Mga Batayang Estadistika
| LEI | 549300IHT3UMGTGZSX08 |
| CIK | 1539190 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Sprott Physical Platinum and Palladium Trust
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| August 15, 2025 |
sppp-fs063025 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST 6-K Exhibit 99.1 Interim Report to Unitholders June 30, 2025 2 Table of Contents Interim Management Report of Fund Performance 3 Interim Financial Statements 8 The interim management report of fund performance is an analysis and explanation that is designed to complement and supplement an investment fund’s interim financial statements. A c |
|
| August 15, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of August 2025 Commission File Number: 001-35765 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST (Translation of registrant’s name into English) Suite 2600, South Tower Royal Bank Plaza 200 Bay Street T |
|
| June 13, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of June 2025 Commission File Number: 001-35765 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST (Translation of registrant’s name into English) Suite 2600, South Tower, Royal Bank Plaza, 200 Bay Street, |
|
| June 13, 2025 |
SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST Exhibit 99.1 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST Amendment No. 1 to the Amended and Restated Sales Agreement May 2, 2025 Cantor Fitzgerald & Co. 110 East 59th Street New York, NY 10022 Cantor Fitzgerald Canada Corporation 181 University Avenue, Suite 1500 Toronto, ON M5H 3M7 Virtu Americas LLC 1633 Broadway New York, NY 10019 Virtu Canada Corp. |
|
| June 13, 2025 |
PROSPECTUS SUPPLEMENT TO THE SHORT FORM BASE SHELF PROSPECTUS DATED JUNE 12, 2025 Filed pursuant to General Instruction II.L of Form F-10 File No. 333-287978 No securities regulatory authority has expressed an opinion about these securities and it is an offence to claim otherwise. This prospectus supplement, together with the accompanying short form base shelf prospectus dated June 12, 2025 (the “accompanying prospectus”) to which it relates, as amended or supplemented, and eac |
|
| June 12, 2025 |
Sprott Physical Platinum and Palladium Trust F-10EF Exhibit 5.3 SEWARD & KISSEL LLP 901 K STREET, N.W., SUITE 800 WASHINGTON, D.C. 20001 TELEPHONE: (202) 737-8833 FACSIMILE: (202) 737-5184 WWW.SEWKIS.COM ONE BATTERY PARK PLAZA NEW YORK, NEW YORK 10004 TELEPHONE: (212) 574-1200 FACSIMILE: (212) 480-8421 We hereby consent to the use of our name in the Registration Statement on Form F-10 filed by Spr |
|
| June 12, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM F-X APPOINTMENT OF AGENT FOR SERVICE OF PROCESS AND UNDERTAKING A. Name of issuer or person filing (“Filer”): RBC Investor Services Trust on Behalf of Sprott Physical Platinum and Palladium Trust B. (1) This is [check one] ☒ an original filing for the Filer ☐ an amended filing for the Filer (2) Check the following box if |
|
| June 12, 2025 |
As filed with the Securities and Exchange Commission on June 12, 2025 As filed with the Securities and Exchange Commission on June 12, 2025 Registration No. |
|
| June 12, 2025 |
Sprott Physical Platinum and Palladium Trust F-10EF Exhibit 107 Calculation of Filing Fee Tables F-10 (Form Type) Sprott Physical Platinum and Palladium Trust (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule or Instruction Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Fees to Be Paid Unallocated (Universal) Shelf Units 457(o) (1) (1) $200,000,000(2) $0. |
|
| June 12, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM F-X APPOINTMENT OF AGENT FOR SERVICE OF PROCESS AND UNDERTAKING A. Name of issuer or person filing (“Filer”): Sprott Physical Platinum and Palladium Trust B. (1) This is [check one] ☒ an original filing for the Filer ☐ an amended filing for the Filer (2) Check the following box if you are filing the Form F-X in paper in a |
|
| May 15, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of May 2025 Commission File Number: 001-35765 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST (Translation of registrant’s name into English) Suite 2600, South Tower, Royal Bank Plaza, 200 Bay Street, T |
|
| May 15, 2025 |
SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST Exhibit 99.1 Interim Report to Unitholders March 31, 2025 2 Table of Contents Interim Management Report of Fund Performance 3 Interim Financial Statements 7 The interim management report of fund performance is an analysis and explanation that is designed to complement and supplement an investment fund’s interim financial statements. A copy of the interi |
|
| April 1, 2025 |
PROSPECTUS SUPPLEMENT TO THE SHORT FORM BASE SHELF PROSPECTUS DATED SEPTEMBER 6, 2024 Filed pursuant to General Instruction II.L of Form F-10 File No. 333-281996 No securities regulatory authority has expressed an opinion about these securities and it is an offence to claim otherwise. This prospectus supplement, together with the accompanying short form base shelf prospectus dated September 6, 2024 (the “accompanying prospectus”) to which it relates, as amended or supplemented, and |
|
| March 20, 2025 |
SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST 40-F Exhibit 99.5 No securities regulatory authority has expressed an opinion about these securities and it is an offense to claim otherwise. ANNUAL INFORMATION FORM for the fiscal year ended December 31, 2024 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST (the “Trust”) March 20, 2025 TABLE OF CONTENTS CAUTIONARY STATEMENT REGARDING FORWARD-LOOKING STATEM |
|
| March 20, 2025 |
CERTIFICATION OF THE PRINCIPAL FINANCIAL OFFICER SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST 40-F Exhibit 99.2 CERTIFICATION OF THE PRINCIPAL FINANCIAL OFFICER I, Varinder Bhathal, certify that: 1. I have reviewed this annual report on Form 40-F of Sprott Physical Platinum and Palladium Trust (the “Trust”); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary t |
|
| March 20, 2025 |
SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST CLAWBACK POLICY SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST 40-F Exhibit 97 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST CLAWBACK POLICY This Clawback Policy (this “Policy”) shall be applied by the Sprott Physical Platinum and Palladium Trust (the “Trust”) to the Executive Officers effective as of the Effective Date. |
|
| March 20, 2025 |
