Sprott Focus Trust, Inc (FUND)

FINANCE: GENERAL FINANCE
SIC:

C/O SPROTT ASSET MANAGEMENT L.P. TORONTO, ONTARIO, CANADA M5J2J1

Royce Focus Trust is registered as a diversified, closed-end investment company. The Fund's goal is to offer both individual and institutional investors the best available small-cap value portfolios. The Fund concentrates on small-company value investing by providing investors with a range of funds that take full advantage of this large and diverse sector. As of Dec 31 2012, the Fund's portfolio investment totaled $164,890,644 and its assets totaled $165,092,569.

Data based on most recent fiscal year report
Market Cap206.609 Million Shares Outstanding27.77 Million Avg Volume65.452 Thousand
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Funds Holding FUND (via 13F filings)

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*Shares are split adjusted
*Please note that if a filer hasn't submitted a 13F filing for a quarter then the filer's shares will be listed as "Sold All"

Mutual Funds Holding FUND BETA

Active Schedule 13D and 13G filings

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Open Market Buys/Sells Last 60 Days

Open Market Buys (P)

573.5 Thousand total shares from 24 transactions

Open Market Sells (S)

none

Exercise Derivative Conversion (M)

none

Current/Former Insiders

Insider Name Type Last Reported Shares Held Last Reported Date Filings in past year

GEORGE W WHITNEY

  • Director
  • 10% Owner
  • SENIOR PORTFOLIO MANAGER
9,392,374 2020-03-23 24

O BYRNE DANIEL A VICE PRESIDENT

  • Officer
  • VP - INVESTMENT ADVISOR
7,000 2020-03-23 0

ULRICH THOMAS W SEE REMARKS

  • Officer
4,366 2020-03-06 2

CLARK CHRISTOPHER D PRESIDENT

  • Officer
  • Director
  • CEO - INVESTMENT ADVISOR
34,767 2020-02-13 0

CHADWICK PATRICIA WALSH

  • Director
19,390 2020-01-02 0

KEADY BARBARA CONNOLLY

  • Director
529 2019-05-03 1

ROYCE CHARLES M

  • Director
329,895 2018-12-10 0

GANNON FRANCIS D. VICE PRESIDENT

  • Officer
5,000 2018-12-04 0

DENNEEN JOHN E SECRETARY

  • Officer
  • SECRETARY-INVESTMENT ADVISER
10,000 2018-10-24 0

ISAACS STEPHEN L

  • Director
649 2018-07-09 0

OBRIEN G PETER

  • Director
3,337 2018-07-09 0

MEHLMAN ARTHUR S

  • Director
4,931 2018-07-09 0

PIERCE JAMES R. JR.

  • Director
4,816 2018-04-23 0

BHATHAL VARINDER TREASURER

  • Officer
0 2017-06-09 0

MULDOON PEYTON TANSILL

  • Director
0 2017-06-09 0

GALKIN RICHARD M

  • Director
  • DIRECTOR THROUGH 2/26/2016.
No longer subject to file 2016-02-26 0

CLARK MICHAEL W

  • Director
50,000 2016-01-13 0

FOCKLER JACK E. JR. VICE PRESIDENT

  • Officer
  • VP - INVESTMENT ADVISOR
No longer subject to file 2015-03-06 0

DIEDERICH JOHN D VICE PRESIDENT & TREASURER

  • Officer
  • COO & CFO - INVESTMENT ADVISER
No longer subject to file 2015-03-06 0

MEISTER DAVID L

  • Director
No longer subject to file 2015-03-06 0

KOKE WILLIAM L

  • Director
  • DIRECTOR THROUGH 12/31/2009
No longer subject to file 2009-12-31 0

DWIGHT DONALD R

  • Director
  • DIRECTOR THROUGH 12/31/2008
No longer subject to file 2008-12-31 0

Insider Transactions Last 60 Days

Reporting Owners Transaction Date Transaction Code Shares Share Price Acquired or Disposed Shares Owned Following Transaction Combined shares owned after filing Direct/Indirect Ownership 10b-5

GEORGE W WHITNEY - Director - > 10% Owner SENIOR PORTFOLIO MANAGER held by trust

2020-03-24 P 17,594 $4.62 a 487,355 9,392,374.00 indirect

GEORGE W WHITNEY - Director - > 10% Owner SENIOR PORTFOLIO MANAGER held by trust

2020-03-24 P 17,594 $4.62 a 894,367 9,392,374.00 indirect

GEORGE W WHITNEY - Director - > 10% Owner SENIOR PORTFOLIO MANAGER

2020-03-23 P 3,902 $4.19 a 6,248,960 9,392,374.00 direct

GEORGE W WHITNEY - Director - > 10% Owner SENIOR PORTFOLIO MANAGER held by spouse

