SPROTT INC. institutional holdings, Q3 FY2021

Full document

Business Context and Reporting Period

This filing is a Form 13F-HR submitted by Sprott Inc., an institutional investment manager, for the quarter ended September 30, 2021. The report was signed by Thomas W. Ulrich, Chief Compliance Officer, on November 12, 2021. It covers the manager's holdings in U.S. equity securities.

Key Financial Metrics

As a Form 13F filing, this document reports portfolio holdings rather than the operating financial performance (revenue, profit, cash flow) of Sprott Inc. itself. Key metrics from the filing include:

  • Total Portfolio Value: $1,522,217,000 (reported as 1,522,217 in thousands).
  • Total Number of Holdings: 143 entries.
  • Other Included Managers: 0 (No other managers are included in this report).

The filing does not provide data on Sprott Inc.'s revenue, profit margins, debt, or liquidity.

Material Changes

The filing text provided does not contain comparative data for the prior period (June 30, 2021) or a breakdown of purchases and sales. Therefore, material changes in holdings versus the prior comparable period cannot be determined from this summary.

Guidance, Outlook, and Risks

This document is a regulatory disclosure of holdings and does not contain management commentary, forward-looking guidance, risk factors, or contingencies regarding Sprott Inc.'s business operations. The filing includes a standard disclaimer that the SEC has not reviewed the information for accuracy or completeness.

Investor Verification Checklist

  • Verify the total portfolio value of $1.52 billion against the specific holdings listed in the full Schedule 13F to understand asset allocation.
  • Confirm that the 143 holdings represent the complete equity portfolio for the reporting period, as no other managers are included.
  • Note that this filing does not reflect Sprott Inc.'s own financial health (e.g., revenue or debt); refer to the company's 10-K or 10-Q for operational metrics.
  • Check the filing date (November 12, 2021) to ensure the data reflects the market position as of September 30, 2021, with a standard 45-day reporting lag.