PRINCIPAL FINANCIAL OFFICER CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST 40-F Exhibit 99.4 PRINCIPAL FINANCIAL OFFICER CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350 In connection with this annual report of Sprott Physical Platinum and Palladium Trust (the “Trust”) on Form 40-F for the year ended December 31, 2024 as filed with the Securities and Exchange Commission (the “SEC”) on or about the date hereof (the “Report”), I |
|
| March 20, 2025 |
CERTIFICATION OF THE PRINCIPAL EXECUTIVE OFFICER SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST 40-F Exhibit 99.1 CERTIFICATION OF THE PRINCIPAL EXECUTIVE OFFICER I, John Ciampaglia, certify that: 1. I have reviewed this annual report on Form 40-F of Sprott Physical Platinum and Palladium Trust (the “Trust”); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to |
|
| March 20, 2025 |
SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST 40-F Exhibit 99.6 Annual Report to Unitholders December 31, 2024 2 Table of Contents Annual Management Report of Fund Performance 3 Annual Financial Statements 8 The annual management report of fund performance is an analysis and explanation that is designed to complement and supplement an investment fund’s annual financial statements. A copy of the ann |
|
| March 20, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 40-F UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 40-F ☐ REGISTRATION STATEMENT PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 OR ☒ ANNUAL REPORT PURSUANT TO SECTION 13(a) OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2024 Commission file number 001-35765 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST (Exact name of R |
|
| March 20, 2025 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST 40-F Exhibit 99.7 KPMG LLP Bay Adelaide Centre 333 Bay Street, Suite 4600 Toronto, ON M5H 2S5 Canada Tel 416-777-8500 Fax 416-777-8818 CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To Sprott Asset Management LP, Manager of Sprott Physical Platinum and Palladium Trust, We consent to the use of: ● our report dated March 20, 2025 on the financia |
|
| March 20, 2025 |
PRINCIPAL EXECUTIVE OFFICER CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST 40-F Exhibit 99.3 PRINCIPAL EXECUTIVE OFFICER CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350 In connection with this annual report of Sprott Physical Platinum and Palladium Trust (the “Trust”) on Form 40-F for the year ended December 31, 2024 as filed with the Securities and Exchange Commission (the “SEC”) on or about the date hereof (the “Report”), I |
|
| December 9, 2024 |
SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST Trust Units Amended and Restated Sales Agreement Sprott Physical Platinum and Palladium Trust 6-K Exhibit 99.1 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST Trust Units Amended and Restated Sales Agreement December 6, 2024 Cantor Fitzgerald & Co. 110 East 59th Street New York, NY 10022 Cantor Fitzgerald Canada Corporation 181 University Avenue, Suite 1500 Toronto, ON M5H 3M7 Virtu Americas LLC 1633 Broadway New York, NY 10019 Virtu Canada Corp. 2 |
|
| December 9, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of December 2024 Commission File Number: 001-35765 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST (Translation of registrant’s name into English) Suite 2600, South Tower, Royal Bank Plaza, 200 Bay Stre |
|
| December 9, 2024 |
Filed pursuant to General Instruction II.L of Form F-10 File No. 333-281996 No securities regulatory authority has expressed an opinion about these securities and it is an offence to claim otherwise. This amended and restated prospectus supplement, together with the accompanying short form base shelf prospectus dated September 6, 2024 (the “accompanying prospectus”) to which it relates, as amended |
|
| November 15, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of November 2024 Commission File Number: 001-35765 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST (Translation of registrant’s name into English) Suite 2600, South Tower Royal Bank Plaza 200 Bay Street |
|
| November 15, 2024 |
Sprott Physical Platinum and Palladium Trust 6-K Exhibit 99.1 Interim Report to Unitholders September 30, 2024 2 Table of Contents Interim Management Report of Fund Performance 3 Interim Financial Statements 7 The interim management report of fund performance is an analysis and explanation that is designed to complement and supplement an investment fund’s interim financial statements. A copy of th |
|
| September 9, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of September 2024 Commission File Number: 001-35765 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST (Translation of registrant’s name into English) Suite 2600, South Tower, Royal Bank Plaza, 200 Bay Str |
|
| September 9, 2024 |
PROSPECTUS SUPPLEMENT TO THE SHORT FORM BASE SHELF PROSPECTUS DATED SEPTEMBER 6, 2024 Filed pursuant to General Instruction II.L of Form F-10 File No. 333-281996 No securities regulatory authority has expressed an opinion about these securities and it is an offence to claim otherwise. This prospectus supplement, together with the accompanying short form base shelf prospectus dated September 6, 2024 (the “accompanying prospectus”) to which it relates, as amended or supplemented, and |
|
| September 9, 2024 |
Sprott Physical Platinum and Palladium Trust – 6-K Exhibit 99.1 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST Amendment No. 2 to the Amended and Restated Sales Agreement September 9, 2024 Cantor Fitzgerald & Co. 110 E 59th Street New York, NY 10022 Virtu Americas LLC 1633 Broadway New York, NY 10019 Virtu Canada Corp. 222 Bay Street, Suite 1720 Toronto, ON M5K 1B7 Ladies and Gentlemen: Reference is |
|
| September 6, 2024 |
SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST F-10 Exhibit 5.3 SEWARD & KISSEL LLP 901 K STREET, N.W., SUITE 800 WASHINGTON, D.C. 20001 TELEPHONE: (202) 737-8833 FACSIMILE: (202) 737-5184 WWW.SEWKIS.COM ONE BATTERY PARK PLAZA NEW YORK, NEW YORK 10004 TELEPHONE: (212) 574-1200 FACSIMILE: (212) 480-8421 We hereby consent to the use of our name in the Registration Statement on Form F-10 filed by Sprot |
|
| September 6, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM F-X APPOINTMENT OF AGENT FOR SERVICE OF PROCESS AND UNDERTAKING A. Name of issuer or person filing (“Filer”): RBC Investor Services Trust on Behalf of Sprott Physical Platinum and Palladium Trust B. (1) This is [check one] ☒ an original filing for the Filer ☐ an amended filing for the Filer (2) Check the following box if |
|
| September 6, 2024 |
SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST F-10 Exhibit 107 Calculation of Filing Fee Tables F-10 (Form Type) Sprott Physical Platinum and Palladium Trust (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule or Instruction Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Fees to Be Paid Unallocated (Universal) Shelf Units 457(o) (1) (1) $100,000,000(2) $0. |
