# Portfolio overlap — RCPFX vs AFSM

Comparing **Royce Capital Fund - Small-Cap Portfolio** (2026-03-31) and **First Trust Active Factor Small Cap ETF** (2026-02-28).

- Shared positions: 30
- Royce Capital Fund - Small-Cap Portfolio covered by First Trust Active Factor Small Cap ETF: 0.1006016991719013240411462074
- First Trust Active Factor Small Cap ETF covered by Royce Capital Fund - Small-Cap Portfolio: 0.1006016991719013240411462074

## Royce Capital Fund - Small-Cap Portfolio — top positions

| Security | Weight | Shared |
|----------|--------|--------|
| DIEBOLD NIXDORF INC | 0.021986 |  |
| TD SYNNEX CORP | 0.020539 |  |
| CATALYST PHARMACEUTICALS INC | 0.020082 | ✓ |
| VILLAGE SUPER MKT INC CL A NEW | 0.019972 |  |
| TIMBERLAND BANCP | 0.019951 |  |
| IBEX LTD | 0.019848 |  |
| MATADOR RESOURCES COMPANY | 0.018673 |  |
| ALLISON TRANSMISSION HLDGS INC | 0.018566 |  |
| SM ENERGY CO | 0.018423 |  |
| LEAR CORP NEW | 0.018421 |  |
| BLUE BIRD CORP | 0.018259 | ✓ |
| UNITY BANCORP INC | 0.018072 |  |
| Teekay Tankers Ltd., Class A | 0.017970 | ✓ |
| GENCO SHIPPING and TRADING LTD | 0.017741 | ✓ |
| THE BUCKLE INC | 0.017491 | ✓ |
| PULTEGROUP INC | 0.017371 |  |
| M/I HOMES INC | 0.017260 | ✓ |
| ENACT HOLDINGS INC | 0.016813 | ✓ |
| EVERCORE INC A | 0.016435 |  |
| KORN FERRY | 0.016394 | ✓ |
| FIRST BANK/HAMILTON NJ | 0.016080 |  |
| VISTEON CORP | 0.015913 |  |
| SANMINA CORP | 0.015834 | ✓ |
| ACADEMY SPORTS and OUTDOORS INC | 0.015597 | ✓ |
| GENTEX CORP | 0.015552 |  |
| KONTOOR BRANDS INC | 0.015511 |  |
| CIVISTA BANCSHARES INC | 0.015488 |  |
| INTERFACE INC | 0.015039 | ✓ |
| INNOVIVA INC | 0.014907 | ✓ |
| MAXIMUS INC | 0.014690 | ✓ |
| TAYLOR MORRISON HOME CORP | 0.014686 | ✓ |
| BUSINESS FIRST BANCSHARES INC | 0.014457 |  |
| BERKSHIRE HILLS BANCORP INC | 0.014355 |  |
| FS BANCORP INC | 0.014017 |  |
| STRIDE INC | 0.013953 | ✓ |
| BOYD GAMING CORP | 0.013910 |  |
| BURKE & HERBERT | 0.013630 |  |
| RILEY EXPLORATION PERMIAN INC | 0.013466 |  |
| UNITED FIRE GROUP INC | 0.013169 |  |
| SIGNET JEWELERS LTD | 0.013168 | ✓ |
| PC CONNECTION INC | 0.012653 | ✓ |
| DONEGAL GRP-CL A | 0.012602 |  |
| HARMONY BIOSCIENCES HOLDINGS INC | 0.012582 | ✓ |
| WESBANCO INC | 0.012496 |  |
| MID PENN BANCORP INC | 0.011952 |  |
| SHOE CARNIVAL | 0.011814 |  |
| COLLEGIUM PHARMACEUTICAL INC | 0.011516 |  |
| J. JILL INC | 0.011439 |  |
| ADEIA INC | 0.011389 | ✓ |
| CORMEDIX INC | 0.011306 | ✓ |

