SEC Form 4 · accession 0001512920-16-000054
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 7, 2016
Accepted (ET)
Nov 9, 2016 · 11:17 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 StockF1 | Nov 7, 2016 | P | 8,762 | $6.55 | A | 229,056 | I | Held by Trust |
| Common Stock | holding | — | — | — | 4,226,366 | D | ||
| Common Stock | holding | — | — | — | 1,208,782 | I | Held by Spouse | |
| Common Stock | holding | — | — | — | 498,890 | I | Held by Children | |
| Common StockF2 | holding | — | — | — | 84,810 | 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.