SEC Form 4 · accession 0001140361-15-002009
SPROTT FOCUS TRUST INC. · FUND
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
W Whitney George
Officer — Vice President · Director · 10% Owner · Other
Period of report
Jan 15, 2015
Accepted (ET)
Jan 16, 2015 · 4:02 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000825202
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jan 15, 2015 | P | 10,000 | $7.098 | A | 2,343,140 | D | |
| Common Stock | Jan 15, 2015 | P | 6,000 | $7.10 | A | 2,330,140 | D | |
| Common Stock | holding | — | — | — | 1,094,437 | I | Held by Spouse | |
| Common Stock | holding | — | — | — | 437,817 | I | Held by Children | |
| Common StockF1 | holding | — | — | — | 148,136 | I | Held in a Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares held in The Mallory Descendant's Trust U/T/A DTD 12/13/2013 (the "Trust"). Mr. George serves as trustee of the Trust and, in such capacity, has investment and voting discretion over shares held by the Trust. Mr. George's spouse has a pecuniary interest in the Trust.