FUND SEC Filing News — Sprott Focus Trust, Inc.

Latest SEC filings for Sprott Focus Trust, Inc. (FUND) explained in plain English. Covers insider buying and selling (Form 4), proposed insider sales (Form 144), material company events (8-K), and quarterly & annual reports (10-Q / 10-K). StrongBuyAnalytics provides navigation and brief excerpts or summaries; original filings remain at the SEC/source links and were authored by their filers, not StrongBuyAnalytics. Filing dates shown are source dates. Coverage and detection can be delayed or incomplete because of SEC availability, amendments, parsing, caching, or outages. Latest source filing date shown: 2026-10-01.

Sprott Focus Trust, Inc. is a closed-ended equity mutual fund launched and managed by Sprott Asset Management, LP. The fund is co-managed by Sprott Asset Management USA Inc. It invests in the public equity markets of the United States. The fund seeks to invest in stocks of companies operating across diversified sectors. It primarily invests in value stocks of companies across all market capitalizations. The fund benchmarks the performance of its portfolio against the Russell 3000 Index. It was f…
Sector: Financial Services Industry: Asset Management Market Cap: $291.0M
20
Total Filings
7
Bullish Classifications
4
Bearish Classifications
20
Insider Transactions
0
Material Events (8-K)
0
Periodic Reports
Rule-based classifications for FUND currently lean bullish. Of the 20 displayed SEC filing records, 7 carry bullish classifications versus 4 bearish classifications. These labels summarize filing attributes; they are not recommendations, probabilities, or evidence of future price direction. There were 20 insider transactions (Form 4) in this period.
FUND Filing Activity Snapshot 2024-01-03 — 2026-10-01
Insider Transactions (Form 4)
7 buys vs 4 sells
Net insider buying in this period — more purchases than sales reported.
Largest Form 144 Filing
$2.35M
GEORGE W WHITNEY (Director, 10% Owner) · 2025-01-02
323,896 shares · Form 4
Insider Transactions 20 · Forms 3, 4 and 5

A Form 4 is filed within two business days of a company insider — an officer, a director, or a holder of more than ten percent of the stock — changing their position in the shares. All 20 filings in this group are Form 4s for Sprott Focus Trust, Inc.

The difficulty with reading these filings as a group is that a single form type covers transactions that mean entirely different things. An executive spending their own money to buy stock and an executive having shares withheld to pay tax on a vesting grant both appear as a Form 4. Every filing below is therefore tagged with the nature of the underlying transaction, taken from the transaction code reported on the form itself.

Across the 20 insider filings shown, the breakdown is 7 gift, 7 open-market purchase, 4 open-market sale and 2 mixed open-market activity. 13 of them involved a discretionary open-market trade; the rest are compensation and administrative mechanics.

What each transaction type means

Gift ×7
Shares were transferred as a gift, typically for estate or charitable planning. No sale into the market took place.
Open-market purchase ×7
The insider bought shares on the open market with their own money. This is the only Form 4 category that requires a discretionary cash outlay at the prevailing price.
Open-market sale ×4
The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.
Mixed open-market activity ×2
The filing reports both purchases and sales on the open market. Read the transaction lines individually before drawing a directional conclusion.
Form 4 Open-market purchase Insider Buying 2026-10-01

FUND insider GEORGE W WHITNEY (Director, 10% Owner) bought 181,813 shares (~$1.83M)

GEORGE W WHITNEY, listed as Director, 10% Owner at SPROTT FOCUS TRUST INC., reported an open-market purchase of 181,813 FUND shares in a Form 4 filing. Insider buying is often treated as a bullish signal because company insiders are committing their own capital.

The insider bought shares on the open market with their own money. This is the only Form 4 category that requires a discretionary cash outlay at the prevailing price.

