SPROTT INC.

HTTP://WWW.SPROTT.COM/ TORONTO, A6 Investment Advisor Hedge Fund How do I update this listing?

Also known as:

  • SPROTT ASSET MANAGEMENT LP

Sprott is based out of Toronto. Sprott is a large advisory firm with 16 clients and discretionary assets under management (AUM) of $1,087,722,944 (Form ADV from 2018-03-30). Their last reported 13F filing for Q3 2018 included $400,044,000 in managed 13F securities and a top 10 holdings concentration of 33.64%. Sprott's largest holding is Pretium Resources Inc with shares held of 1,949,487. Sprott has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 58 13F filings, 21 13D filings, and 382 13G filings The firm last filed a Form D notice of exempt offering of securities on 2017-03-07. The notice included securities offered of Equity

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66

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Download 13F Summary to Excel Create Email Alert

09/30/2018

13F Sector Allocation Over Time

09/30/2018

13F Activity

  • Market Value $400.044 Million
  • Prior Market Value $488.264 Million
  • New Purchases12 stocks
  • Additional Purchases36 stocks
  • Sold out of7 stocks
  • Reduced holdings in39 stocks
  • Top 10 Holdings % 33.64 %
  • Turnover % [1]:19.79%
  • Turnover Alt % [2]: 23.55 %
  • Time Held Top20:2.50 quarters
  • Time Held Top10:1.70 quarters
  • Time Held All:11.94 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2018-11-14

Performance for Q3 2018: -6.55%
Performance Last 4 Quarters: -18.57%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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13F Filings Available:
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR/A (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR/A (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR (Subscription required)
  • 2014-09-30 - 13F-HR (Subscription required)
  • 2014-06-30 - 13F-HR (Subscription required)
  • 2014-03-31 - 13F-HR (Subscription required)
  • 2013-12-31 - 13F-HR (Subscription required)
  • 2013-09-30 - 13F-HR (Subscription required)
  • 2013-06-30 - 13F-HR (Subscription required)
  • 2013-03-31 - 13F-HR (Subscription required)
  • 2012-12-31 - 13F-HR (Subscription required)
  • 2012-09-30 - 13F-HR (Subscription required)
  • 2012-06-30 - 13F-HR (Subscription required)
  • 2012-03-31 - 13F-HR (Subscription required)
  • 2011-12-31 - 13F-HR (Subscription required)
  • 2011-09-30 - 13F-HR (Subscription required)
  • 2011-06-30 - 13F-HR (Subscription required)
  • 2011-03-31 - 13F-HR (Subscription required)
  • 2010-12-31 - 13F-HR/A (Subscription required)
  • 2010-12-31 - 13F-HR (Subscription required)
  • 2010-09-30 - 13F-HR (Subscription required)
  • 2010-06-30 - 13F-HR (Subscription required)
  • 2010-03-31 - 13F-HR (Subscription required)
  • 2009-12-31 - 13F-HR (Subscription required)
  • 2009-09-30 - 13F-HR (Subscription required)
  • 2009-06-30 - 13F-HR (Subscription required)
  • 2009-03-31 - 13F-HR (Subscription required)
  • 2008-12-31 - 13F-HR (Subscription required)
  • 2008-09-30 - 13F-HR (Subscription required)
  • 2008-06-30 - 13F-HR (Subscription required)
  • 2008-03-31 - 13F-HR (Subscription required)
  • 2007-12-31 - 13F-HR/A (Subscription required)
  • 2007-12-31 - 13F-HR/A (Subscription required)
  • 2007-12-31 - 13F-HR (Subscription required)
  • 2007-09-30 - 13F-HR (Subscription required)
  • 2007-06-30 - 13F-HR (Subscription required)
  • 2007-03-31 - 13F-HR (Subscription required)
  • 2006-12-31 - 13F-HR (Subscription required)
  • 2006-09-30 - 13F-HR (Subscription required)
  • 2006-06-30 - 13F-HR (Subscription required)
  • 2006-03-31 - 13F-HR (Subscription required)
  • 2005-12-31 - 13F-HR (Subscription required)
  • 2005-09-30 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

SPROTT ASSET MANAGEMENT LP
Classified as Hedge Fund
ROYAL BANK PLAZA, SOUTH TOWER SUITE 2600, 200 BAY STREET
TORONTO, ONTARIO    M5J2J1
Country: Canada

Business Phone: 416-943-8099
Fax: 416-977-9555
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm,Principal Office Outside the US,Investment advisor to an investment company
Form of Organization: Limited Partnership
Organized in:
Number of employees: 10
Other Business Activities: commodity pool operator or commodity trading advisor
Advisor Fees/Compensation: Percentage of assets under management,Performance-based fees
Amount of client funds and securities:
Total Number of Clients: 16
Amount of client funds and securities by related persons: 32,401,200
Total Number of clients from related persons: 2
Disclosures: 11.H (2)
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Form 4 - Non-derivative Insider Transactions Since 09/30/2018

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Form D Filings

Form D is a form to be used to file a notice of an exempt offering of securities with the Securities and Exchange Commission. Form D contains basic information about the offering and the company.

