information is to be given not only as to the person
      for whose account the securities are to be sold but also as to all other persons included in that definition. In addition,
      information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated
      with sales for the account of the person filing this notice.</FONT></TD>
      <TD><FONT STYLE="font-size: 8pt">&nbsp;</FONT></TD>
      <TD STYLE="font-size: 10pt"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 8pt"><B>ATTENTION:</B> <I>The
      person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice
      that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of
      the securities to be sold which has not been publicly disclosed. If such person has adopted&nbsp;&nbsp;&nbsp;a written trading
      plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date
      that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction
      date.</I></FONT></TD></TR>
  </TABLE>
  
  <P STYLE="margin-top: 0; margin-bottom: 0">&nbsp;</P>
  
  
  <TABLE CELLPADDING="0" CELLSPACING="0" BORDER="0" STYLE="width: 100%">
  <TR STYLE="vertical-align: top">
      <TD STYLE="padding-left: 10pt; text-indent: -10pt; width: 50%; text-align: center; vertical-align: middle"><FONT STYLE="font-size: 8pt">&nbsp;September
      11, 2020</FONT></TD>
      <TD STYLE="padding-left: 10pt; text-indent: -10pt; width: 50%; text-align: center; vertical-align: middle"><FONT STYLE="font-size: 8pt">&nbsp;&nbsp;/s/ Charles M. Royce</FONT></TD></TR>
  </TABLE>
  
  
  <P STYLE="margin: 0"></P>
  
  <TABLE CELLSPACING="0" CELLPADDING="0" STYLE="font-size: 10pt; width: 100%; border-collapse: collapse">
  <TR STYLE="vertical-align: top">
      <TD STYLE="width: 5%"><FONT STYLE="font-size: 8pt">&nbsp;</FONT></TD>
      <TD STYLE="width: 39%; font-size: 10pt; text-align: center; border-top: Black 1pt solid"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 8pt">DATE
      OF NOTICE</FONT></TD>
      <TD STYLE="width: 5%"><FONT STYLE="font-size: 8pt">&nbsp;</FONT></TD>
      <TD STYLE="width: 2%"><FONT STYLE="font-size: 8pt">&nbsp;</FONT></TD>
      <TD STYLE="width: 5%"><FONT STYLE="font-size: 8pt">&nbsp;</FONT></TD>
      <TD STYLE="width: 39%; font-size: 10pt; text-align: center; border-top: Black 1pt solid"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 8pt">(SIGNATURE)</FONT></TD>
      <TD STYLE="width: 5%"><FONT STYLE="font-size: 8pt">&nbsp;</FONT></TD></TR>
  <TR STYLE="vertical-align: top">
      <TD><FONT STYLE="font-size: 8pt">&nbsp;</FONT></TD>
      <TD STYLE="font-size: 10pt; text-align: center; border-bottom: Black 1pt solid"><FONT STYLE="font-size: 8pt">&nbsp;</FONT></TD>
      <TD><FONT STYLE="font-size: 8pt">&nbsp;</FONT></TD>
      <TD><FONT STYLE="font-size: 8pt">&nbsp;</FONT></TD>
      <TD><FONT STYLE="font-size: 8pt">&nbsp;</FONT></TD>
      <TD STYLE="font-size: 10pt; text-align: center"><FONT STYLE="font-size: 8pt">&nbsp;</FONT></TD>
      <TD><FONT STYLE="font-size: 8pt">&nbsp;</FONT></TD></TR>
  <TR STYLE="vertical-align: top">
      <TD><FONT STYLE="font-size: 8pt">&nbsp;</FONT></TD>
      <TD STYLE="font-size: 10pt; text-align: center"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 8pt">DATE
      OF PLAN ADOPTION OR GIVING OF INSTRUCTION, IF RELYING ON RULE 10B5-1</FONT></TD>
      <TD><FONT STYLE="font-size: 8pt">&nbsp;</FONT></TD>
      <TD><FONT STYLE="font-size: 8pt">&nbsp;</FONT></TD>
      <TD COLSPAN="3" STYLE="text-align: center"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 8pt"><I>The
      &nbsp;notice &nbsp;shall &nbsp;be &nbsp;signed &nbsp;by &nbsp;the &nbsp;person &nbsp;for &nbsp;whose &nbsp;account &nbsp;the
      &nbsp;securities &nbsp;are &nbsp;to &nbsp;be &nbsp;sold.&nbsp;&nbsp;&nbsp;At &nbsp;least &nbsp;one &nbsp;copy of&nbsp;&nbsp;the
      &nbsp;notice &nbsp;shall &nbsp;be &nbsp;manually &nbsp;signed.Any &nbsp;copies &nbsp;not &nbsp;manually &nbsp;signed &nbsp;shall
      &nbsp;bear &nbsp;typed &nbsp;or &nbsp;printed &nbsp;signatures.</I></FONT></TD></TR>
  </TABLE>
  <P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>
  
