SEC Form 4 · accession 0001512920-16-000033
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
Jan 11, 2016
Accepted (ET)
Jan 13, 2016 · 4:15 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 11, 2016 | P | 9,232 | $5.2959 | A | 3,794,073 | D | |
| Common Stock | Jan 12, 2016 | P | 42,568 | $5.2966 | A | 3,836,641 | D | |
| Common Stock | holding | — | — | — | 1,157,591 | I | Held by Spouse | |
| Common Stock | holding | — | — | — | 467,877 | I | Held by Children | |
| Common StockF1 | holding | — | — | — | 171,474 | I | Held by Trust | |
| Common StockF2 | holding | — | — | — | 83,269 | 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.