-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, K1yox6Q9kiWcuKsik7u4/sNsC42s47vSRfvrXq+r3RPYXTJUqPa7dCdgT79nzmQq hE7mJgzTb+GtKJrH0ezqKw== 0001277006-09-000068.txt : 20091113 0001277006-09-000068.hdr.sgml : 20091113 20091113164229 ACCESSION NUMBER: 0001277006-09-000068 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091113 DATE AS OF CHANGE: 20091113 EFFECTIVENESS DATE: 20091113 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SPROTT ASSET MANAGEMENT LP CENTRAL INDEX KEY: 0001277006 IRS NUMBER: 000000000 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-11504 FILM NUMBER: 091182170 BUSINESS ADDRESS: STREET 1: 200 BAY STREET STREET 2: STE 2700 P O BOX 27 CITY: TORONTO STATE: A6 ZIP: M5J 2J1 BUSINESS PHONE: 4169434072 MAIL ADDRESS: STREET 1: 200 BAY STREET STREET 2: STE 2700 P O BOX 27 CITY: TORONTO STATE: A6 ZIP: M5J 2J1 FORMER COMPANY: FORMER CONFORMED NAME: SPROTT ASSET MANAGEMENT INC DATE OF NAME CHANGE: 20040121 13F-HR 1 sep0913f.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2009 Check here if Amendment [ ]; Amendment Number: This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Sprott Asset Management LP Address: 200 Bay Street, Suite 2700 Toronto, Ontario Canada M5J 2J1 Form 13F File Number: 28- 11504 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Steven Rostowsky Title: Chief Financial Officer Phone: 416-943-4369 Signature, Place, and Date of Signing: Steven Rostowsky Toronto, Ontario, Canada November 13, 2009 Report Type (Check only one.): [X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: None Form 13F Information Table Entry Total: 137 Form 13F Information Table Value Total: $398,735 (thousands) List of Other Included Managers: None Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. If there are no entries in this list, state NONE and omit the column headings and list entries. FORM 13F INFORMATION TABLE Name Of Issuer Title Of Cusip Value USD Shares or Sh/ Put/ Investme Other Voting Authority Class (x$1000) Prn Amt Prn Call Discreti Mgrs Sole ShareNone Advantage Oil & Gas Ltd. Com 00765F101 852 120,500 sh Sole 120,500 Agnico-Eagle Mines Limited Com 008474108 34 500 sh Sole 500 Agrium Inc. Com 008916108 159 3,200 sh Sole 3,200 Alexco Resource Corp. Com 01535P106 563 217,800 sh Sole 217,800 Allete Inc. Com 018522300 11 332 sh Sole 332 Allied Nevada Gold Corp. Com 019344100 1,177 120,000 sh Sole 120,000 Almaden Minerals Ltd. Com 020283107 722 1,016,998 sh Sole 1,016,998 American Dairy Com 025334103 1,415 50,000 sh Sole 50,000 American Oriental Bioenginee Com 028731107 977 201,100 sh Sole 201,100 Angiotech Pharmaceuticals In Com 034918102 43 25,000 sh Sole 25,000 Archer-Daniels-Midland Compa Com 039483102 234 8,000 sh Sole 8,000 Aurizon Mines Ltd. Com 05155P106 2,962 674,700 sh Sole 674,700 Baidu Inc. Com 056752108 78 200 sh Sole 200 Banro Corp. Com 066800103 5,823 2,180,000 sh Sole 2,180,000 Barrick Gold Corp. Com 067901108 8,911 235,360 sh Sole 235,360 Baytex Energy Trust Com 073176109 273 12,400 sh Sole 12,400 BCE Inc. Com 05534B760 13 530 sh Sole 530 BPZ Resources Inc Com 055639108 90 12,000 sh Sole 12,000 Bristow Group Inc. Com 110394103 77 2,579 sh Sole 2,579 Brookfield Asset Management Com 112585104 58 2,564 sh Sole 2,564 Brookfield Infrastructure Pa Com G16252101 2 102 sh Sole 102 Cal-Maine Foods Inc. Com 128030202 4,611 172,400 sh Sole 172,400 Caribou Coffee Company Com 142042209 844 117,000 sh Sole 117,000 Central GoldTrust Com 153546106 3,980 100,000 sh Sole 100,000 CERADYNE INC CALIF Com 156710105 82 4,500 sh Sole 4,500 CGI Group Inc. Com 39945C109 