|
| September 6, 2024 |
As filed with the Securities and Exchange Commission on September 6, 2024 As filed with the Securities and Exchange Commission on September 6, 2024 Registration No. |
|
| September 6, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM F-X APPOINTMENT OF AGENT FOR SERVICE OF PROCESS AND UNDERTAKING A. Name of issuer or person filing (“Filer”): Sprott Physical Platinum and Palladium Trust B. (1) This is [check one] ☒ an original filing for the Filer ☐ an amended filing for the Filer (2) Check the following box if you are filing the Form F-X in paper in a |
|
| August 16, 2024 |
Sprott Physical Platinum and Palladium Trust 6-K Exhibit 99.1 Interim Report to Unitholders June 30, 2024 2 Table of Contents Interim Management Report of Fund Performance 3 Interim Financial Statements 7 The interim management report of fund performance is an analysis and explanation that is designed to complement and supplement an investment fund’s interim financial statements. A copy of the int |
|
| August 16, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of August 2024 Commission File Number: 001-35765 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST (Translation of registrant’s name into English) Suite 2600, South Tower, Royal Bank Plaza, 200 Bay Street |
|
| May 22, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of May 2024 Commission File Number: 001-35765 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST (Translation of registrant’s name into English) Suite 2600, South Tower Royal Bank Plaza 200 Bay Street Toro |
|
| May 22, 2024 |
Sprott Physical Platinum and Palladium Trust 6-K Exhibit 99.1 Interim Report to Unitholders March 31, 2024 2 Table of Contents Interim Management Report of Fund Performance 3 Interim Financial Statements 7 The interim management report of fund performance is an analysis and explanation that is designed to complement and supplement an investment fund’s interim financial statements. A copy of the in |
|
| March 25, 2024 |
CERTIFICATION OF THE PRINCIPAL EXECUTIVE OFFICER Sprott Physical Platinum and Palladium Trust 40-F Exhibit 99.1 CERTIFICATION OF THE PRINCIPAL EXECUTIVE OFFICER I, John Ciampaglia, certify that: 1. I have reviewed this annual report on Form 40-F of Sprott Physical Platinum and Palladium Trust (the “Trust”); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to |
|
| March 25, 2024 |
Sprott Physical Platinum and Palladium Trust 40-F Exhibit 99.6 Annual Report to Unitholders December 31, 2023 2 Table of Contents Annual Management Report of Fund Performance 3 Annual Financial Statements 8 The annual management report of fund performance is an analysis and explanation that is designed to complement and supplement an investment fund’s annual financial statements. A copy of the ann |
|
| March 25, 2024 |
CERTIFICATION OF THE PRINCIPAL FINANCIAL OFFICER Sprott Physical Platinum and Palladium Trust 40-F Exhibit 99.2 CERTIFICATION OF THE PRINCIPAL FINANCIAL OFFICER I, Varinder Bhathal, certify that: 1. I have reviewed this annual report on Form 40-F of Sprott Physical Platinum and Palladium Trust (the “Trust”); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary t |
|
| March 25, 2024 |
PRINCIPAL EXECUTIVE OFFICER CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350 Sprott Physical Platinum and Palladium Trust 40-F Exhibit 99.3 PRINCIPAL EXECUTIVE OFFICER CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350 In connection with this annual report of Sprott Physical Platinum and Palladium Trust (the “Trust”) on Form 40-F for the year ended December 31, 2023 as filed with the Securities and Exchange Commission (the “SEC”) on or about the date hereof (the “Report”), I |
|
| March 25, 2024 |
SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST CLAWBACK POLICY Sprott Physical Platinum and Palladium Trust 40-F Exhibit 97 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST CLAWBACK POLICY This Clawback Policy (this “Policy”) shall be applied by the Sprott Physical Platinum and Palladium Trust (the “Trust”) to the Executive Officers effective as of the Effective Date. |
|
| March 25, 2024 |
Sprott Physical Platinum and Palladium Trust 40-F Exhibit 99.5 No securities regulatory authority has expressed an opinion about these securities and it is an offense to claim otherwise. ANNUAL INFORMATION FORM for the fiscal year ended December 31, 2023 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST (the “Trust”) March 25, 2024 TABLE OF CONTENTS CAUTIONARY STATEMENT REGARDING FORWARD-LOOKING STATEM |
|
| March 25, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 40-F UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 40-F ☐ REGISTRATION STATEMENT PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 OR ☑ ANNUAL REPORT PURSUANT TO SECTION 13(a) OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 Commission file number 001-35765 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST (Exact name of R |
|
| March 25, 2024 |
PRINCIPAL FINANCIAL OFFICER CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350 Sprott Physical Platinum and Palladium Trust 40-F Exhibit 99.4 PRINCIPAL FINANCIAL OFFICER CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350 In connection with this annual report of Sprott Physical Platinum and Palladium Trust (the “Trust”) on Form 40-F for the year ended December 31, 2023 as filed with the Securities and Exchange Commission (the “SEC”) on or about the date hereof (the “Report”), I |
|
| March 25, 2024 |
Consent of Independent Registered Public Accounting Firm Sprott Physical Platinum and Palladium Trust 40-F Exhibit 99.7 KPMG LLP Chartered Professional Accountants Bay Adelaide Centre Telephone: (416) 777-8500 333 Bay Street Suite 4600 Fax: (416) 777-8818 Toronto, ON M5H 2S5 Internet: www.kpmg.ca Canada Consent of Independent Registered Public Accounting Firm To Sprott Asset Management LP, Manager of Sprott Physical Platinum and Palladium Trust (the Tru |
|
| November 9, 2023 |
SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST 6-K Exhibit 99.1 Interim Report to Unitholders September 30, 2023 2 Table of Contents Interim Management Report of Fund Performance 3 Interim Financial Statements 7 The interim management report of fund performance is an analysis and explanation that is designed to complement and supplement an investment fund’s interim financial statements. A copy of th |
|
