0001512920-12-000037.txt : 20121113 0001512920-12-000037.hdr.sgml : 20121112 20121113093733 ACCESSION NUMBER: 0001512920-12-000037 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120930 FILED AS OF DATE: 20121113 DATE AS OF CHANGE: 20121113 EFFECTIVENESS DATE: 20121113 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SPROTT INC. CENTRAL INDEX KEY: 0001512920 IRS NUMBER: 000000000 STATE OF INCORPORATION: A6 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14703 FILM NUMBER: 121196336 BUSINESS ADDRESS: STREET 1: ROYAL BANK PLAZA, SOUTH TOWER STREET 2: 200 BAY STREET, SUITE 2700 CITY: TORONTO STATE: A6 ZIP: M5J 2J1 BUSINESS PHONE: 416-943-4065 MAIL ADDRESS: STREET 1: ROYAL BANK PLAZA, SOUTH TOWER STREET 2: 200 BAY STREET, SUITE 2700 CITY: TORONTO STATE: A6 ZIP: M5J 2J1 13F-HR 1 sep1213f.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, 2012 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 Inc. Address: Royal Bank Plaza, South Tower 200 Bay Street, Suite 2700, PO Box 27 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: Kirstin McTaggart Title: Authorized Person Phone: 416-943-4065 Signature, Place, and Date of Signing: Kirstin McTaggart Toronto, Ontario, Canada November 12, 2012 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: 121 Form 13F Information Table Value Total: $1,051,566 (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 Cusip Value USD Shares or Sh/ Put/ InvestmeOtheVoting Authority Class (x$1000) Prn Amt Prn Call DiscretiMgrs Sole Shared None AGNICO EAGLE MINES LTD com 008474108 340 6,549 sh Sole 6,549 AGRIUM INC com 008916108 238 2,300 sh Sole 2,300 ALDERON IRON ORE CORP com 01434T100 60 30,000 sh Sole 30,000 ALEXCO RESOURCE CORP com 01535P106 29,848 6,877,450 sh Sole 6,877,450 ALLIED NEVADA GOLD CORP com 019344100 37,305 955,075 sh Sole 955,075 ALMADEN MINERALS LTD com 020283107 4,219 1,545,385 sh Sole 1,545,385 ALPHA NATURAL RESOURCES INC com 02076X102 690 105,000 sh Sole 105,000 AMAZON COM INC put 023135956 6,358 25,000 sh put Sole 25,000 AURICO GOLD INC com 05155C105 4,103 587,000 sh Sole 587,000 AURIZON MINES LTD com 05155P106 538 102,200 sh Sole 102,200 AVINO SILVER & GOLD MINES LTD com 053906103 3,443 2,074,100 sh Sole 2,074,100 BARRICK GOLD CORP com 067901108 6,556 156,989 sh Sole 156,989 BRIGUS GOLD CORP com 109490102 16,052 16,214,091 sh Sole 16,214,091 CAMECO CORP com 13321L108 212 10,920 sh Sole 10,920 CANADIAN NAT RES LTD com 136385101 5,434 176,500 sh Sole 176,500 CARDERO RES CORP com 14140U105 96 131,300 sh Sole 131,300 CATERPILLAR INC put 149123951 3,442 40,000 sh put Sole 40,000 CELESTICA INC com 15101Q108 7,319 1,025,000 sh Sole 1,025,000 CENTRAL FD CDA LTD com 153501101 2,576 108,183 sh Sole 108,183 CHESAPEAKE ENERGY CORP call 165167907 1,415 75,000 sh call Sole 75,000 CIRRUS LOGIC INC com 172755100 6,634 172,800 sh Sole 172,800 CISCO SYS INC com 17275R102 3,930 205,800 sh Sole 205,800 CLAUDE RES INC com 182873109 5,754 6,909,838 sh Sole 6,909,838 COACH INC com 189754104 2,549 45,500 sh Sole 45,500 COACH INC put 189754954 1,120 20,000 sh put Sole 20,000 