3,002 256,360 sh Sole 256,360 Claude Resources Inc Com 182873109 4,470 5,981,900 sh Sole 5,981,900 Coeur dAlene Mines Corporat Com 192108504 108 5,268 sh Sole 5,268 Compania De Minas Buenaventu Com 204448104 95 2,700 sh Sole 2,700 ConocoPhillips Com 20825C104 158 3,500 sh Sole 3,500 Corriente Resources Inc. Com 22027E409 3,267 516,000 sh Sole 516,000 Crocs, Inc. Com 227046109 870 131,000 sh Sole 131,000 Cryptologic Limited Com G3159C109 1,206 204,600 sh Sole 204,600 DaVita Inc. Com 23918K108 170 3,000 sh Sole 3,000 Delta Petroleum Corp. Com 247907207 1 350 sh Sole 350 Dendreon Corp Com 24823Q107 2,601 93,000 sh Sole 93,000 Denison Mines Inc. Com 248356107 56 30,000 sh Sole 30,000 Duoyuan Global Water Inc. Com 266043108 23 700 sh Sole 700 Eldorado Gold Corporation Com 284902103 10,051 885,000 sh Sole 885,000 Exeter Resource Corporation Com 301835104 23,851 5,211,700 sh Sole 5,211,700 Express Scripts Inc. Com 302182100 186 2,400 sh Sole 2,400 Fairfax Financial Holdings L Com 303901102 133 360 sh Sole 360 Flexible Solutions Internati Com 33938T104 443 351,938 sh Sole 351,938 Forest Oil Corporation Com 346091705 1,105 56,500 sh Sole 56,500 Fronteer Development Group I Com 35903Q106 1,877 435,000 sh Sole 435,000 Fuqi International Inc. Com 36102A207 3,034 103,965 sh Sole 103,965 Gold Fields Ltd. Com 38059T106 1,378 100,000 sh Sole 100,000 Goldcorp Inc. - NYS Com 380956409 1,009 25,004 sh Sole 25,004 GOLDEN STAR RES LTD Com 38119T104 28,596 8,388,400 sh Sole 8,388,400 Gran Tierra Energy Inc Com 38500T101 166 40,000 sh Sole 40,000 Gravity Co. Ltd. Com 38911N107 506 264,000 sh Sole 264,000 Green Mountain Coffee Roaste Com 393122106 2,103 28,504 sh Sole 28,504 Hanger Orthopedic Group Inc. Com 41043F208 492 35,500 sh Sole 35,500 Harry Winston Diamond Corpor Com 41587B100 3 400 sh Sole 400 Harvest Energy Trust Com 41752X101 456 70,000 sh Sole 70,000 Hecla Mining Company Com 422704106 10,001 2,280,100 sh Sole 2,280,100 Hi-Tech Pharmacal Co. Inc Com 42840B101 695 31,000 sh Sole 31,000 Human Genome Sciences Inc. Com 444903108 1,504 80,000 sh Sole 80,000 IAMGold Corporation Com 450913108 21,934 1,552,186 sh Sole 1,552,186 IESI-BFC Ltd Com 44951D108 830 64,000 sh Sole 64,000 Imperial Oil Limited Com 453038408 129 3,400 sh Sole 3,400 IncrediMail Ltd Com M5364E104 4,116 486,912 sh Sole 486,912 International Tower Hill Min Com 46051L104 3,369 835,000 sh Sole 835,000 Ishares Silver Trust Com 46428Q109 4,288 262,000 sh Sole 262,000 Jacobs Engineering Group Inc Com 469814107 230 5,000 sh Sole 5,000 Jaguar Mining Inc. Com 47009M103 34,024 3,802,700 sh Sole 3,802,700 Johnson & Johnson Com 478160104 335 5,500 sh Sole 5,500 Keegan Resources Inc Com 487275109 10,937 3,089,700 sh Sole 3,089,700 Kimber Resources Inc. Com 49435N101 5,237 8,009,998 sh Sole 8,009,998 Kinross Gold Corporation Com 496902404 22,992 1,055,173 sh Sole 1,055,173 Kodiak Oil & Gas Corp. Com 50015Q100 2,497 1,041,260 sh Sole 1,041,260 Kraft Foods Inc. - Class A Com 50075N104 315 12,000 sh Sole 12,000 Longtop Financial Technologi Com 54318P108 427 15,000 sh Sole 15,000 Mag Silver Corp. Com 55903Q104 19,841 3,409,909 sh Sole 3,409,909 Marathon Oil Corp Com 565849106 25 800 sh Sole 800 McDermott International Inc. Com 580037109 356 14,100 sh Sole 14,100 Midway Gold Corp Com 598153104 144 200,000 sh Sole 200,000 Minco Gold Corporation Com 60254D108 3,626 3,921,780 sh Sole 3,921,780 Mines Management Inc. Com 603432105 252 98,400 sh Sole 98,400 Molson Coors Brewing Company Com 60871R209 123 2,520 sh Sole 2,520 Mosaic Company Com 61945A107 34 700 sh Sole 700 Motorcar