| November 9, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of November 2023 Commission File Number: 001-35765 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST (Translation of registrant’s name into English) Suite 2600, South Tower, Royal Bank Plaza, 200 Bay Stre |
|
| August 16, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of August 2023 Commission File Number: 001-35765 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST (Translation of registrant’s name into English) Suite 2600, South Tower, Royal Bank Plaza, 200 Bay Street |
|
| August 16, 2023 |
Sprott Physical Platinum and Palladium Trust 6-K Exhibit 99.1 Interim Report to Unitholders June 30, 2023 2 Table of Contents Interim Management Report of Fund Performance 3 Interim Financial Statements 7 The interim management report of fund performance is an analysis and explanation that is designed to complement and supplement an investment fund’s interim financial statements. A copy of the int |
|
| May 12, 2023 |
sppp-991 Sprott Physical Platinum and Palladium Trust 6-K Exhibit 99.1 Interim Report to Unitholders March 31, 2023 2 Table of Contents Interim Management Report of Fund Performance 3 Interim Financial Statements 7 The interim management report of fund performance is an analysis and explanation that is designed to complement and supplement an investment fund’s interim financial statements. A copy |
|
| May 12, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of May 2023 Commission File Number: 001-35765 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST (Translation of registrant’s name into English) Suite 2600, South Tower, Royal Bank Plaza, 200 Bay Street, T |
|
| March 21, 2023 |
CERTIFICATION OF THE PRINCIPAL FINANCIAL OFFICER Sprott Physical Platinum and Palladium Trust 40-F Exhibit 99.2 CERTIFICATION OF THE PRINCIPAL FINANCIAL OFFICER I, Varinder Bhathal, certify that: 1. I have reviewed this annual report on Form 40-F of Sprott Physical Platinum and Palladium Trust (the “Trust”); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary t |
|
| March 21, 2023 |
Sprott Physical Platinum and Palladium Trust 40-F Sprott Physical Platinum and Palladium Trust 40-F Exhibit 99.7 MANAGEMENT'S REPORT ON INTERNAL CONTROL OVER FINANCIAL REPORTING Sprott Asset Management LP, the “Manager” of the Sprott Physical Platinum and Palladium Trust (the “Trust”) is responsible for the integrity, consistency, objectivity and reliability of the Financial Statements of the Trust. International Financial Reporting Standards hav |
|
| March 21, 2023 |
Sprott Physical Platinum and Palladium Trust 40-F Exhibit 99.5 No securities regulatory authority has expressed an opinion about these securities and it is an offense to claim otherwise. ANNUAL INFORMATION FORM for the fiscal year ended December 31, 2022 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST (the “Trust”) March 17, 2023 TABLE OF CONTENTS CAUTIONARY STATEMENT REGARDING FORWARD-LOOKING STATEM |
|
| March 21, 2023 |
PRINCIPAL EXECUTIVE OFFICER CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350 Sprott Physical Platinum and Palladium Trust 40-F Exhibit 99.3 PRINCIPAL EXECUTIVE OFFICER CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350 In connection with this annual report of Sprott Physical Platinum and Palladium Trust (the “Trust”) on Form 40-F for the year ended December 31, 2022 as filed with the Securities and Exchange Commission (the “SEC”) on or about the date hereof (the “Report”), I |
|
| March 21, 2023 |
vpsSprott Physical Platinum and Palladium Trust 40-F Exhibit 99.6 Annual Report to Unitholders December 31, 2022 2 Table of Contents Annual Management Report of Fund Performance 3 Annual Financial Statements 8 The annual management report of fund performance is an analysis and explanation that is designed to complement and supplement an investment fund’s annual financial statements. A copy of the |
|
| March 21, 2023 |
PRINCIPAL FINANCIAL OFFICER CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350 Sprott Physical Platinum and Palladium Trust 40-F Exhibit 99.4 PRINCIPAL FINANCIAL OFFICER CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350 In connection with this annual report of Sprott Physical Platinum and Palladium Trust (the “Trust”) on Form 40-F for the year ended December 31, 2022 as filed with the Securities and Exchange Commission (the “SEC”) on or about the date hereof (the “Report”), I |
|
| March 21, 2023 |
CERTIFICATION OF THE PRINCIPAL EXECUTIVE OFFICER Sprott Physical Platinum and Palladium Trust 40-F Exhibit 99.1 CERTIFICATION OF THE PRINCIPAL EXECUTIVE OFFICER I, John Ciampaglia, certify that: 1. I have reviewed this annual report on Form 40-F of Sprott Physical Platinum and Palladium Trust (the “Trust”); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to |
|
| March 21, 2023 |
Consent of Independent Registered Public Accounting Firm Sprott Physical Platinum and Palladium Trust 40-F Exhibit 99.9 Consent of Independent Registered Public Accounting Firm To Sprott Asset Management LP, Manager of Sprott Physical Platinum and Palladium Trust (the Trust) We consent to the use of: · our report of independent registered public accounting firm dated March 21, 2023 on the financial statements of the Trust, which comprise the statements |
|
| March 21, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 40-F UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 40-F ☐ REGISTRATION STATEMENT PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 OR ☑ ANNUAL REPORT PURSUANT TO SECTION 13(a) OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 Commission file number 001-35765 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST (Exact name of R |
|
| November 10, 2022 |
Sprott Physical Platinum and Palladium Trust 6-K ?Exhibit 99.1 Table of Contents Interim Report to Unitholders September 30, 2022 ? Table of Contents 2 Table of Contents Interim Management Report of Fund Performance 3 Interim Financial Statements 7 The interim management report of fund performance is an analysis and explanation that is designed to complement and supplement an investment fund?s int |
|
| November 10, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of November 2022 Commission File Number: 001-35765 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST (Translation of registrant?s name into English) Suite 2600, South Tower, Royal Bank Plaza, 200 Bay Stre |
|
| August 17, 2022 |
Sprott Physical Platinum and Palladium Trust 6-K Exhibit 99.1 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST Amendment No. 1 to the Amended and Restated Sales Agreement August 16, 2022 Cantor Fitzgerald & Co. 499 Park Avenue New York, NY 10022 Virtu Americas LLC One Liberty Plaza 165 Broadway New York, NY 10006 Virtu ITG Canada Corp. 222 Bay Street Suite 2600, P.O. Box 33 Toronto, ON M5K 1B7 Ladies |
