Archived Material: Important Performance Information

Archived material may contain dated performance, risk and other information; please view returns as of the most recent quarter end and month end. Due to changing circumstances over time, statements made in archived material may or may not have continued applicability or relevance in today's environment. Any thoughts concerning market movements and future prospects for small-company stocks are solely those of Royce & Associates, LLC, and, of course, there can be no assurance with regard to future market movements. Small- and micro-cap stocks may involve considerably more risk than larger-cap stocks.

All performance information reflects past performance, is presented on a total return basis and reflects reinvestment of distributions. Current performance may be higher or lower than performance quoted. Past performance is no guarantee of future results. Investment return and principal value will fluctuate so that shares may be worth more or less than their original cost when redeemed. Please read the fund's prospectus carefully and consider a fund's investment goals, risks, fees and expenses before investing or sending money. The prospectus contains this and other information. The Russell 2000, Russell 2000 Value, Russell 2000 Growth, S&P 500, S&P 600, NASDAQ Composite and DJIA are unmanaged indexes of domestic common stocks. Distributor: Royce Fund Services, Inc.

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    2. Important Information About Your 1099 Forms

      If you have a regular account in The Royce Funds (non IRA or qualified account) you may need a corrected 1099-DIV form. We have sent corrected 1099-DIV forms on all funds which previously reported Foreign Tax Paid. This pertains solely to the reporting of Foreign Tax paid on the Royce Open-End Funds. Tax forms were originally mailed during the last week of January, but have since been corrected.

      Q: I received a 1099-DIV form that indicated Foreign Tax Paid in Box 6, what do I do with it?

      A: Originally your 1099-DIV form may have shown an amount in Box 6 that was Foreign Tax Paid, additionally that amount was included in Box 1a. This was included incorrectly and should not have been reported for any fund other than Royce Global Value Fund, Royce International Smaller Companies Fund, Royce European Smaller Companies Fund, Royce Global Select Fund and Royce Asia Pacific Select Fund.

      Q: So what do I do?

      A: On February 7th, 2011, a corrected tax form was created and mailed. The adjustments were made to Box 1a and 6 respectively. The form will bear an "X" in the corrected section on the top of the 1099-DIV form. This form should be used for tax preparation. If you have not filed your return yet, you should delay filing until you receive the corrected form. Corrected electronic forms were released on February 8th, 2011.

      Q: What if I hold one of the funds that had foreign tax paid?

      A: If you have shares in a Royce mutual fund that holds foreign securities, you may take a credit or deduction for foreign taxes that the funds paid. Box 1 on Form 1099-DIV reflects gross income before foreign taxes have been deducted. To claim a tax credit, you may need to file IRS Form 1116, Computation of Foreign Tax Credit. In general, the form does not need to be filed if all foreign source income is "qualified passive income" and if individuals have no more than $300 (married filing jointly, $600) of creditable taxes. As always, please consult with a tax advisor before filing your taxes.

      Q: Can I call the IRS?

      A: If you have questions about reporting on Form 1099-DIV, call the IRS information reporting customer service site toll free at 1-866-455-7438 or 304-263-8700 (not toll free). For TTY/TDD equipment, call 304-579-4827 (not toll free). The hours of operation are Monday through Friday from 8:30 a.m. to 4:30 p.m., Eastern time.

  • © Royce & Associates, LLC, 745 Fifth Avenue, New York, NY 10151, (800) 221-4268. All rights reserved. Distributor of The Royce Fund and Royce Capital Fund: Royce Fund Services, Inc., a wholly owned subsidiary of Royce & Associates. The Royce Funds are offered and sold only to persons residing in the United States and are offered by prospectus only. The prospectuses include investment objectives, risks, fees, expenses, and other information that you should read and consider carefully before investing. View our Policies & Procedures, including, among others, our Sarbanes-Oxley Code of Ethics, Privacy Policy and Proxy Voting Guidelines and Procedures.