Transactions reported on this filing
Code Nature Shares Price Value
P Open-market purchase 59,702 $10.05 $600.0K
P Open-market purchase 4,725 $10.05 $47.5K
P Open-market purchase 49,743 $10.05 $499.9K
P Open-market purchase 21,944 $10.05 $220.5K
P Open-market purchase 4,076 $10.05 $41.0K
P Open-market purchase 1,760 $10.05 $17.7K
P Open-market purchase 39,863 $10.05 $400.6K
Filing: Form 4 (Insider Transaction) Insider: GEORGE W WHITNEY (Director, 10% Owner) Shares: 181,813 Est. Value: $1.83M
View on SEC EDGAR → Open Filing Document →
Form 4 Open-market purchase Insider Buying 2026-06-30

FUND insider GEORGE W WHITNEY (Director, 10% Owner) bought 88,058 shares (~$848.0K)

GEORGE W WHITNEY, listed as Director, 10% Owner at SPROTT FOCUS TRUST INC., reported an open-market purchase of 88,058 FUND shares in a Form 4 filing. Insider buying is often treated as a bullish signal because company insiders are committing their own capital.

The insider bought shares on the open market with their own money. This is the only Form 4 category that requires a discretionary cash outlay at the prevailing price.

Transactions reported on this filing
Code Nature Shares Price Value
P Open-market purchase 16,394 $9.63 $157.9K
P Open-market purchase 4,606 $9.63 $44.4K
P Open-market purchase 1,116 $9.63 $10.7K
P Open-market purchase 21,392 $9.63 $206.0K
P Open-market purchase 3,973 $9.63 $38.3K
P Open-market purchase 1,716 $9.63 $16.5K
P Open-market purchase 38,861 $9.63 $374.2K
Filing: Form 4 (Insider Transaction) Insider: GEORGE W WHITNEY (Director, 10% Owner) Shares: 88,058 Est. Value: $848.0K
View on SEC EDGAR → Open Filing Document →
Form 4 Open-market purchase Insider Buying 2026-03-31

FUND insider GEORGE W WHITNEY (Director, 10% Owner) bought 135,086 shares (~$1.21M)

GEORGE W WHITNEY, listed as Director, 10% Owner at SPROTT FOCUS TRUST INC., reported an open-market purchase of 135,086 FUND shares in a Form 4 filing. Insider buying is often treated as a bullish signal because company insiders are committing their own capital.

The insider bought shares on the open market with their own money. This is the only Form 4 category that requires a discretionary cash outlay at the prevailing price.

Transactions reported on this filing
Code Nature Shares Price Value
P Open-market purchase 16,268 $8.96 $145.8K
P Open-market purchase 4,571 $8.85 $40.5K
P Open-market purchase 48,814 $8.96 $437.4K
P Open-market purchase 21,227 $8.96 $190.2K
P Open-market purchase 3,943 $8.96 $35.3K
P Open-market purchase 1,702 $8.96 $15.2K
P Open-market purchase 38,561 $8.96 $345.5K
Filing: Form 4 (Insider Transaction) Insider: GEORGE W WHITNEY (Director, 10% Owner) Shares: 135,086 Est. Value: $1.21M
View on SEC EDGAR → Open Filing Document →
Form 4 Mixed open-market activity Mixed Insider Activity 2026-01-07

FUND insider GEORGE W WHITNEY (Director, 10% Owner) reported mixed Form 4 activity

GEORGE W WHITNEY (Director, 10% Owner) filed a Form 4 showing both purchase and sale activity. Review the SEC filing for the transaction-by-transaction details before drawing a directional conclusion.

The filing reports both purchases and sales on the open market. Read the transaction lines individually before drawing a directional conclusion.

Transactions reported on this filing
Code Nature Shares Price Value
P Open-market purchase 1,785 $8.89 $15.9K
S Open-market sale 17,700 $8.85 $156.6K
Filing: Form 4 (Insider Transaction) Insider: GEORGE W WHITNEY (Director, 10% Owner) Shares: 19,485 Est. Value: $172.5K
View on SEC EDGAR → Open Filing Document →
Form 4 Gift Tax / Compensation Filing 2026-01-05

FUND insider Form 4 filed for equity award, exercise, or tax withholding

GEORGE W WHITNEY (Director, 10% Owner) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were transferred as a gift, typically for estate or charitable planning. No sale into the market took place.