|
| August 17, 2022 |
Sprott Physical PLATINUM AND PALLADIUM Trust UPDATES Its “At-The-Market” Equity Program Sprott Physical Platinum and Palladium Trust 6-K Exhibit 99.1 for immediate release NYSE: SPPP tsx: SPPP and SPPP.U Sprott Physical PLATINUM AND PALLADIUM Trust UPDATES Its ?At-The-Market? Equity Program TORONTO, ON ? August 16, 2022 ? Sprott Asset Management LP (?Sprott Asset Management?), a subsidiary of Sprott Inc., on behalf of the Sprott Physical Platinum and Palladium Trust (NYSE: SPPP) (TSX |
|
| August 17, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of August 2022 Commission File Number: 001-35765 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST (Translation of registrant?s name into English) Suite 2600, South Tower, Royal Bank Plaza, 200 Bay Street |
|
| August 17, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of August 2022 Commission File Number: 001-35765 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST (Translation of registrant?s name into English) Suite 2600, South Tower, Royal Bank Plaza, 200 Bay Street |
|
| August 16, 2022 |
Consent of Seward & Kissel LLP. Sprott Physical Platinum and Palladium Trust F-10 Exhibit 5.3 SEWARD & KISSEL LLP 901 K STREET, N.W., SUITE 800 WASHINGTON, D.C. 20001 TELEPHONE: (202) 737-8833 FACSIMILE: (202) 737-5184 WWW.SEWKIS.COM ONE BATTERY PARK PLAZA NEW YORK, NEW YORK 10004 TELEPHONE: (212) 574-1200 FACSIMILE: (212) 480-8421 We hereby consent to the use of our name in the Registration Statement on Form F-10 filed by Sprot |
|
| August 16, 2022 |
As filed with the Securities and Exchange Commission on August 15, 2022 Registration No. |
|
| August 16, 2022 |
U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM F-X APPOINTMENT OF AGENT FOR SERVICE OF PROCESS AND UNDERTAKING A. Name of issuer or person filing (?Filer?): RBC Investor Services Trust on Behalf of Sprott Physical Platinum and Palladium Trust B. (1) This is [check one] ? an original filing for the Filer ? an amended filing for the Filer (2) Check the following box if you are f |
|
| August 16, 2022 |
PROSPECTUS SUPPLEMENT TO THE SHORT FORM BASE SHELF PROSPECTUS DATED AUGUST 15, 2022 Filed pursuant to General Instruction II.L of Form F-10 File No. 333-266898 No securities regulatory authority has expressed an opinion about these securities and it is an offence to claim otherwise. This prospectus supplement, together with the accompanying short form base shelf prospectus dated August 15, 2022 (the ?accompanying prospectus?) to which it relates, as amended or supplemented, and e |
|
| August 16, 2022 |
U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM F-X APPOINTMENT OF AGENT FOR SERVICE OF PROCESS AND UNDERTAKING A. Name of issuer or person filing (?Filer?): Sprott Physical Platinum and Palladium Trust B. (1) This is [check one] ? an original filing for the Filer ? an amended filing for the Filer (2) Check the following box if you are filing the Form F-X in paper in accordance |
|
| August 16, 2022 |
Sprott Physical Platinum and Palladium Trust F-10 Exhibit 107 Calculation of Filing Fee Tables F-10 ?????? (Form Type) Sprott Physical Platinum and Palladium Trust ???????????????????. |
|
| August 12, 2022 |
Sprott Physical Platinum and Palladium Trust 6-K ?Exhibit 99.1 Table of Contents Interim Report to Unitholders June 30, 2022 ? Table of Contents 2 Table of Contents Interim Management Report of Fund Performance 3 Interim Financial Statements 7 The interim management report of fund performance is an analysis and explanation that is designed to complement and supplement an investment fund?s interim |
|
| August 12, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of August 2022 Commission File Number: 001-35765 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST (Translation of registrant?s name into English) Suite 2600, South Tower, Royal Bank Plaza, 200 Bay Street |
|
| May 13, 2022 |
Sprott Physical Platinum and Palladium Trust 6-K Exhibit 99.1 Table of Contents Interim Report to Unitholders March 31, 2022 ? Table of Contents 2 Table of Contents Interim Management Report of Fund Performance 3 Interim Financial Statements 7 The interim management report of fund performance is an analysis and explanation that is designed to complement and supplement an investment fund?s interim |
|
| May 13, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of May 2022 Commission File Number: 001-35765 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST (Translation of registrant?s name into English) Suite 2600, South Tower, Royal Bank Plaza, 200 Bay Street, T |
|
| March 18, 2022 |
Certificate of the Chief Financial Officer under Section 302 of the Sprott Physical Platinum and Palladium Trust 40-F Exhibit 99.2 CERTIFICATION OF THE PRINCIPAL FINANCIAL OFFICER I, Varinder Bhathal, certify that: 1. I have reviewed this annual report on Form 40-F of Sprott Physical Platinum and Palladium Trust (the ?Trust?); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary t |
|
| March 18, 2022 |
Certificate of the Chief Financial Officer under Section 906 of the Sprott Physical Platinum and Palladium Trust 40-F Exhibit 99.4 PRINCIPAL FINANCIAL OFFICER CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350 In connection with this Annual Report of Sprott Physical Platinum and Palladium Trust (the ?Trust?) on Form 40-F for the year ended December 31, 2021 as filed with the Securities and Exchange Commission (the ?SEC?) on or about the date hereof (the ?Report?), I |
|
| March 18, 2022 |
Annual Information Form of the Registrant dated March 18, 2022. Sprott Physical Platinum and Palladium Trust 40-F Exhibit 99.5 ANNUAL INFORMATION FORM for the fiscal year ended December 31, 2021 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST (the ?Trust?) March 18, 2022 TABLE OF CONTENTS CAUTIONARY STATEMENT REGARDING FORWARD-LOOKING STATEMENTS 1 CURRENCY 1 THE TRUST 1 INVESTMENT RESTRICTIONS AND OPERATING RESTRICTIONS 3 OVERVIEW OF THE PLATINUM AND PALLADIUM SE |
|
| March 18, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 40-F UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 40-F ? REGISTRATION STATEMENT PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 OR ? ANNUAL REPORT PURSUANT TO SECTION 13(a) OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 Commission file number 001-35765 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST (Exact name of R |
|
| March 18, 2022 |
