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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Sprott Focus Trust Inc | NASDAQ:FUND | NASDAQ | Common Stock |
Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
0.0868 | 1.11% | 7.89 | 7.68 | 8.05 | 7.93 | 7.84 | 7.84 | 14,944 | 22:45:19 |
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 |
OMB APPROVAL
OMB Number: 3235-0287 Estimated average burden hours per response... 0.5 |
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1. Name and Address of Reporting Person * GEORGE W WHITNEY | 2. Issuer Name and Ticker or Trading Symbol SPROTT FOCUS TRUST INC. [ FUND ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director __X__ 10% Owner _____ Officer (give title below) __X__ Other (specify below) Senior Portfolio Manager |
3. Date of Earliest Transaction
(MM/DD/YYYY)
| ||
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
1.Title of Security (Instr. 3) | 2. Trans. Date | 2A. Deemed Execution Date, if any |
3. Trans. Code (Instr. 8) |
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 12/6/2022 | G | V | 6000 | D | $0.00 | 7368380 (6) | D | ||
Common Stock | 12/6/2022 | G | V | 9000 | D | $0.00 | 2719047 (6) | I | Held by Spouse | |
Common Stock | 1/3/2023 | G | V | 6399 (7) | D | $0.00 | 7361981 | D | ||
Common Stock | 1/3/2023 | G | V | 6399 (7) | D | $0.00 | 2712648 | I | Held by Spouse | |
Common Stock | 1/3/2023 | G | V | 4266 (7) | A | $0.00 | 190380 (6) | I | Held by Son | |
Common Stock | 1148293 (6) | I | Held by Trust (1) | |||||||
Common Stock | 2085978 (6) | I | Held by Foundation (2) | |||||||
Common Stock | 92123 (6) | I | Held by Trust (3) | |||||||
Common Stock | 322085 (6) | I | Held by Trust (4) | |||||||
Common Stock | 322085 (6) | I | Held by Trust (5) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Remarks: Mr. George disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that Mr. George is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |
Reporting Owners | |||||
Reporting Owner Name / Address | |||||
Director | 10% Owner | Officer | Other | ||
GEORGE W WHITNEY C/O SPROTT ASSET MANAGEMENT USA INC. 1910 PALOMAR POINT WAY, SUITE 200 CARLSBAD, CA 92008 | X | X | Senior Portfolio Manager |
Signatures | ||
/s/ W. Whitney George | 1/4/2023 | |
**Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1 Year Sprott Focus Chart |
1 Month Sprott Focus Chart |
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