Filing Details
- Accession Number:
- 0000899243-18-031213
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-12-17 16:21:47
- Reporting Period:
- 2018-12-13
- Accepted Time:
- 2018-12-17 16:21:47
- 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 | 2018-12-13 | 50,000 | $6.20 | 5,036,704 | No | 4 | P | Direct | |
Common Stock | Acquisiton | 2018-12-13 | 50,000 | $6.19 | 5,086,704 | No | 4 | P | Direct | |
Common Stock | Acquisiton | 2018-12-13 | 50,000 | $6.15 | 5,136,704 | No | 4 | P | Direct | |
Common Stock | Acquisiton | 2018-12-13 | 22,351 | $6.12 | 5,159,055 | No | 4 | P | Direct | |
Common Stock | Acquisiton | 2018-12-14 | 27,649 | $6.07 | 5,186,704 | No | 4 | P | Direct | |
Common Stock | Acquisiton | 2018-12-14 | 25,000 | $6.05 | 5,211,704 | No | 4 | P | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Direct | |
No | 4 | P | Direct | |
No | 4 | P | Direct | |
No | 4 | P | Direct | |
No | 4 | P | Direct | |
No | 4 | P | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 1,465,006 | Indirect | Held by Spouse |
Common Stock | 479,435 | Indirect | Held by Trust |
Common Stock | 312,040 | Indirect | Held by Trust |
Common Stock | 113,705 | Indirect | Held by Son |
Common Stock | 1,440,075 | Indirect | Held by Foundation |
Footnotes
- Shares held by a trust established for the benefit of Mr. George's children. As beneficiaries of the trust, Mr. George's children have a pecuniary interest in the trust. Mr. George may be deemed to beneficially own the shares held by the trust.
- 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 held 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 Meredith and Whitney George Family Foundation (the "Foundation"). Mr. George serves as Chairman of the Foundation and, in such capacity, has investment and voting discretion over shares held by the Foundation.
- Represents the weighted average purchase price of multiple transactions with a range of prices between $6.17 and $6.21. Mr. George hereby undertakes to provide, upon request by the Securities and Exchange Commission staff, the issuer, or a stockholder of the issuer, full information regarding the number of shares purchased at each separate price.
- Represents the weighted average purchase price of multiple transactions with a range of prices between $6.06 and $6.08. Mr. George hereby undertakes to provide, upon request by the Securities and Exchange Commission staff, the issuer, or a stockholder of the issuer, full information regarding the number of shares purchased at each separate price.