Sprott Physical Platinum and Palladium Trust 40-F Exhibit 99.7 MANAGEMENT?S RESPONSIBILITY FOR FINANCIAL INFORMATION Sprott Asset Management LP, the ?Manager? of the Sprott Physical Platinum and Palladium Trust (the ?Trust?) is responsible for the integrity, consistency, objectivity and reliability of the Financial Statements of the Trust. International Financial Reporting Standards have been appl |
|
| March 18, 2022 |
Sprott Physical Platinum and Palladium Trust 40-F Exhibit 99.6 Annual Report to Unitholders December 31, 2021 ? 2 Table of Contents Annual Management Report of Fund Performance 3 Annual Financial Statements 8 The annual management report of fund performance is an analysis and explanation that is designed to complement and supplement an investment fund?s annual financial statements. A copy of the a |
|
| March 18, 2022 |
Attestation Report of KPMG LLP. Sprott Physical Platinum and Palladium Trust 40-F Exhibit 99.8 KPMG LLP Chartered Professional Accountants Bay Adelaide Centre Telephone: (416) 777-8500 333 Bay Street Suite 4600 Fax: (416) 777-8818 Toronto, ON M5H 2S5 Internet: www.kpmg.ca Canada Report of Independent Registered Public Accounting Firm To Sprott Asset Management LP, the Trustee and the Unitholders of Sprott Physical Platinum and P |
|
| March 18, 2022 |
Certificate of the Chief Executive Officer under Section 302 of the Sprott Physical Platinum and Palladium Trust 40-F Exhibit 99.1 CERTIFICATION OF THE PRINCIPAL EXECUTIVE OFFICER I, John Ciampaglia, certify that: 1. I have reviewed this annual report on Form 40-F of Sprott Physical Platinum and Palladium Trust (the ?Trust?); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to |
|
| March 18, 2022 |
Certificate of the Chief Executive Officer under Section 906 of the Sprott Physical Platinum and Palladium Trust 40-F Exhibit 99.3 PRINCIPAL EXECUTIVE OFFICER CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350 In connection with this Annual Report of Sprott Physical Platinum and Palladium Trust (the ?Trust?) on Form 40-F for the year ended December 31, 2021 as filed with the Securities and Exchange Commission (the ?SEC?) on or about the date hereof (the ?Report?), I |
|
| March 18, 2022 |
Consent of KPMG LLP, Independent Registered Public Accounting Firm. Sprott Physical Platinum and Palladium Trust 40-F Exhibit 99.9 KPMG LLP Chartered Professional Accountants Bay Adelaide Centre Telephone: (416) 777-8500 333 Bay Street Suite 4600 Fax: (416) 777-8818 Toronto, ON M5H 2S5 Internet: www.kpmg.ca Canada Consent of Independent Registered Public Accounting Firm To Sprott Asset Management LP, Manager of Sprott Physical Platinum and Palladium Trust We conse |
|
| November 12, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of November 2021 Commission File Number: 001-35765 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST (Translation of registrant?s name into English) Suite 2600, South Tower, Royal Bank Plaza, 200 Bay Stre |
|
| November 12, 2021 |
Sprott Physical Platinum and Palladium Trust 6-K Exhibit 99.1 Table of Contents Interim Report to Unitholders September 30, 2021 ? Table of Contents 2 Table of Contents Interim Management Report of Fund Performance 3 Interim Financial Statements 7 The interim management report of fund performance is an analysis and explanation that is designed to complement and supplement an investment fund?s inte |
|
| August 13, 2021 |
Sprott Physical Platinum and Palladium Trust 6-K Exhibit 99.1 Interim Report to Unitholders June 30, 2021 ? 2 Table of Contents Interim Management Report of Fund Performance 3 Interim Financial Statements 7 The interim management report of fund performance is an analysis and explanation that is designed to complement and supplement an investment fund?s interim financial statements. A copy of the i |
|
| August 13, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of August 2021 Commission File Number: 001-35765 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST (Translation of registrant?s name into English) Suite 2600, South Tower, Royal Bank Plaza, 200 Bay Street |
|
| May 14, 2021 |
Table of Contents Exhibit 99.1 ? ? ? ? ? ? ? ? ? ? Sprott Physical Platinum and Palladium Trust ? ? ? ? ? Interim Report to Unitholders ? March 31, 2021 ? ? ? ? ? ? ? ? ? ? Table of Contents Table of Contents ? ? ? Interim Management Report of Fund Performance 3 ? ? Interim Financial Statements ? 7 ? ? ? ? ? ? The interim management report of fund performance is an analysis and explanation that is |
|
| May 14, 2021 |
? ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ? ? FORM 6-K ? REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 ? For the month of May 2021 ? Commission File Number: 001-35765 ? ? SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST (Translation of registrant?s name into English) ? Suite 2600, South Tower, Royal Bank Pl |
|
| March 23, 2021 |
Certificate of the Chief Executive Officer under Section 906 of the Sarbanes-Oxley Act of 2002. Exhibit 99.3 ? PRINCIPAL EXECUTIVE OFFICER CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350 ? In connection with this Annual Report of Sprott Physical Platinum and Palladium Trust (the ?Trust?) on Form 40-F for the year ended December 31, 2020 as filed with the Securities and Exchange Commission (the ?SEC?) on or about the date hereof (the ?Report?), I, John Ciampaglia, Principal Executive Officer |
|
| March 23, 2021 |
Annual Information Form of the Registrant dated March 22, 2021. Exhibit 99.5 ? ? ? ? ? ? ? ? ANNUAL INFORMATION FORM for the fiscal year ended December 31, 2020 ? SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST (the ?Trust?) ? March 22, 2021 ? ? TABLE OF CONTENTS ? CAUTIONARY STATEMENT REGARDING FORWARD-LOOKING STATEMENTS 1 CURRENCY 1 THE TRUST 1 INVESTMENT RESTRICTIONS AND OPERATING RESTRICTIONS 4 OVERVIEW OF THE PLATINUM AND PALLADIUM SECTORS 6 DESCRIPTION OF U |
|
| March 23, 2021 |
Management’s Report on Internal Control Over Financial Reporting. Exhibit 99.7 ? ? ? MANAGEMENT?S RESPONSIBILITY FOR FINANCIAL INFORMATION ? Sprott Asset Management LP, the ?Manager? of the Sprott Physical Platinum and Palladium Trust (the ?Trust?) is responsible for the integrity, consistency, objectivity and reliability of the Financial Statements of the Trust. International Financial Reporting Standards have been applied and management has exercised its judgm |
|
| March 23, 2021 |
Attestation Report of KPMG LLP. Exhibit 99.8 ? ? ? ? ? KPMG LLP ? ? Chartered Professional Accountants ? ? Bay Adelaide Centre Telephone: (416) 777-8500 333 Bay Street Suite 4600 Fax: (416) 777-8818 Toronto, ON M5H 2S5 Internet: www.kpmg.ca Canada ? ? ? Report of Independent Registered Public Accounting Firm To Sprott Asset Management LP, the Trustee and the Unitholders of Sprott Physical Platinum and Palladium Trust Opinion on |
