0000899243-22-014553.txt : 20220412 0000899243-22-014553.hdr.sgml : 20220412 20220412161514 ACCESSION NUMBER: 0000899243-22-014553 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220124 FILED AS OF DATE: 20220412 DATE AS OF CHANGE: 20220412 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: 22822426 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 2022-01-24 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 2022-01-24 4 P 0 6743 7.91 A 611734 I Held by Trust Common Stock 7330135 D Common Stock 2725030 I Held by Spouse Common Stock 176742 I Held by Son Common Stock 1090465 I Held by Trust Common Stock 1980929 I Held by Foundation 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 Mallory Descendant's Trust U/T/A DTD 12/31/2013 (the "Descendant's Trust"). Mr. George serves as trustee of the Descendant's Trust and, in such capacity, has investment and voting discretion over shares held by the Descendant's Trust. As a beneficiary of the Descendant's Trust, Mr. George's spouse has a pecuniary interest in the Descendant's Trust. Mr. George may be deemed to beneficially own the shares held by the Descendant's 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. Amount of shares beneficially owned includes shares acquired under the Issuer's Dividend Reinvestment Program (the DRIP) on March 25, 2022, subsequent to the purchase on January 24, 2022 reported herein. 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 2022-04-12