Transactions reported on this filing
Code Nature Shares Price Value
G Gift 10,900 $8.68 $94.6K
G Gift 6,540 $8.68 $56.8K
Filing: Form 4 (Insider Transaction) Insider: GEORGE W WHITNEY (Director, 10% Owner) Shares: 17,440
View on SEC EDGAR → Open Filing Document →
Form 4 Open-market purchase Insider Buying 2025-12-30

FUND insider GEORGE W WHITNEY (Director, 10% Owner) bought 270,237 shares (~$2.32M)

GEORGE W WHITNEY, listed as Director, 10% Owner at SPROTT FOCUS TRUST INC., reported an open-market purchase of 270,237 FUND shares in a Form 4 filing. Insider buying is often treated as a bullish signal because company insiders are committing their own capital.

The insider bought shares on the open market with their own money. This is the only Form 4 category that requires a discretionary cash outlay at the prevailing price.

Transactions reported on this filing
Code Nature Shares Price Value
P Open-market purchase 96,357 $8.60 $828.7K
P Open-market purchase 71,360 $8.60 $613.7K
P Open-market purchase 30,970 $8.60 $266.3K
P Open-market purchase 7,054 $8.60 $60.7K
P Open-market purchase 5,752 $8.60 $49.5K
P Open-market purchase 2,484 $8.60 $21.4K
P Open-market purchase 56,260 $8.60 $483.8K
Filing: Form 4 (Insider Transaction) Insider: GEORGE W WHITNEY (Director, 10% Owner) Shares: 270,237 Est. Value: $2.32M
View on SEC EDGAR → Open Filing Document →
Form 4 Gift Tax / Compensation Filing 2025-12-15

FUND insider Form 4 filed for equity award, exercise, or tax withholding

GEORGE W WHITNEY (Director, 10% Owner) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were transferred as a gift, typically for estate or charitable planning. No sale into the market took place.

Transactions reported on this filing
Code Nature Shares Price Value
G Gift 4,500 $8.80 $39.6K
Filing: Form 4 (Insider Transaction) Insider: GEORGE W WHITNEY (Director, 10% Owner) Shares: 4,500
View on SEC EDGAR → Open Filing Document →
Form 4 Open-market sale Insider Selling 2025-10-16

FUND insider Ulrich Thomas W (See Remarks) sold 1,116 shares (~$9.3K)

Ulrich Thomas W, listed as See Remarks at SPROTT FOCUS TRUST INC., reported an open-market sale of 1,116 FUND shares in a Form 4 filing. This is a confirmed insider sale, not just a proposed sale notice.

The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.

Transactions reported on this filing
Code Nature Shares Price Value
S Open-market sale 1,116 $8.34 $9.3K
Filing: Form 4 (Insider Transaction) Insider: Ulrich Thomas W (See Remarks) Shares: 1,116 Est. Value: $9.3K
View on SEC EDGAR → Open Filing Document →
Form 4 Mixed open-market activity Mixed Insider Activity 2025-10-01

FUND insider GEORGE W WHITNEY (Director, 10% Owner) reported mixed Form 4 activity

GEORGE W WHITNEY (Director, 10% Owner) filed a Form 4 showing both purchase and sale activity. Review the SEC filing for the transaction-by-transaction details before drawing a directional conclusion.

The filing reports both purchases and sales on the open market. Read the transaction lines individually before drawing a directional conclusion.