COEUR D ALENE MINES CORP com 192108504 48,365 1,677,600 sh Sole 1,677,600 COMCAST CORP com 20030N200 2,430 69,800 sh Sole 69,800 CROCS INC com 227046109 8,664 534,500 sh Sole 534,500 DENISON MINES CORP com 248356107 142 95,296 sh Sole 95,296 DOMTAR CORP com 257559203 2,897 37,000 sh Sole 37,000 ELDORADO GOLD CORP com 284902103 12,479 818,818 sh Sole 818,818 ENDEAVOUR SILVER CORP com 29258Y103 4,958 496,820 sh Sole 496,820 EURASIAN MINERALS INC com 29843R100 15,599 6,994,927 sh Sole 6,994,927 EXETER RES CORP com 301835104 5,534 3,334,000 sh Sole 3,334,000 FINISH LINE INC com 317923100 4,037 177,600 sh Sole 177,600 FIRST MAJESTIC SILVER CORP com 32076V103 113,535 4,900,072 sh Sole 4,900,072 FOOT LOCKER INC com 344849104 5,858 165,000 sh Sole 165,000 FORTUNA SILVER MINES INC com 349915108 47,224 8,876,698 sh Sole 8,876,698 FRANCO NEVADA CORP com 351858105 348 5,909 sh Sole 5,909 GENERAL MTRS CO com 37045V100 1,861 81,800 sh Sole 81,800 GENERAL MTRS CO put 37045V950 1,138 50,000 sh put Sole 50,000 GLOBAL X SILVER MINERS ETF com 37950E853 2,689 108,000 sh Sole 108,000 GOLDEN MINERALS CO com 381119106 3,489 668,300 sh Sole 668,300 GT ADVANCED TECHNOLOGIES INC com 36191U106 4,274 785,000 sh Sole 785,000 GULF RESOURCES INC com 40251W309 28 25,000 sh Sole 25,000 HARMONY GOLD MNG LTD com 413216300 122 14,500 sh Sole 14,500 HECLA MNG CO com 422704106 8,282 1,264,470 sh Sole 1,264,470 HELMERICH & PAYNE INC com 423452101 671 14,100 sh Sole 14,100 HUDBAY MINERALS INC com 443628102 3,654 371,000 sh Sole 371,000 IAMGOLD CORP com 450913108 13,223 836,345 sh Sole 836,345 ISHARES RUSSELL 2000 put 464287955 7,426 89,000 sh put Sole 89,000 ISHARES SILVER TRUST com 46428Q109 3,093 92,387 sh Sole 92,387 JOHNSON & JOHNSON com 478160104 2,412 35,000 sh Sole 35,000 KEEGAN RES INC com 487275109 11,186 3,015,204 sh Sole 3,015,204 KIMBER RES INC com 49435N101 3,549 5,106,557 sh Sole 5,106,557 KINROSS GOLD CORP com 496902404 1,004 98,359 sh Sole 98,359 KOBEX MINERALS INC com 49989C105 4,524 8,535,326 sh Sole 8,535,326 LAKE SHORE GOLD CORP com 510728108 1,148 1,114,760 sh Sole 1,114,760 MAG SILVER CORP com 55903Q104 33,041 2,712,754 sh Sole 2,712,754 MAGNA INTL INC com 559222401 7,333 169,500 sh Sole 169,500 MARKET VECTORS GOLD MINERS ETF com 57060U100 17,429 324,622 sh Sole 324,622 MARKET VECTORS JR GOLD MINERS ETF com 57060U589 29,968 1,212,300 sh Sole 1,212,300 MCEWEN MNG INC com 58039P107 15,712 3,423,037 sh Sole 3,423,037 MCGRAW HILL COS com 580645109 1,938 35,500 sh Sole 35,500 MERUS LABS INTL INC com 59047R101 311 225,000 sh Sole 225,000 MICROCHIP TECHNOLOGY INC com 595017104 2,308 70,500 sh Sole 70,500 MINCO GOLD CORPORATION com 60254D108 258 382,780 sh Sole 382,780 MINES MGMT INC com 603432105 151 98,400 sh Sole 98,400 MOLYCORP INC com 608753109 504 43,820 sh Sole 43,820 NEW GOLD INC com 644535106 869 71,100 sh Sole 71,100 NORTH AMERN PALLADIUM LTD com 656912102 475 250,100 sh Sole 250,100 NYSE EURONEXT com 629491101 2,194 89,000 sh Sole 89,000 OILSANDS QUEST INC com 678046103 145 10,352,861 sh Sole 10,352,861 ONCOLYTICS BIOTECH INC com 