Parts of America, I Com 620071100 205 40,000 sh Sole 40,000 Motorola, Inc. Com 620076109 1,820 212,100 sh Sole 212,100 Nabors Industries Com G6359F103 1,468 70,300 sh Sole 70,300 Net 1 UEPS Technologies Inc. Com 64107N206 356 17,000 sh Sole 17,000 NetEase.com, Inc. Com 64110W102 151 3,300 sh Sole 3,300 Nevsun Resources Ltd Com 64156L101 2,864 1,400,000 sh Sole 1,400,000 New Gold Inc. Com 644535106 4,183 1,095,120 sh Sole 1,095,120 Newmont Mining Corporation Com 651639106 194 4,400 sh Sole 4,400 Nexen Inc Com 65334H102 11 500 sh Sole 500 North American Palladium Ltd Com 656912102 224 80,563 sh Sole 80,563 Oilsands Quest Inc. Com 678046103 13,186 11,678,461 sh Sole 11,678,461 Omnivision Technologies Inc. Com 682128103 1,545 95,000 sh Sole 95,000 OncoGenex Pharmaceuticals In Com 68230A106 611 17,000 sh Sole 17,000 Perfect World Co Ltd Com 71372U104 721 15,000 sh Sole 15,000 Perrigo Company Com 714290103 41 1,200 sh Sole 1,200 Petrohawk Energy Corporation Com 716495106 218 9,000 sh Sole 9,000 Petroleo Brasileiro S.A. Com 71654V408 183 4,000 sh Sole 4,000 Potash Corp of Sask Inc Com 73755L107 281 3,100 sh Sole 3,100 PowerSecure International In Com 73936N105 808 119,252 sh Sole 119,252 PRECISION DRILLING T/U Com 740215108 204 30,571 sh Sole 30,571 Randgold Resources Limited, Com 752344309 370 5,300 sh Sole 5,300 Raytheon Company Com 755111507 355 7,400 sh Sole 7,400 Rogers Communications Inc - Com 775109200 37 1,300 sh Sole 1,300 Schlumberger Ltd. Com 806857108 12 200 sh Sole 200 Seabridge Gold Inc. Com 811916105 5,385 187,428 sh Sole 187,428 Seneca Foods Corporation Com 817070501 1,711 62,500 sh Sole 62,500 Ship Finance International L Com G81075106 74 6,000 sh Sole 6,000 Silver Wheaton Corp. Com 828336107 42,558 3,353,000 sh Sole 3,353,000 Silvercorp Metals Inc. Com 82835P103 1,524 320,000 sh Sole 320,000 Solitario Exploration & Roya Com 8342EP107 6,047 3,189,540 sh Sole 3,189,540 Solutia Inc Com 834376501 231 20,000 sh Sole 20,000 Southwestern Energy Co. Com 845467109 141 3,300 sh Sole 3,300 SPDR Gold Trust Com 78463V107 4,603 46,600 sh Sole 46,600 Speedus Corp. Com 847723202 371 73,000 sh Sole 73,000 STEC Inc. Com 784774101 294 10,000 sh Sole 10,000 Stryker Corp. Com 863667101 241 5,300 sh Sole 5,300 Sun Microsystems Inc. Com 866810203 2,952 325,000 sh Sole 325,000 Suncor Energy Inc. Com 867224107 351 10,060 sh Sole 10,060 SunOpta Inc. Com 8676EP108 41 10,000 sh Sole 10,000 TALISMAN ENERGY INC Com 87425E103 975 56,040 sh Sole 56,040 Tenet Healthcare Corp Com 88033G100 141 24,020 sh Sole 24,020 Teva Pharmaceutical Industri Com 881624209 150 2,960 sh Sole 2,960 The Procter & Gamble Company Com 742718109 2,095 36,200 sh Sole 36,200 The Travellers Companies Inc Com 89417E109 6 112 sh Sole 112 Thermo Fisher Scientific Inc Com 883556102 83 1,900 sh Sole 1,900 Tim Hortons Inc. Com 88706M103 304 10,700 sh Sole 10,700 Turkcell Iletisim Hizmetleri Com 900111204 189 10,600 sh Sole 10,600 U.S. Energy Corp. Com 911805109 6,849 1,757,600 sh Sole 1,757,600 U.S. Gold Corp. Com 912023207 970 331,947 sh Sole 331,947 Ultra Petroleum Corp. Com 903914109 147 3,000 sh Sole 3,000 Ur-Energy Inc Com 91688R108 34 40,000 sh Sole 40,000 ValueVision Media Inc. CL A Com 92047K107 926 280,000 sh Sole 280,000 Vanda Pharmaceuticals Inc. Com 921659108 3,231 277,800 sh Sole 277,800 Wimm-Bill-Dann Foods Com 97263M109 300 4,200 sh Sole 4,200 XTO Energy Inc Com 98385X106 144 3,500 sh Sole 3,500 Yamana Gold Inc. Com 98462Y100 11,950 1,110,706 sh Sole 1,110,706 137 398,735 85,267,032 85,267,032
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