|
| March 23, 2021 |
Certificate of the Chief Financial Officer under Section 906 of the Sarbanes-Oxley Act of 2002. Exhibit 99.4 ? PRINCIPAL FINANCIAL OFFICER CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350 ? In connection with this Annual Report of Sprott Physical Platinum and Palladium Trust (the ?Trust?) on Form 40-F for the year ended December 31, 2020 as filed with the Securities and Exchange Commission (the ?SEC?) on or about the date hereof (the ?Report?), I, Varinder Bhathal, Principal Financial Office |
|
| March 23, 2021 |
Certificate of the Chief Financial Officer under Section 302 of the Sarbanes-Oxley Act of 2002. Exhibit 99.2 ? CERTIFICATION OF THE PRINCIPAL FINANCIAL OFFICER ? I, Varinder Bhathal, certify that: ? 1. I have reviewed this annual report on Form 40-F of Sprott Physical Platinum and Palladium Trust (the ?Trust?); ? 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of th |
|
| March 23, 2021 |
Exhibit 99.6 ? ? ? ? ? ? ? ? ? ? ? ? Sprott Physical Platinum and Palladium Trust ? ? ? ? ? ? ? ? Annual Report ? December 31, 2020 ? ? ? ? ? ? ? b ? ? ? ? ? ? ? Table of Contents ? ? ? ? Annual Management Report of Fund Performance 3 ? ? Annual Financial Statements 8 ? The management report of fund performance is an analysis and explanation that is designed to complement and supplement an investm |
|
| March 23, 2021 |
? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ? FORM 40-F ? ? REGISTRATION STATEMENT PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 ? OR ? ? ANNUAL REPORT PURSUANT TO SECTION 13(a) OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 ? For the fiscal year ended December 31, 2020 ? Commission file number 001-35765 ? SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUS |
|
| March 23, 2021 |
Certificate of the Chief Executive Officer under Section 302 of the Sarbanes-Oxley Act of 2002. Exhibit 99.1 ? CERTIFICATION OF THE PRINCIPAL EXECUTIVE OFFICER ? I, John Ciampaglia, certify that: ? 1. I have reviewed this annual report on Form 40-F of Sprott Physical Platinum and Palladium Trust (the ?Trust?); ? 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the |
|
| March 23, 2021 |
Consent of KPMG LLP, Independent Registered Public Accounting Firm. Exhibit 99.9 ? Consent of Independent Registered Public Accounting Firm ? To Sprott Asset Management LP, Manager of Sprott Physical Platinum and Palladium Trust ? We consent to the use of our reports, each dated March 22, 2021, with respect to the financial statements and the effectiveness of internal control over financial reporting included in this annual report on Form 40-F. ? We also consent t |
|
| February 5, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Sprott Physical Platinum and Palladium Trust (Name of Issuer) Units (Title of Class of Securities) 85207Q104 (CUSIP Number) December 31, 2020 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant |
|
| November 13, 2020 |
Table of Contents Exhibit 99.1 Sprott Physical Platinum and Palladium Trust Interim Report to Unitholders September 30, 2020 Table of Contents Table of Contents Management Report of Fund Performance 3 Financial Statements 7 The management report of fund performance is an analysis and explanation that is designed to complement and supplement an investment fund’s financial statements. This report co |
|
| November 13, 2020 |
Current Report of Foreign Issuer - 6-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of November 2020 Commission File Number: 001-35765 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST (Translation of registrant’s name into English) Suite 2600, South Tower, Royal Bank Plaza, 200 Bay Stre |
|
| October 22, 2020 |
SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST Trust Units Amended and Restated Sales Agreement Exhibit 99.2 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST Trust Units Amended and Restated Sales Agreement October 21, 2020 Cantor Fitzgerald & Co. 499 Park Avenue New York, NY 10022 Virtu Americas LLC One Liberty Plaza 165 Broadway New York, NY 10006 Virtu ITG Canada Corp. 222 Bay Street Suite 2600, P.O. Box 33 Toronto, ON M5K 1B7 Ladies and Gentlemen: Reference is made to the Controlled Equity O |
|
| October 22, 2020 |
Use these links to rapidly review the document TABLE OF CONTENTS TABLE OF CONTENTS Table of Contents Filed pursuant to General Instruction II. |
|
| October 22, 2020 |
Form 6-K filed with the SEC on October 22, 2020 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of October 2020 Commission File Number: 001-35765 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST (Translation of registrant?s name into English) Suite 2600, South Tower, Royal Bank Plaza, 200 Bay Stree |
|
| October 22, 2020 |
Exhibit 99.1 FOR IMMEDIATE RELEASE NYSE: SPPP TSX: SPPP and SPPP.U SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST EXPANDS ITS “AT-THE-MARKET” EQUITY PROGRAM TORONTO ON, October 21, 2020 – Sprott Asset Management LP (“Sprott”), on behalf of the Sprott Physical Platinum and Palladium Trust (NYSE: SPPP) (TSX: SPPP / SPPP.U) (the “Trust”), a closed-ended mutual fund trust created to invest and hold subs |
|
| August 14, 2020 |
Current Report of Foreign Issuer - 6-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of August 2020 Commission File Number: 001-35765 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST (Translation of registrant’s name into English) Suite 2600, South Tower, Royal Bank Plaza, 200 Bay Street |
|
| August 14, 2020 |
Sprott Physical Platinum and Palladium Trust Unaudited interim financial statements June 30, 2020 Table of Contents Exhibit 99.1 Sprott Physical Platinum and Palladium Trust Interim Report to Unitholders June 30, 2020 Table of Contents Table of Contents Management Report of Fund Performance 3 Financial Statements 7 The management report of fund performance is an analysis and explanation that is designed to complement and supplement an investment fund’s financial statements. This report contain |
|
| July 22, 2020 |
Use these links to rapidly review the document TABLE OF CONTENTS TABLE OF CONTENTS Table of Contents Filed pursuant to General Instruction II. |
|
| July 17, 2020 |
Use these links to rapidly review the document TABLE OF CONTENTS As filed with the Securities and Exchange Commission on July 16, 2020 Registration No. |
|
| July 17, 2020 |