2020-03-23 P 4,934 $4.17 a 2,048,681 9,392,374.00 indirect

GEORGE W WHITNEY - Director - > 10% Owner SENIOR PORTFOLIO MANAGER held by spouse

2020-03-19 P 16,098 $4.20 a 2,043,747 11,397,031.00 indirect

GEORGE W WHITNEY - Director - > 10% Owner SENIOR PORTFOLIO MANAGER

2020-03-19 P 16,098 $4.20 a 6,245,058 11,397,031.00 direct

GEORGE W WHITNEY - Director - > 10% Owner SENIOR PORTFOLIO MANAGER held by spouse

2020-03-18 P 60,000 $4.48 a 2,027,649 11,397,031.00 indirect

GEORGE W WHITNEY - Director - > 10% Owner SENIOR PORTFOLIO MANAGER

2020-03-18 P 63,760 $4.48 a 6,228,960 11,397,031.00 direct

GEORGE W WHITNEY - Director - > 10% Owner SENIOR PORTFOLIO MANAGER

2020-03-17 P 200 $4.60 a 6,165,200 11,397,031.00 direct

GEORGE W WHITNEY - Director - > 10% Owner SENIOR PORTFOLIO MANAGER held by spouse

2020-03-16 P 20,000 $4.70 a 1,967,649 11,240,875.00 indirect

GEORGE W WHITNEY - Director - > 10% Owner SENIOR PORTFOLIO MANAGER

2020-03-16 P 20,000 $4.66 a 6,165,000 11,240,875.00 direct

GEORGE W WHITNEY - Director - > 10% Owner SENIOR PORTFOLIO MANAGER

2020-03-13 P 20,000 $4.90 a 6,145,000 11,240,875.00 direct

GEORGE W WHITNEY - Director - > 10% Owner SENIOR PORTFOLIO MANAGER held by spouse

2020-03-13 P 19,794 $4.80 a 1,947,649 11,240,875.00 indirect

GEORGE W WHITNEY - Director - > 10% Owner SENIOR PORTFOLIO MANAGER held by spouse

2020-03-12 P 60,000 $4.92 a 1,927,855 11,240,875.00 indirect

GEORGE W WHITNEY - Director - > 10% Owner SENIOR PORTFOLIO MANAGER

2020-03-12 P 40,000 $4.92 a 6,125,000 11,240,875.00 direct

ULRICH THOMAS W - Officer SEE REMARKS by ira

2020-03-06 P 800 $6.44 a 4,366 4,366.05 indirect

GEORGE W WHITNEY - Director - > 10% Owner SENIOR PORTFOLIO MANAGER held by trust

2020-02-28 P 40,000 $6.42 a 876,773 11,061,081.00 indirect

GEORGE W WHITNEY - Director - > 10% Owner SENIOR PORTFOLIO MANAGER held by trust

2020-02-27 P 40,000 $6.80 a 836,773 11,061,081.00 indirect

GEORGE W WHITNEY - Director - > 10% Owner SENIOR PORTFOLIO MANAGER held by trust

2020-02-26 P 22,203 $6.99 a 796,773 10,981,081.00 indirect

GEORGE W WHITNEY - Director - > 10% Owner SENIOR PORTFOLIO MANAGER held by trust

2020-02-25 P 22,996 $7.10 a 774,570 10,981,081.00 indirect

GEORGE W WHITNEY - Director - > 10% Owner SENIOR PORTFOLIO MANAGER held by trust

2020-02-24 P 19,058 $7.20 a 751,574 10,981,081.00 indirect

GEORGE W WHITNEY - Director - > 10% Owner SENIOR PORTFOLIO MANAGER held by trust

2020-02-07 P 20,000 $7.34 a 732,516 10,916,824.00 indirect

GEORGE W WHITNEY - Director - > 10% Owner SENIOR PORTFOLIO MANAGER held by trust

2020-02-06 P 27,180 $7.38 a 712,516 10,896,824.00 indirect

GEORGE W WHITNEY - Director - > 10% Owner SENIOR PORTFOLIO MANAGER held by trust

2020-02-05 P 1,300 $7.30 a 685,336 10,896,824.00 indirect

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