  <TABLE CELLSPACING="0" CELLPADDING="0" STYLE="font-size: 10pt; width: 100%; border-collapse: collapse">
  <TR STYLE="vertical-align: top">
      <TD STYLE="width: 100%; font-size: 10pt; text-align: center; border: Black 1pt solid"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 11pt"><B>ATTENTION:
      &nbsp;Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)</B></FONT></TD></TR>
  </TABLE>
  <P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>
  
  <P STYLE="margin: 0; text-align: right"></P>
  
  
  
  </BODY>
  </HTML>
metadata_documents: [{"type": "144", "sequence": "1", "filename": "g70856-rmt_144.htm", "secsgml_size_bytes": 58845}]
text: 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
  ATTENTION:
  Transmit for filing 3 copies of this form concurrently with either placing an order with a broker to execute sale
          or executing a sale directly with a market maker.
  OMB
      APPROVAL
  OMB
                                           Number:        3235-0101
  Expires:
                  July 31, 2023
  Estimated
          average burden hours per response         1.00
  SEC
      USE ONLY
  DOCUMENT
                                           SEQUENCE NO.
  CUSIP
  NUMBER
  1
  (a)
  NAME OF ISSUER
  (Please type or print)
  Royce
          Micro-Cap Trust, Inc.
  (b)
  IRS IDENT. NO.
  13-3739778
  (c)
  S.E.C. FILE NO.
  333-107924
  ZIP
          CODE
  WORK LOCATION
  1
  (d)
  ADDRESS OF ISSUER
  STREET
  745
          Fifth Avenue
  CITY
  New York
  STATE
  NY
  10151
  (e)
  TELEPHONE NO.
  AREA
      CODE
  NUMBER
  2
  (a)
  NAME OF PERSON FOR WHOSE ACCOUNT THE SECURITIES ARE TO BE SOLD
  Charles
          M. Royce*
  RELATIONSHIP
                                           TO ISSUER
  Portfolio
          Manager
  (c)
  ADDRESS STREET
  745
          Fifth Avenue
  CITY
  New
          York
  STATE
  NY
  ZIP
                                           CODE
  10151
  INSTRUCTION: The
  person filing this notice should contact the issuer to obtain the I.R.S. Identification Number and the S.E.C. File Number.
  3
  (a)
  (b)
  SEC
      USE ONLY
  (c)
  (d)
  (e)
  (f)
  (g)
  Title
      of the Class of Securities To Be Sold
  Name
      and Address of Each Broker Through Whom the Securities are to be Offered or Each Market Maker who is Acquiring the Securities
  Broker-Dealer
      File Number
  Number
                                           of Shares or Other Units
  To
          Be Sold
  (See
          instr. 3(c))
  Aggregate
                                           Market Value
  (See
          instr. 3(d))
  Number
                                           of Shares or Other Units Outstanding
  (See
          instr. 3(e))
  Approximate
                                           Date of Sale
  (See
          instr. 3(f))
  (MO. DAY YR.)
  Name
                                           of Each Securities Exchange
  (See
          instr. 3(g))
  Common
      Stock
  Rockefeller
                                           Financial LLC
  45
          Rockefeller Plaza
  Floor
          5
  New
          York, NY 10111
  378,000
  2,929,500
  (based
          on
  September
          10, 2020 market close
  of $7.75 per share)
  43,098,921
  (as
          of June 30, 2020 semiannual report)
  From
      date hereof through
  September 25, 2020
  NYSE
  INSTRUCTIONS:
  1.
  (a)
  Name of issuer
  (b)
  Issuer's
                                           I.R.S. Identification Number
  (c)
  Issuer's
                                           S.E.C. file number, if any
  (d)
  Issuer's
                                           address, including zip code
  (e)
  Issuer's
                                           telephone number, including area code
  2. .
  (a)
  Name of person for whose account
                                           the securities are to be sold
  (b)
  Such
                                           person's relationship to the issuer (e.g., officer, director, 10% stockholder,
                                           or member of immediate family of any of the foregoing)
  (c)
  Such
                                           person's address, including zip code
  3.
  (a)
  Title of the class of securities to
                                           be sold
  (b)
  Name
                                           and address of each broker through whom the securities are intended to be sold
  (c)
  Number
