0001512920-16-000053.txt : 20161107 0001512920-16-000053.hdr.sgml : 20161107 20161107151000 ACCESSION NUMBER: 0001512920-16-000053 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161104 FILED AS OF DATE: 20161107 DATE AS OF CHANGE: 20161107 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 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: 161977832 MAIL ADDRESS: STREET 1: C/O ROYCE & ASSOCIATES, LLC STREET 2: 745 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10151 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2016-11-04 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 2016-11-04 4 P 0 41238 6.5 A 220294 I Held by Trust Common Stock 4226366 D Common Stock 1208782 I Held by Spouse Common Stock 498890 I Held by Children Common Stock 84810 I Held by Trust Shares 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. Shares held in The TDM & BBM Trust U/T/A DTD 3/25/2013. Mr. George serves as trustee of the TDM & BBM Trust. /s/ W. Whitney George 2016-11-07