Transactions reported on this filing
Code Nature Shares Price Value
S Open-market sale 29,800 $8.18 $243.8K
P Open-market purchase 59,537 $8.18 $487.0K
P Open-market purchase 49,318 $8.18 $403.4K
P Open-market purchase 21,373 $8.18 $174.8K
P Open-market purchase 4,868 $8.18 $39.8K
P Open-market purchase 3,970 $8.18 $32.5K
P Open-market purchase 1,714 $8.18 $14.0K
P Open-market purchase 38,827 $8.18 $317.6K
Filing: Form 4 (Insider Transaction) Insider: GEORGE W WHITNEY (Director, 10% Owner) Shares: 209,407 Est. Value: $1.71M
View on SEC EDGAR → Open Filing Document →
Form 4 Open-market purchase Insider Buying 2025-07-02

FUND insider GEORGE W WHITNEY (Director, 10% Owner) bought 196,329 shares (~$1.45M)

GEORGE W WHITNEY, listed as Director, 10% Owner at SPROTT FOCUS TRUST INC., reported an open-market purchase of 196,329 FUND shares in a Form 4 filing. Insider buying is often treated as a bullish signal because company insiders are committing their own capital.

The insider bought shares on the open market with their own money. This is the only Form 4 category that requires a discretionary cash outlay at the prevailing price.

Transactions reported on this filing
Code Nature Shares Price Value
P Open-market purchase 64,913 $7.41 $481.0K
P Open-market purchase 53,770 $7.41 $398.4K
P Open-market purchase 23,303 $7.41 $172.7K
P Open-market purchase 5,813 $7.41 $43.1K
P Open-market purchase 4,328 $7.41 $32.1K
P Open-market purchase 1,869 $7.41 $13.8K
P Open-market purchase 42,333 $7.41 $313.7K
Filing: Form 4 (Insider Transaction) Insider: GEORGE W WHITNEY (Director, 10% Owner) Shares: 196,329 Est. Value: $1.45M
View on SEC EDGAR → Open Filing Document →
Form 4 Open-market sale Insider Selling 2025-06-03

FUND insider GEORGE W WHITNEY (Director, 10% Owner) sold 29,900 shares (~$215.5K)

GEORGE W WHITNEY, listed as Director, 10% Owner at SPROTT FOCUS TRUST INC., reported an open-market sale of 29,900 FUND shares in a Form 4 filing. This is a confirmed insider sale, not just a proposed sale notice.

The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.

Transactions reported on this filing
Code Nature Shares Price Value
S Open-market sale 700 $7.18 $5.0K
S Open-market sale 1,595 $7.19 $11.5K
S Open-market sale 200 $7.20 $1.4K
S Open-market sale 22,840 $7.20 $164.4K
S Open-market sale 100 $7.21 $721.00
S Open-market sale 4,465 $7.25 $32.4K
Filing: Form 4 (Insider Transaction) Insider: GEORGE W WHITNEY (Director, 10% Owner) Shares: 29,900 Est. Value: $215.5K
View on SEC EDGAR → Open Filing Document →
Form 4 Open-market purchase Insider Buying 2025-04-01

FUND insider GEORGE W WHITNEY (Director, 10% Owner) bought 200,137 shares (~$1.46M)

GEORGE W WHITNEY, listed as Director, 10% Owner at SPROTT FOCUS TRUST INC., reported an open-market purchase of 200,137 FUND shares in a Form 4 filing. Insider buying is often treated as a bullish signal because company insiders are committing their own capital.

The insider bought shares on the open market with their own money. This is the only Form 4 category that requires a discretionary cash outlay at the prevailing price.

Transactions reported on this filing
Code Nature Shares Price Value
P Open-market purchase 54,669 $7.30 $399.1K
P Open-market purchase 4,926 $7.30 $36.0K
P Open-market purchase 5,911 $7.30 $43.2K
P Open-market purchase 65,998 $7.30 $481.8K
P Open-market purchase 23,693 $7.30 $173.0K
P Open-market purchase 43,040 $7.30 $314.2K
P Open-market purchase 1,900 $7.30 $13.9K
Filing: Form 4 (Insider Transaction) Insider: GEORGE W WHITNEY (Director, 10% Owner) Shares: 200,137 Est. Value: $1.46M
View on SEC EDGAR → Open Filing Document →
Form 4 Gift Tax / Compensation Filing 2025-01-08

FUND insider Form 4 filed for equity award, exercise, or tax withholding

GEORGE W WHITNEY (Director, 10% Owner) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were transferred as a gift, typically for estate or charitable planning. No sale into the market took place.

