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
  1. 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.
  2. 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.