## First Trust Active Factor Small Cap ETF — top positions

| Security | Weight | Shared |
|----------|--------|--------|
| TTM TECHNOLOGIES INC | 0.014110 |  |
| BLOOM ENERGY CORP CL A | 0.011359 |  |
| AMES NATL CORP | 0.009593 |  |
| VICOR CORPORATION | 0.009423 |  |
| CALEDONIA MINING CORP PLC | 0.009293 |  |
| PEABODY ENERGY CORP | 0.009054 |  |
| GIGACLOUD TECHNOLOGY INC A | 0.009000 |  |
| INTERFACE INC | 0.008968 | ✓ |
| HECLA MINING CO | 0.008766 |  |
| VIAVI SOLUTIONS INC | 0.008586 |  |
| PERIMETER SOLUTIONS SA | 0.007944 |  |
| PHOTRONICS INC | 0.007922 |  |
| NATL HEALTHCARE | 0.007710 |  |
| SCORPIO TANKERS INC | 0.007670 |  |
| NLIGHT INC | 0.007519 |  |
| TACTILE SYSTEMS TECHNOLOGY INC | 0.007409 |  |
| INTERDIGITAL INC | 0.007320 |  |
| MATSON INC | 0.007075 |  |
| Teekay Tankers Ltd., Class A | 0.007003 | ✓ |
| BROOKDALE SR | 0.006983 |  |
| BEL FUSE INC NV CL B | 0.006825 | ✓ |
| RESOLUTE HOLDINGS MANAGEMENT INC | 0.006798 |  |
| COMFORT SYSTEMS USA INC | 0.006529 |  |
| MITEK SYSTEMS INC | 0.006484 |  |
| ENERSYS INC | 0.006342 |  |
| ASTRONICS CORP | 0.006265 |  |
| KRYSTAL BIOTECH INC | 0.006198 |  |
| HALOZYME THERAPEUTICS INC | 0.006153 |  |
| SIRIUSPOINT LTD | 0.006117 |  |
| CARPENTER TECHNOLOGY CORP | 0.006099 |  |
| SENECA FOODS CORP CL A | 0.006063 |  |
| NATL HEALTH INV | 0.006018 |  |
| LAUREATE EDUCATION INC CL A | 0.005962 |  |
| MACYS INC | 0.005953 |  |
| TUTOR PERINI CORP | 0.005920 |  |
| ARCUTIS BIOTHERAPEUTICS INC | 0.005904 |  |
| CREDO TECHNOLOGY GROUP HOLDING LTD | 0.005855 |  |
| HERBALIFE NUTRITION LTD | 0.005806 |  |
| COSTAMARE INC | 0.005800 |  |
| INDIVIOR PHARMACEUTICALS INC | 0.005718 |  |
| DAKTRONICS INC | 0.005661 |  |
| MGIC INVT CORP | 0.005611 |  |
| TERADATA CORP | 0.005571 |  |
| EMCOR GROUP INC | 0.005560 |  |
| TRUSTCO BANK NY | 0.005539 | ✓ |
| BANK FIRST CORP | 0.005537 |  |
| CATALYST PHARMACEUTICALS INC | 0.005475 | ✓ |
| FIRST FIN COR/IN | 0.005474 |  |
| HERITAGE INSURANCE HOLDINGS INC | 0.005441 |  |
| AMALGAMATED FINANCIAL CORP | 0.005396 |  |


## Sources

- N-PORT (fund A) — accession `0001410368-26-049630` (as of 2026-03-31)
  <https://www.sec.gov/Archives/edgar/data/1006387/000141036826049630/0001410368-26-049630-index.htm>
- N-PORT (fund B) — accession `0000940400-26-014530` (as of 2026-02-28)
  <https://www.sec.gov/Archives/edgar/data/1667919/000094040026014530/0000940400-26-014530-index.htm>

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