ASA Form 3: Chief Compliance Officer Reports No Holdings

Patrick J. Keniston, identified as Chief Compliance Officer, filed an initial Form 3 for ASA Gold & Precious Metals Ltd (ASA) dated 09/19/2025.

Rhea-AI Filing Summary

Patrick J. Keniston, identified as Chief Compliance Officer, filed an initial Form 3 for ASA Gold & Precious Metals Ltd (ASA) dated 09/19/2025. The filing states explicitly that no securities are beneficially owned by the reporting person as of the event date, and the form is signed by Patrick J. Keniston.

Positive

• Initial Form 3 filed for ASA establishing a public ownership baseline
• Form names the reporting person and role as Chief Compliance Officer, enhancing transparency
• Explicit statement of no beneficial ownership eliminates ambiguity about current holdings

Negative

• None.

Insights

Financial Analyst

TL;DR: Initial insider filing shows the officer holds no ASA shares, providing a clear baseline for future disclosures.

The Form 3 records an initial ownership statement for ASA and explicitly reports zero beneficial ownership by the reporting person as of 09/19/2025. For investors and analysts, this is a neutral disclosure: it establishes the reporting person’s relationship to the issuer (Chief Compliance Officer) and creates a public baseline against which any future acquisitions or dispositions will be tracked.

Corporate Governance Expert

TL;DR: A routine initial Form 3 filing noting officer status and no current holdings; good governance transparency.

The filing complies with Section 16 reporting requirements by identifying the reporting person, role, and stating ownership status. Reporting no securities beneficially owned is informative for governance records because it clarifies there are no current insider holdings to disclose and sets the expectation that future changes will be reported.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What did the Form 3 filed for ASA (ASA) on 09/19/2025 disclose?

The Form 3 discloses that Patrick J. Keniston, identified as Chief Compliance Officer, does not beneficially own any ASA securities as of 09/19/2025.

Who is the reporting person on this Form 3 for ASA?

The reporting person is Patrick J. Keniston, listed with an address at ACA Group (FKA Foreside Compliance) in Portland, ME, and titled Chief Compliance Officer.

Does the Form 3 show any shares or derivative positions for the reporting person?

No. The filing contains an explicit explanation: No securities are beneficially owned and no non-derivative or derivative holdings are listed.

Is the Form 3 signed and dated?

Yes. The form is signed by Patrick J. Keniston and dated 09/19/2025.

Does this Form 3 indicate a 10% owner or director status?

The form indicates the reporting person’s relationship as an Officer with title Chief Compliance Officer. It does not indicate 10% ownership.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 09/19/2025 - 04:34 PM Learn about SEC filing dates

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0104
Estimated average burden
hours per response:			0.5

1. Name and Address of Reporting Person^*

Keniston Patrick J

(Last) (First) (Middle)

ACA GROUP (FKA FORESIDE COMPLIANCE)

190 MIDDLE STREET, SUITE 301

(Street)

PORTLAND ME 04101

(City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
09/19/2025

3. Issuer Name and Ticker or Trading Symbol
ASA Gold & Precious Metals Ltd [ ASA ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	Chief Compliance Officer

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

No securities are beneficially owned.

	Patrick J. Keniston	09/19/2025
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.