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Filing Details

Accession Number:: 0000899243-20-027846
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2020-10-08 18:23:41
Reporting Period:: 2020-10-06

Accepted Time:: 2020-10-08 18:23:41
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

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2020-10-06	73,358	$6.00	2,431,703	No	4	P	Indirect	Held by Spouse
Common Stock	Acquisiton	2020-10-07	92	$5.98	2,431,795	No	4	P	Indirect	Held by Spouse
Common Stock	Acquisiton	2020-10-08	17,978	$6.15	2,449,773	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

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	6,695,745	Direct
Common Stock	951,194	Indirect	Held by Trust
Common Stock	518,097	Indirect	Held by Trust
Common Stock	146,661	Indirect	Held by Son
Common Stock	1,727,927	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.
Amount of shares beneficially owned includes shares acquired under the Issuer's Dividend Reinvestment Program (the "DRIP"). Shares were last acquired under the DRIP on September 25, 2020.
Represents the weighted average purchase price of multiple transactions with a range of prices between $5.98 and $6.00. 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 $6.11 and $6.17. 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.