SPROTT FOCUS TR INC FUND
COM · Closed-End Fund · CUSIP 85208J109
* Summed across managers. Shares that two managers' reports both contain – a subsidiary's holdings that its parent's report includes too, or a sub-adviser's in its client's – are counted once. Holder counts are more reliable. Implied quarter-end price ≈ $7.95.
Trends to Q2 2023
Institutional holders
Managers reporting a position, each quarter
Numbers
| Quarter | Holders |
|---|---|
| Q3 2022 | 30 |
| Q4 2022 | 32 |
| Q1 2023 | 30 |
| Q2 2023 | 30 |
Buyers vs sellers
Managers adding to or starting a position, vs cutting or selling out
Numbers
| Quarter | Bought or added | Cut or sold out |
|---|---|---|
| Q4 2022 | 16 | 14 |
| Q1 2023 | 14 | 16 |
| Q2 2023 | 16 | 10 |
Biggest buyers
| NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO | Added | +54.8k |
| Shaker Financial Services, LLC | Added | +48.2k |
| Invesco Ltd. | New | +45.7k |
| ROYAL BANK OF CANADA | Added | +29.0k |
| Cetera Investment Advisers | Added | +7.0k |
| OSAIC HOLDINGS, INC. | Added | +4.9k |
| Steward Partners Investment Advisory, LLC | Added | +3.6k |
| SPROTT INC. | Added | +1.6k |
| Elequin Capital, LP | Added | +1.4k |
| LEVEL FOUR ADVISORY SERVICES, LLC | Added | +959 |
Biggest sellers
| 1607 Capital Partners, LLC | Reduced | -47.6k |
| STIFEL FINANCIAL CORP | Sold out | -41.5k |
| LPL Financial LLC | Reduced | -34.4k |
| Integrated Wealth Concepts LLC | Reduced | -11.9k |
| MORGAN STANLEY | Reduced | -11.8k |
| WELLS FARGO & COMPANY/MN | Reduced | -11.8k |
| CAPTRUST FINANCIAL ADVISORS | Reduced | -2.1k |
| UBS Group AG | Reduced | -2.0k |
| Essex Financial Services, Inc. | Reduced | -1.0k |
| Ameritas Advisory Services, LLC | Sold out | -792 |
Major shareholders (over 5%)
Anyone who owns more than 5% of a class of the company's shares has to say so: on Schedule 13D if they may try to influence or control the company, on 13G if they're a passive investor, and update it as the stake changes. Each holder's latest filing, from 19 Dec 2024 on; percentages are of the share class, as the holder worked them out.
| Holder | Stake |
|---|---|
GEORGE W WHITNEY
13D · may seek influence
filed 2025-01-03
Stated purposeDividend Reinvestment plan Full filing |
41.0% |
Insider purchases and sales in Q2 2023
Shares bought or sold by the company's own officers, directors and 10% owners, in the open market or privately, as they reported to the SEC on Form 4 (due within two business days of the trade). Grants, option exercises, shares withheld for tax and gifts aren't included.
Officers and directors buying vs selling
Number of people, by quarter (10% owners not included)
Numbers
| Quarter | Buying | Bought | Selling | Sold | Sold under a plan |
|---|---|---|---|---|---|
| Q3 2021 | 0 | — | 0 | — | — |
| Q4 2021 | 0 | — | 0 | — | — |
| Q1 2022 | 1 | $53.3k | 0 | — | — |
| Q2 2022 | 1 | $475.1k | 0 | — | — |
| Q3 2022 | 1 | $7.0k | 0 | — | — |
| Q4 2022 | 1 | $218.8k | 0 | — | — |
| Q1 2023 | 0 | — | 0 | — | — |
| Q2 2023 | 0 | — | 0 | — | — |
None reported in Q2 2023.
Holders, Q2 2023
| Manager | Shares | Change |
|---|---|---|
| Shaker Financial Services, LLC 1.91% of their portfolio | 550.8k $4.4m | Added +48.2k |
| LPL Financial LLC 0.00% of their portfolio | 489.5k $3.9m | Reduced -34.4k |
| 1607 Capital Partners, LLC 0.25% of their portfolio | 445.0k $3.5m | Reduced -47.6k |
| ROYAL BANK OF CANADA 0.00% of their portfolio | 417.0k $3.3m | Added +29.0k |
| MORGAN STANLEY 0.00% of their portfolio | 373.5k $3.0m | Reduced -11.8k |
| Integrated Wealth Concepts LLC 0.05% of their portfolio | 352.9k $2.8m | Reduced -11.9k |
| Essex Financial Services, Inc. 0.25% of their portfolio | 275.5k $2.2m | Reduced -1.0k |
| Cetera Investment Advisers 0.02% of their portfolio | 239.1k $1.9m | Added +7.0k |
| OSAIC HOLDINGS, INC. 0.00% of their portfolio | 137.2k $1.1m | Added +4.9k |
| NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio | 115.8k $920.6k | Added +54.8k |
| UBS Group AG 0.00% of their portfolio | 111.4k $885.2k | Reduced -2.0k |
| SPROTT INC. 0.08% of their portfolio | 111.0k $882.1k | Added +1.6k |
| WELLS FARGO & COMPANY/MN 0.00% of their portfolio | 103.5k $822.9k | Reduced -11.8k |
| CAPTRUST FINANCIAL ADVISORS 0.00% of their portfolio | 97.4k $774.4k | Reduced -2.1k |
| Invesco Ltd. 0.00% of their portfolio | 45.7k $363.0k | New |
| LODESTAR PRIVATE ASSET MANAGEMENT LLC 0.05% of their portfolio | 40.4k $321.0k | Unchanged |
| BANK OF AMERICA CORP /DE/ 0.00% of their portfolio | 23.7k $188.2k | Added +359 |
| Snowden Capital Advisors LLC 0.01% of their portfolio | 21.1k $167.9k | Added +320 |
| ROTHSCHILD INVESTMENT LLC /IL 0.01% of their portfolio | 21.1k $168.0k | Added +319 |
| HighTower Advisors, LLC 0.00% of their portfolio | 19.3k $153.0k | Unchanged |
| LEVEL FOUR ADVISORY SERVICES, LLC 0.01% of their portfolio | 18.1k $144.0k | Added +959 |
| Mraz, Amerine & Associates, Inc. 0.03% of their portfolio | 16.8k $133.9k | Unchanged |
| PEAPACK GLADSTONE FINANCIAL CORP 0.00% of their portfolio | 15.4k $123.0k | Unchanged |
| McIlrath & Eck, LLC 0.02% of their portfolio | 10.5k $83.9k | Added +160 |
| 9258 Wealth Management, LLC 0.02% of their portfolio | 10.3k $81.6k | Added +155 |
| Steward Partners Investment Advisory, LLC 0.00% of their portfolio | 5.0k $39.5k | Added +3.6k |
| Elequin Capital, LP 0.01% of their portfolio | 2.4k $18.9k | Added +1.4k |
| BOURGEON CAPITAL MANAGEMENT LLC 0.00% of their portfolio | 350 $2.8k | Unchanged |
| IFP Advisors, Inc 0.00% of their portfolio | 206 $1.6k | New |
| CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio | 0 $0 | Unchanged |