SEC Form 4 · accession 0001512920-15-000027
SPROTT FOCUS TRUST INC. · FUND
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
W Whitney George
Director · 10% Owner · Other
Period of report
Nov 12, 2015
Accepted (ET)
Nov 16, 2015 · 10:46 am 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 | Nov 12, 2015 | P | 2,172 | $6.00 | A | 3,247,110 | D | |
| Common Stock | Nov 13, 2015 | P | 47,828 | $5.9981 | A | 3,294,938 | D | |
| Common Stock | Nov 13, 2015 | P | 8,200 | $5.95 | A | 3,303,138 | D | |
| Common Stock | holding | — | — | — | 1,145,601 | I | Held by Spouse | |
| Common Stock | holding | — | — | — | 458,280 | I | Held by Children | |
| Common StockF1 | holding | — | — | — | 167,957 | I | Held by Trust | |
| Common StockF2 | holding | — | — | — | 81,914 | I | Held by 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 12/31/2013 (the "Trust"). Mr. George serves as trustee of the Trust and, in such capacity, has investment and voting discretion over shares by the Trust. Mr. George's spouse has a pecuniary interest in the Trust.
- F2Shares held in The TDM & BBM Trust U/T/A DTD 3/25/2013. Mr. George serves as trustee of the TDM & BBM Trust.