Transactions reported on this filing
Code Nature Shares Price Value
G Gift 7,620 $7.47 $56.9K
G Gift 7,620 $7.47 $56.9K
G Gift 5,100 $7.43 $37.9K
Filing: Form 4 (Insider Transaction) Insider: GEORGE W WHITNEY (Director, 10% Owner) Shares: 20,340
View on SEC EDGAR → Open Filing Document →
Form 4 Open-market purchase Insider Buying 2025-01-02

FUND insider GEORGE W WHITNEY (Director, 10% Owner) bought 323,896 shares (~$2.35M)

GEORGE W WHITNEY, listed as Director, 10% Owner at SPROTT FOCUS TRUST INC., reported an open-market purchase of 323,896 FUND shares in a Form 4 filing. Insider buying is often treated as a bullish signal because company insiders are committing their own capital.

The insider bought shares on the open market with their own money. This is the only Form 4 category that requires a discretionary cash outlay at the prevailing price.

Transactions reported on this filing
Code Nature Shares Price Value
P Open-market purchase 88,629 $7.27 $644.3K
P Open-market purchase 7,954 $7.27 $57.8K
P Open-market purchase 9,545 $7.27 $69.4K
P Open-market purchase 106,939 $7.27 $777.4K
P Open-market purchase 38,259 $7.27 $278.1K
P Open-market purchase 69,501 $7.27 $505.3K
P Open-market purchase 3,069 $7.27 $22.3K
Filing: Form 4 (Insider Transaction) Insider: GEORGE W WHITNEY (Director, 10% Owner) Shares: 323,896 Est. Value: $2.35M
View on SEC EDGAR → Open Filing Document →
Form 4 Gift Tax / Compensation Filing 2024-12-17

FUND insider Form 4 filed for equity award, exercise, or tax withholding

GEORGE W WHITNEY (Director, 10% Owner) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were transferred as a gift, typically for estate or charitable planning. No sale into the market took place.

Transactions reported on this filing
Code Nature Shares Price Value
G Gift 1,500 $7.55 $11.3K
Filing: Form 4 (Insider Transaction) Insider: GEORGE W WHITNEY (Director, 10% Owner) Shares: 1,500
View on SEC EDGAR → Open Filing Document →
Form 4 Gift Tax / Compensation Filing 2024-12-17

FUND insider Form 4 filed for equity award, exercise, or tax withholding

GEORGE W WHITNEY (Director, 10% Owner) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were transferred as a gift, typically for estate or charitable planning. No sale into the market took place.

Transactions reported on this filing
Code Nature Shares Price Value
G Gift 3,000 $7.65 $22.9K
Filing: Form 4 (Insider Transaction) Insider: GEORGE W WHITNEY (Director, 10% Owner) Shares: 3,000
View on SEC EDGAR → Open Filing Document →
Form 4 Open-market sale Insider Selling 2024-10-02

FUND insider GEORGE W WHITNEY (Director, 10% Owner) sold 26,000 shares (~$197.1K)

GEORGE W WHITNEY, listed as Director, 10% Owner at SPROTT FOCUS TRUST INC., reported an open-market sale of 26,000 FUND shares in a Form 4 filing. This is a confirmed insider sale, not just a proposed sale notice.

The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.

