0000899243-22-033173.txt : 20221006
0000899243-22-033173.hdr.sgml : 20221006
20221006183200
ACCESSION NUMBER: 0000899243-22-033173
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20221004
FILED AS OF DATE: 20221006
DATE AS OF CHANGE: 20221006
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: GEORGE W WHITNEY
CENTRAL INDEX KEY: 0001185838
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 811-05379
FILM NUMBER: 221298979
MAIL ADDRESS:
STREET 1: C/O ROYCE & ASSOCIATES, LLC
STREET 2: 745 FIFTH AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10151
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: SPROTT FOCUS TRUST INC.
CENTRAL INDEX KEY: 0000825202
STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000]
IRS NUMBER: 592876580
STATE OF INCORPORATION: MD
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: C/O SPROTT ASSET MANAGEMENT L.P.
STREET 2: ROYAL BANK PLZ, SO. TOWER, STE 2700
CITY: TORONTO
STATE: A6
ZIP: M5J2J1
BUSINESS PHONE: 416-943-4065
MAIL ADDRESS:
STREET 1: C/O SPROTT ASSET MANAGEMENT L.P.
STREET 2: ROYAL BANK PLZ, SO. TOWER, STE 2700
CITY: TORONTO
STATE: A6
ZIP: M5J2J1
FORMER COMPANY:
FORMER CONFORMED NAME: ROYCE FOCUS TRUST INC
DATE OF NAME CHANGE: 19990525
FORMER COMPANY:
FORMER CONFORMED NAME: ROYCE GLOBAL TRUST INC
DATE OF NAME CHANGE: 19961203
FORMER COMPANY:
FORMER CONFORMED NAME: ALL SEASONS GLOBAL FUND INC
DATE OF NAME CHANGE: 19950803
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2022-10-04
0
0000825202
SPROTT FOCUS TRUST INC.
FUND
0001185838
GEORGE W WHITNEY
C/O SPROTT ASSET MANAGEMENT USA INC.
1910 PALOMAR POINT WAY, SUITE 200
CARLSBAD
CA
92008
1
0
1
1
Senior Portfolio Manager
Common Stock
2022-10-04
4
P
0
5800
7.2817
A
66267
I
Held by Trust
Common Stock
2022-10-05
4
P
0
6790
7.2558
A
73057
I
Held by Trust
Common Stock
2022-10-06
4
P
0
7410
7.2162
A
80467
I
Held by Trust
Common Stock
7360562
D
Common Stock
2727105
I
Held by Spouse
Common Stock
183187
I
Held by Son
Common Stock
1130232
I
Held by Trust
Common Stock
2053169
I
Held by Foundation
Common Stock
317020
I
Held by Trust
Common Stock
317020
I
Held by Trust
Shares held by a trust established for the benefit of Mr. George's children. As beneficiaries of the trust, Mr. George's children have a pecuniary interest in the trust. Mr. George may be deemed to beneficially own the shares held by the trust.
Shares held by The Meredith and Whitney George Family Foundation (the "Foundation"). Mr. George serves as Chairman of the Foundation and, in such capacity, has investment and voting discretion over shares held by the Foundation.
Shares held by a trust established for the benefit of Mr. George's spouse. Mr. George serves as trustee of the trust and, in such capacity, has investment and voting discretion over shares held by the trust. As beneficiary of the trust, Mr. George's spouse has a pecuniary interest in the trust. Mr. George may be deemed to beneficially own the shares held by the trust.
Shares held by a trust established for the benefit of Mr. George's immediate family member (the "BM Trust"). Mr. George serves as trustee of the BM Trust and, in such capacity, has investment and voting discretion over shares held by the BM Trust. Mr. George may be deemed to beneficially own the shares held by the BM Trust.
Shares held by a trust established for the benefit of Mr. George's immediate family member (the "TM Trust"). Mr. George serves as trustee of the TM Trust and, in such capacity, has investment and voting discretion over shares held by the TM Trust. Mr. George may be deemed to beneficially own the shares held by the TM Trust.
Amount of shares beneficially owned includes shares acquired under the Issuer's Dividend Reinvestment Program (the DRIP) on September 23, 2022.
Represents the weighted average purchase price of multiple transactions with a range of prices between $7.19 and $7.30. Mr. George hereby undertakes to provide, upon request by the Securities and Exchange Commission staff, the issuer, or a stockholder of the issuer, full information regarding the number of shares purchased at each separate price.
Represents the weighted average purchase price of multiple transactions with a range of prices between $7.22 and $7.30. Mr. George hereby undertakes to provide, upon request by the Securities and Exchange Commission staff, the issuer, or a stockholder of the issuer, full information regarding the number of shares purchased at each separate price.
Represents the weighted average purchase price of multiple transactions with a range of prices between $7.20 and $7.25. Mr. George hereby undertakes to provide, upon request by the Securities and Exchange Commission staff, the issuer, or a stockholder of the issuer, full information regarding the number of shares purchased at each separate price.
Mr. George disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that Mr. George is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
/s/ W. Whitney George
2022-10-06