                                           of shares or other units to be sold (if debt securities, give the aggregate face amount)
  (d)
  Aggregate
                                           market value of the securities to be sold as of a specified date within 10 days prior
                                           to the filing of this notice
  (e)
  Number
                                           of shares or other units of the class outstanding, or if debt securities the face amount
                                           thereof outstanding, as shown by the most recent report or statement published by the
                                           issuer
  (f)
  Approximate
                                           date on which the securities are to be sold
  (g)
  Name
                                           of each securities exchange, if any, on which the securities are intended to be sold
  Potential persons who are to respond to the collection of information contained in this form are not
  required to respond unless the form displays a currently valid OMB control number.
  TABLE
  I –– SECURITIES TO BE SOLD
  Furnish
  the following information with respect to the acquisition of the securities to be sold
  and
  with respect to the payment of all or any part of the purchase price or other consideration therefor:
  Title
      of the Class
  Date
      you Acquired
  Nature
      of Acquisition Transaction
  Name
          of Person from Whom Acquired
  (If
          gift, also give date donor acquired)
  Amount
      of Securities Acquired
  Date
      of Payment
  Nature
      of Payment
  Common
      Stock
  7/31/2002
  4/1/2003
  2002
          to 2019
  Share
          Purchase
  Capital
          Contribution of Shares of RMT
  Dividend
          Reinvestment
  Charles
          M. Royce
  1992
          GST Trust
  37,838
  115,599
  224,563
  7/31/2002
  2002
          to 2019
  Cash
  Shares
          from
  Dividend
          Reinvestment
  INSTRUCTIONS:
  If
                                           the securities were purchased and full payment therefor was not made in cash at the time
                                           of purchase, explain in the table or in a note thereto the nature of the consideration
                                           given. If the consideration consisted of any note or other obligation, or if payment
                                           was made in installments describe the arrangement and state when the note or other obligation
                                           was discharged in full or the last installment paid.
  TABLE
  II –– SECURITIES SOLD DURING THE PAST 3 MONTHS
  Furnish
  the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the
  securities are to be sold.
  Name
          and Address of Seller
  Title
          of Securities Sold
  Date
          of Sale
  Amount
      of Securities Sold
  Gross
          Proceeds
  Not
      applicable
  Not
      applicable
  Not
  applicable
  Not
      applicable
  Not
      applicable
  REMARKS:
  *The s
  hares of common stock to be sold are 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.
  INSTRUCTIONS:
  See
      the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person
      for whose account the securities are to be sold but also as to all other persons included in that definition. In addition,
      information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated
      with sales for the account of the person filing this notice.
  ATTENTION:
  The
      person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice
      that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of
      the securities to be sold which has not been publicly disclosed. If such person has adopted   a written trading
      plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date
      that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction
      date.
  September
      11, 2020
  /s/ Charles M. Royce
  DATE
      OF NOTICE
  (SIGNATURE)
  DATE
      OF PLAN ADOPTION OR GIVING OF INSTRUCTION, IF RELYING ON RULE 10B5-1
  The
       notice  shall  be  signed  by  the  person  for  whose  account  the
       securities  are  to  be  sold.   At  least  one  copy of  the
       notice  shall  be  manually  signed.Any  copies  not  manually  signed  shall
       bear  typed  or  printed  signatures.
  ATTENTION:
       Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)