Transactions reported on this filing
Code Nature Shares Price Value
S Open-market sale 26,000 $7.58 $197.1K
Filing: Form 4 (Insider Transaction) Insider: GEORGE W WHITNEY (Director, 10% Owner) Shares: 26,000 Est. Value: $197.1K
View on SEC EDGAR → Open Filing Document →
Form 4 Open-market sale Insider Selling 2024-07-03

FUND insider GEORGE W WHITNEY (Director, 10% Owner) sold 15,621 shares (~$115.4K)

GEORGE W WHITNEY, listed as Director, 10% Owner at SPROTT FOCUS TRUST INC., reported an open-market sale of 15,621 FUND shares in a Form 4 filing. This is a confirmed insider sale, not just a proposed sale notice.

The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.

Transactions reported on this filing
Code Nature Shares Price Value
S Open-market sale 15,621 $7.39 $115.4K
Filing: Form 4 (Insider Transaction) Insider: GEORGE W WHITNEY (Director, 10% Owner) Shares: 15,621 Est. Value: $115.4K
View on SEC EDGAR → Open Filing Document →
Form 4 Gift Tax / Compensation Filing 2024-04-05

FUND insider Form 4 filed for equity award, exercise, or tax withholding

GEORGE W WHITNEY (Director, 10% Owner) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were transferred as a gift, typically for estate or charitable planning. No sale into the market took place.

Transactions reported on this filing
Code Nature Shares Price Value
G Gift 6,500 $7.88 $51.2K
G Gift 6,500 $7.88 $51.2K
G Gift 6,500 $7.88 $51.2K
Filing: Form 4 (Insider Transaction) Insider: GEORGE W WHITNEY (Director, 10% Owner) Shares: 19,500
View on SEC EDGAR → Open Filing Document →
Form 4 Gift Tax / Compensation Filing 2024-01-03

FUND insider Form 4 filed for equity award, exercise, or tax withholding

GEORGE W WHITNEY (Director, 10% Owner) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were transferred as a gift, typically for estate or charitable planning. No sale into the market took place.

Transactions reported on this filing
Code Nature Shares Price Value
G Gift 4,500 — —
Filing: Form 4 (Insider Transaction) Insider: GEORGE W WHITNEY (Director, 10% Owner) Shares: 4,500
View on SEC EDGAR → Open Filing Document →

How we classify Sprott Focus Trust, Inc.'s filings

Straight from EDGAR

Each displayed record links to an original source document. StrongBuyAnalytics provides navigation and brief excerpts or summaries, not the filing itself. Parsing may omit context or contain errors, so read the original document in full.

Transaction codes, not guesswork

The nature shown on each insider filing comes from the transaction code the filer entered on the form itself — P for an open-market purchase, A for a compensation award, F for shares withheld to pay tax, M for an option exercise. Where one filing contains several codes, the transaction table lists them line by line.

Why the distinction matters

Insider activity is routinely summarised as buying or selling, which flattens together decisions that mean very different things. Shares withheld for tax on a vesting grant are an automatic administrative step; shares bought on the open market are someone committing their own money at the current price.

What this page does not tell you

A filing records what happened, not why. Form 4 does not always disclose whether a sale was executed under a pre-arranged Rule 10b5-1 plan, and no single filing is a basis for a decision on FUND. Read these alongside the fundamentals rather than in isolation.

Frequently Asked Questions — FUND SEC Filings

More Tools for FUND

FUND Full Stock Analysis FUND Live Chart Institutional Ownership Earnings Calendar Options Flow Scanner Semiconductor Demand Zone Tracker Sector Scanner Browse All Stocks

Want deeper FUND analysis?

View valuation, growth metrics, the rule-based stock-page score, demand zones, peer comparison, and more — all on the FUND stock analysis page.

FUND Full Analysis
Publisher, sources & limitations — September 15, 2026. StrongBuyAnalytics provides navigation and brief excerpts or summaries for educational use. Original filings remain at SEC EDGAR or other displayed source links; StrongBuyAnalytics does not author them. Filing dates are source dates, not publication dates for this page. Coverage can be delayed, incomplete, amended, or unavailable because of SEC/source availability, parsing, caching, or outages. Verify every material statement in the original filing.
Data Sources · Methodology · AI Disclosure · Corrections Policy · Disclaimer