Form D Filings
Filing Date Form Type Industry Group Securities Offered Total Offering Amount Total Amount Sold Total Remaining
2017-03-07 D/A OTHER BANKING AND FINANCIAL SERVICES Equity INDEFINITE 25,000,001 INDEFINITE
2016-03-07 D/A OTHER BANKING AND FINANCIAL SERVICES Equity INDEFINITE 25,000,001 INDEFINITE
2015-03-05 D/A OTHER BANKING AND FINANCIAL SERVICES Equity INDEFINITE 25,000,001 INDEFINITE
2014-03-05 D/A OTHER BANKING AND FINANCIAL SERVICES Equity INDEFINITE 25,000,001 INDEFINITE
2013-03-20 D OTHER BANKING AND FINANCIAL SERVICES Equity INDEFINITE 25,000,001 INDEFINITE
Other Issuers in Filings
Name Address
No Other Issuers
Related Parties included in filings
Name Address Relationship
-- SPROTT ASSET MANAGEMENT, LP subscription required
    EXECUTIVE OFFICER
ARTHUR RICHARDS RULE, IV subscription required
    DIRECTOR
ERIC S. SPROTT subscription required
    EXECUTIVE OFFICER DIRECTOR
JACK LEE subscription required
    DIRECTOR
JAMES RODDY subscription required
    DIRECTOR
KEVIN BAMBROUGH subscription required
    EXECUTIVE OFFICER
MARC FABER subscription required
    DIRECTOR
PAUL STEPHENS subscription required
    DIRECTOR
PETER GROSSKOPF subscription required
    EXECUTIVE OFFICER DIRECTOR
RICK RULE subscription required
    DIRECTOR
RON DEWHURST subscription required
    DIRECTOR
ROSEMARY ZIGROSSI subscription required
    DIRECTOR
SHARON RANSON subscription required
    DIRECTOR
STEVEN ROSTOWSKY subscription required
    EXECUTIVE OFFICER
ownership team - last updated 2017-03-08
Name Title Start Date Direct/Indirect % Ownership
MCTAGGART, KIRSTIN, HEATH CHIEF COMPLIANCE OFFICER; DIRECTOR 09/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
SPROTT ASSET MANAGEMENT LP CHIEF COMPLIANCE OFFICER; DIRECTOR direct 2008-09-01
SPR & CO LP CHIEF COMPLIANCE OFFICER direct 2017-04-01
FOX, JAMES, ROBERT PRESIDENCT; DIRECTOR 09/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
SPROTT ASSET MANAGEMENT INC. DIRECTOR direct 2005-06-01
SPROTT ASSET MANAGEMENT LP PRESIDENCT; DIRECTOR direct 2008-09-01
SPR & CO LP SHAREHOLDER indirect 2017-04-01
SPR & CO LP MANAGING PARTNER direct 2017-04-01
SPROTT, INC. LIMITED PARTNER 09/01/2008 Direct less than 5%
SPROTT ASSET MANAGEMENT GP INC. GENERAL PARTNER 09/01/2008 Direct 75% or more
WILSON, JOHN, NOBLE GEORGE CHIEF EXECUTIVE OFFICER; DIRECTOR 03/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
SPROTT ASSET MANAGEMENT LP CHIEF EXECUTIVE OFFICER; DIRECTOR direct 2014-03-01
SPR & CO LP SHAREHOLDER indirect 2017-04-01
SPR & CO LP MANAGING PARTNER direct 2017-04-01
Hibbert, Kevin CHIEF FINANCIAL OFFICER, DIRECTOR 12/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
SPROTT ASSET MANAGEMENT USA INC. DIRECTOR direct 2016-01-01
SPROTT ASSET MANAGEMENT LP CHIEF FINANCIAL OFFICER, DIRECTOR direct 2015-12-01
RESOURCE CAPITAL INVESTMENT CORPORATION DIRECTOR direct 2016-01-01
SPROTT, ERIC, STEVEN SHAREHOLDER SPROTT INC. 05/01/2008 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
SPROTT ASSET MANAGEMENT INC. CHIEF EXECUTIVE OFFICER direct 2000-08-01
SPROTT ASSET MANAGEMENT LP SHAREHOLDER indirect 2008-05-01
SPROTT ASSET MANAGEMENT LP CHIEF EXECUTIVE OFFICER; DIRECTOR direct 2008-09-01
SPROTT INC. SHAREHOLDER SPROTT ASSET MANAGEMENT GP INC. 06/01/2009 Indirect 75% or more

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
SPROTT GLOBAL GOLD OFFSHORE FUND, LTD Cayman Islands 805-7244714306 Hedge Fund 0 5,000,000 Feeder Fund
SPROTT GLOBAL GOLD CANADA FUND LP Canada 805-5365453327 Hedge Fund 16,742,621 5,000,000 Feeder Fund
SPROTT GLOBAL GOLD MASTER FUND LP Cayman Islands 805-7046166091 Hedge Fund 18,156,489 5,000,000 Master Fund
SPROTT PRIVET FUND LLC United States 805-1586041278 Hedge Fund 15,061,469 500,000 Master Fund
SPROTT PRIVET FUND L.P. United States 805-3854501554 Hedge Fund 27,258,121 500,000 Feeder Fund
SPROTT GLOBAL GOLD CAPITAL LP United States 805-1372622879 Hedge Fund 1,413,869 5,000,000 Feeder Fund

WhaleScore history for SPROTT INC.

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**EXPERIMENTAL** Current UK Positions

Updated daily

Contains transactions from January 1st, 2015 on.

Holder Issuer Transaction Date Number of Voting Rights % of Voting Rights
SPROTT INC. SILVER CORPORATION COM SHS NPV (DI) 2015-09-30 884,393 2.6%

Position History

Holder Issuer Transaction Date Number of Voting Rights % of Voting Rights
SPROTT INC. SILVER CORPORATION COM SHS NPV (DI) 2015-07-28 1,243,893 3.7%
SPROTT INC. SILVER CORPORATION COM SHS NPV (DI) 2014-12-31 4,453,393 13.1%

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