Filing Details
- Accession Number:
- 0000919574-18-000913
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-02-07 19:00:44
- Reporting Period:
- 2018-02-05
- Accepted Time:
- 2018-02-07 19:00:44
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
825202 | Sprott Focus Trust Inc. | FUND | (0) | 592876580 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1185838 | Whitney W George | C/O Sprott Asset Management Usa Inc. 1910 Palomar Point Way, Suite 200 Carlsbad CA 92008 | Yes | No | Yes | Yes |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2018-02-05 | 25,000 | $7.92 | 1,322,231 | No | 4 | P | Indirect | Held by Spouse |
Common Stock | Acquisiton | 2018-02-05 | 25,000 | $7.86 | 1,347,231 | No | 4 | P | Indirect | Held by Spouse |
Common Stock | Acquisiton | 2018-02-05 | 6,157 | $7.78 | 1,353,388 | No | 4 | P | Indirect | Held by Spouse |
Common Stock | Acquisiton | 2018-02-06 | 9,389 | $7.68 | 1,362,777 | No | 4 | P | Indirect | Held by Spouse |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Indirect | Held by Spouse |
No | 4 | P | Indirect | Held by Spouse |
No | 4 | P | Indirect | Held by Spouse |
No | 4 | P | Indirect | Held by Spouse |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 4,627,478 | Direct | |
Common Stock | 108,232 | Indirect | Held by Son |
Common Stock | 249,426 | Indirect | Held by Trust |
Common Stock | 92,350 | Indirect | Held by Trust |
Footnotes
- Shares held by The Mallory Descendant's Trust U/T/A DTD 12/31/2013 (the "Descendant's Trust"). Mr. George serves as trustee of the Descendant's Trust and, in such capacity, has investment and voting discretion over shares by the Descendant's Trust. As a beneficiary of the Descendant's Trust, Mr. George's spouse has a pecuniary interest in the Descendant's Trust. Mr. George may be deemed to beneficially own the shares held by the Descendant's Trust.
- Shares held by The TDM & BBM Trust U/T/A DTD 3/25/2013 (the "B&D Mallory Trust"). Mr. George serves as trustee of the TDM & BBM Trust and, in such capacity, has investment and voting discretion over shares by the B&D Mallory Trust. Mr. George may be deemed to beneficially own the shares held by the B&D Mallory Trust.