682310107 979 420,000 sh Sole 420,000 PACIFIC ETHANOL INC com 69423U206 7 16,929 sh Sole 16,929 PAN AMERICAN SILVER CORP com 697900108 15,625 728,765 sh Sole 728,765 PARAMOUNT GOLD & SILVER CORP com 69924P102 778 292,535 sh Sole 292,535 PEMBINA PIPELINE CORP com 706327103 208 7,419 sh Sole 7,419 PENGROWTH ENERGY CORP com 70706P104 1,818 269,685 sh Sole 269,685 PFIZER INC com 717081103 2,430 97,800 sh Sole 97,800 PLATINUM GROUP METALS LTD com 72765Q205 149 141,000 sh Sole 141,000 POWERSHARES DB US DOLLAR INDEX BULLISH FU com 73936D107 1,096 50,000 sh Sole 50,000 PRECISION DRILLING CORP com 74022D308 1,176 150,000 sh Sole 150,000 PRETIUM RES INC com 74139C102 20,601 1,581,050 sh Sole 1,581,050 REGAL ENTMT GROUP com 758766109 2,068 147,000 sh Sole 147,000 REVETT MINERALS INC com 761505205 783 220,000 sh Sole 220,000 RICHMONT MINES INC com 76547T106 3,073 645,500 sh Sole 645,500 ROYAL GOLD INC com 780287108 395 3,960 sh Sole 3,960 RUBICON MINERALS CORP com 780911103 399 106,800 sh Sole 106,800 SILVER BULL RES INC com 827458100 2,965 5,929,658 sh Sole 5,929,658 SILVER STD RES INC com 82823L106 1,020 63,600 sh Sole 63,600 SILVER WHEATON CORP com 828336107 31,149 784,412 sh Sole 784,412 SILVERCREST MINES INC com 828365106 25,675 9,040,600 sh Sole 9,040,600 SPDR GOLD TRUST com 78463V107 2,755 16,028 sh Sole 16,028 SPDR GOLD TRUST call 78463V907 4,727 27,500 sh call Sole 27,500 SPDR S&P 500 ETF com 78462F103 1,353 9,400 sh Sole 9,400 SPDR S&P 500 ETF put 78462F953 30,320 210,600 sh put Sole 210,600 SPROTT PHYSICAL GOLD TRUST com 85207H104 77,364 5,089,746 sh Sole 5,089,746 SPROTT PHYSICAL SILVER TRUST com 85207K107 79,861 5,651,878 sh Sole 5,651,878 SPROTT RESOURCE LENDING CORP com 85207J100 23,888 16,822,817 sh Sole 16,822,817 SUNCOR ENERGY INC com 867224107 4,778 145,440 sh Sole 145,440 SYNOPSYS INC com 871607107 330 10,000 sh Sole 10,000 TAHOE RES INC com 873868103 9,278 455,700 sh Sole 455,700 TALISMAN ENERGY INC com 87425E103 4,675 351,000 sh Sole 351,000 TESORO CORP com 881609101 2,514 60,000 sh Sole 60,000 TIMBERLINE RES CORP com 887133106 178 424,670 sh Sole 424,670 TIMMINS GOLD CORP com 88741P103 8,360 2,954,000 sh Sole 2,954,000 TRANSATLANTIC PETROLEUM LTD com G89982105 21 20,000 sh Sole 20,000 TRANSGLOBE ENERGY CORP com 893662106 2,837 261,200 sh Sole 261,200 UNDER ARMOUR INC put 904311957 5,583 100,000 sh put Sole 100,000 U S ENERGY CORP com 911805109 2,810 1,306,898 sh Sole 1,306,898 U S GEOTHERMAL INC com 90338S102 546 1,602,493 sh Sole 1,602,493 UR ENERGY INC com 91688R108 89 90,000 sh Sole 90,000 VALERO ENERGY CORP com 91913Y100 2,360 74,500 sh Sole 74,500 VALUECLICK INC com 92046N102 2,145 125,000 sh Sole 125,000 VIACOM INC com 92553P201 2,546 47,500 sh Sole 47,500 VISTA GOLD CORP com 927926303 28,406 7,825,410 sh Sole 7,825,410 VODAFONE GROUP PLC com 92857W209 3,300 115,800 sh Sole 115,800 WI-LAN INC com 928972108 21,074 3,756,470 sh Sole 3,756,470 WYNDHAM WORLDWIDE CORP com 98310W108 4,991 95,100 sh Sole 95,100 YAMANA GOLD INC com 98462Y100 3,373 176,524 sh Sole 176,524 121 1,051,566176,074,789 176,074,789