Welcome to our dedicated page for Sprott Focus Trust SEC filings (Ticker: FUND), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
Sprott Focus Trust, Inc. (Nasdaq: FUND) files regulatory documents with the U.S. Securities and Exchange Commission as a closed-end diversified management investment company. These filings provide detailed information on the fund’s governance, share ownership, advisory relationships, and the policies that guide its operations, including its approach to distributions and board oversight.
Among the key documents is the definitive proxy statement (DEF 14A), which describes the structure of the board of directors, the classification of directors into three staggered classes, and the procedures for electing directors at the annual meeting of stockholders. The proxy statement explains record dates, voting rights (one vote per share, with proportional rights for fractional shares), proxy solicitation methods and the role of inspectors of election. It also discloses security ownership of certain beneficial owners and management, including detailed information on any stockholder holding more than 5% of the outstanding common stock.
Other SEC reports for Sprott Focus Trust typically address areas such as financial statements, portfolio holdings, advisory arrangements and risk disclosures, complementing what investors see in the fund’s distribution and performance announcements. These documents help clarify how the fund’s investment objective of long-term capital growth is implemented within the regulatory framework for registered management investment companies.
On this page, Stock Titan provides access to FUND’s SEC filings with real-time updates from EDGAR, so new documents appear as they are filed. AI-powered summaries highlight the most important points in lengthy reports, helping readers quickly understand topics such as director elections, committee charters, beneficial ownership tables and changes in policies that may affect stockholders. Users can also review ownership and governance details disclosed in proxy materials alongside other periodic filings to build a more complete picture of the fund’s regulatory profile.
GEORGE W. WHITNEY, a director, 10% owner and Senior Portfolio Manager of Sprott Focus Trust Inc. (FUND), reported both a purchase and a sale of common stock on January 6, 2026. He acquired 1,785 shares at
Following these transactions, Mr. George directly held 8,078,033 common shares, and the reporting shows additional indirect holdings through various family trusts, his spouse and a family foundation. The filing notes that Mr. George may be deemed to beneficially own shares held by these entities but disclaims beneficial ownership except to the extent of his pecuniary interest.
Sprott Focus Trust Inc. director, 10% owner and Senior Portfolio Manager W. Whitney George reported a transaction in the fund’s common stock on 12/10/2025. The report shows a disposal of 4,500 shares at $ 8.8 per share, leaving 3,211,443 shares beneficially owned indirectly through his spouse, along with large additional direct and indirect holdings.
These indirect positions include shares held by several family trusts and The Meredith and Whitney George Foundation, where Mr. George has investment and voting discretion. He notes that he may be deemed to beneficially own these shares but disclaims beneficial ownership except to the extent of his pecuniary interest. The report also states that certain purchases of Sprott Focus Trust shares were made through a dividend reinvestment plan that satisfies Rule 16a-11, which exempts those transactions from Section 16 of the Securities Exchange Act of 1934.
Sprott Focus Trust (FUND) officer Thomas W. Ulrich reported a sale of common stock on 10/15/2025. He sold 1,116.84 shares at $8.34 per share, reported under transaction code “S”.
Following the sale, he beneficially owned 8,272.65 shares on an indirect basis through an IRA. The filing notes that reported holdings include shares acquired under the issuer’s Dividend Reinvestment Program.
George W. Whitney, a director and 10% owner of Sprott Focus Trust Inc. (FUND), reported multiple transactions in the issuer's common stock. He sold 29,800 shares at $8.18 on 08/28/2025, after which 312,583 shares were reported as indirectly held by a trust. On 09/29/2025 Mr. Whitney reports a series of purchases at $8.18 per share across direct and indirect accounts totaling 179,607 shares (individual line items shown in the filing). Post-transaction beneficial ownership figures are reported for each line, including a direct holding listed as 7,990,791 shares and various indirect holdings held by trusts, spouse, and a foundation. The filing states these purchases were made under a dividend reinvestment plan that qualifies for Rule 16a-11 exemption. The report includes standard disclaimers about pecuniary interest and trustee roles without additional commentary.
Sprott Focus Trust, Inc. (FUND) will hold its 2025 Annual Meeting on 2 Sep 2025 at 1:00 p.m. ET in Darien, CT. Only stockholders of record at the close of business on 18 Jul 2025 may vote. The sole voting item is Proposal 1: election of two Class III independent directors, Leslie Barrett and Michael W. Clark, for terms expiring in 2028. No other proposals or appraisal rights are offered.
The Fund has 29,641,944 shares outstanding. CEO and interested director W. Whitney George beneficially owns 15,670,672 shares (52.86%), giving him de-facto majority control; all other directors and officers together own 52.93%. Independent directors form 80 % of the five-member board and comprise the entire Audit and Governance Committees. Each independent director received $5,086.25 in 2024 compensation; no pension benefits accrue.
Audit services will again be provided by Tait, Weller & Baker LLP; 2024 fees were $30,000 audit and $7,200 tax, unchanged from 2023. The Audit Committee reaffirmed the auditor’s independence and recommended inclusion of 2024 financials in the Annual Report. All directors attended at least 75 % of 2024 meetings, yet none attended the 2024 stockholder meeting. Voting may be executed by proxy card, telephone, internet or in person.
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