Consent of Seward & Kissel LLP. QuickLinks - Click here to rapidly navigate through this document Exhibit 5.3 SEWARD & KISSEL LLP 901 K STREET, N.W., SUITE 800 WASHINGTON, D.C. 20001 TELEPHONE: (202) 737-8833 FACSIMILE: (202) 737-5184 WWW.SEWKIS.COM ONE BATTERY PARK PLAZA NEW YORK, NEW YORK 10004 TELEPHONE: (212) 574-1200 FACSIMILE: (212) 480-8421 We hereby consent to the use of our name in the Registration Statement on Form F-1 |
|
| July 17, 2020 |
U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM F-X APPOINTMENT OF AGENT FOR SERVICE OF PROCESS AND UNDERTAKING A. Name of issuer or person filing (“Filer”): Sprott Physical Platinum and Palladium Trust B. (1) This is [check one] x an original filing for the Filer ¨ an amended filing for the Filer (2) Check the following box if you are filing the Form F-X in paper in accordance |
|
| July 17, 2020 |
U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM F-X APPOINTMENT OF AGENT FOR SERVICE OF PROCESS AND UNDERTAKING A. Name of issuer or person filing (“Filer”): RBC Investor Services Trust on Behalf of Sprott Physical Platinum and Palladium Trust B. (1) This is [check one] x an original filing for the Filer ¨ an amended filing for the Filer (2) Check the following box if you are f |
|
| May 15, 2020 |
Sprott Physical Platinum and Palladium Trust Unaudited interim financial statements March 31, 2020 Table of Contents Exhibit 99.1 Sprott Physical Platinum and Palladium Trust Interim Report to Unitholders March 31, 2020 Table of Contents Table of Contents Management Report of Fund Performance 3 Financial Statements 7 The management report of fund performance is an analysis and explanation that is designed to complement and supplement an investment fund’s financial statements. This report contai |
|
| May 15, 2020 |
Current Report of Foreign Issuer - 6-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of May 2020 Commission File Number: 001-35765 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST (Translation of registrant?s name into English) Suite 2600, South Tower, Royal Bank Plaza, 200 Bay Street, T |
|
| March 31, 2020 |
Certificate of the Chief Financial Officer under Section 906 of the Sarbanes-Oxley Act of 2002. EX-99.4 5 sppp-20191231ex9946c319f.htm EX-99.4 Exhibit 99.4 PRINCIPAL FINANCIAL OFFICER CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350 In connection with this Annual Report of Sprott Physical Platinum and Palladium Trust (the “Trust”) on Form 40-F for the year ended December 31, 2019 as filed with the Securities and Exchange Commission (the “SEC”) on or about the date hereof (the “Report”), I, V |
|
| March 31, 2020 |
EX-99.6 7 sppp-20191231ex996df4b6a.htm EX-99.6 Table of Contents Exhibit 99.6 Sprott Physical Platinum and Palladium Trust Report to Unitholders December 31, 2019 Table of Contents Table of Contents Management Report of Fund Performance 3 Financial Statements 7 The management report of fund performance is an analysis and explanation that is designed to complement and supplement an investment fund’ |
|
| March 31, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 40-F UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 40-F ?REGISTRATION STATEMENT PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 OR ?ANNUAL REPORT PURSUANT TO SECTION 13(a) OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2019 Commission file number 001-35765 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST (Exact name of Reg |
|
| March 31, 2020 |
Consent of KPMG LLP, Independent Registered Public Accounting Firm. Exhibit 99.9 Consent of Independent Registered Public Accounting Firm To Sprott Asset Management LP, Manager of Sprott Physical Platinum and Palladium Trust We consent to the use of our reports, each dated March 30, 2020, with respect to the financial statements and the effectiveness of internal control over financial reporting incorporated by reference in this annual report on Form 40-F. We also |
|
| March 31, 2020 |
Annual Information Form of the Registrant dated March 30, 2020. Exhibit 99.5 ANNUAL INFORMATION FORM for the fiscal year ended December 31, 2019 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST (the ?Trust?) March 30, 2020 TABLE OF CONTENTS CAUTIONARY STATEMENT REGARDING FORWARD-LOOKING STATEMENTS 1 CURRENCY 1 THE TRUST 1 INVESTMENT RESTRICTIONS AND OPERATING RESTRICTIONS 4 OVERVIEW OF THE PLATINUM AND PALLADIUM SECTORS 7 DESCRIPTION OF UNITS 17 CALCULATION OF NET |
|
| March 31, 2020 |
Certificate of the Chief Financial Officer under Section 302 of the Sarbanes-Oxley Act of 2002. EX-99.2 3 sppp-20191231ex992d67ee8.htm EX-99.2 Exhibit 99.2 CERTIFICATION OF THE PRINCIPAL FINANCIAL OFFICER I, Varinder Bhathal, certify that: 1. I have reviewed this annual report on Form 40-F of Sprott Physical Platinum and Palladium Trust (the “Trust”); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to m |
|
| March 31, 2020 |
Certificate of the Chief Executive Officer under Section 906 of the Sarbanes-Oxley Act of 2002. EX-99.3 4 sppp-20191231ex9930ec3b9.htm EX-99.3 Exhibit 99.3 PRINCIPAL EXECUTIVE OFFICER CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350 In connection with this Annual Report of Sprott Physical Platinum and Palladium Trust (the “Trust”) on Form 40-F for the year ended December 31, 2019 as filed with the Securities and Exchange Commission (the “SEC”) on or about the date hereof (the “Report”), I, J |
|
| March 31, 2020 |
Attestation Report of KPMG LLP. Page1 Exhibit 99.8 Report of Independent Registered Public Accounting Firm To Sprott Asset Management LP, the Trustee and the Unitholders of Sprott Physical Platinum and Palladium Trust Opinion on Internal Control Over Financial Reporting We have audited Sprott Physical Platinum and Palladium Trust?s (the Trust) internal control over financial reporting as of December 31, 2019, based on criteria e |
|
| March 31, 2020 |
Management’s Report on Internal Control Over Financial Reporting. Exhibit 99.7 MANAGEMENT?S RESPONSIBILITY FOR FINANCIAL INFORMATION Sprott Asset Management LP, the ?Manager? of the Sprott Physical Platinum and Palladium Trust (the ?Trust?) is responsible for the integrity, consistency, objectivity and reliability of the Financial Statements of the Trust. International Financial Reporting Standards have been applied and management has exercised its judgment and |
|
| March 31, 2020 |
Certificate of the Chief Executive Officer under Section 302 of the Sarbanes-Oxley Act of 2002. EX-99.1 2 sppp-20191231ex991dd9853.htm EX-99.1 Exhibit 99.1 CERTIFICATION OF THE PRINCIPAL EXECUTIVE OFFICER I, John Ciampaglia, certify that: 1. I have reviewed this annual report on Form 40-F of Sprott Physical Platinum and Palladium Trust (the “Trust”); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to ma |
|
| March 4, 2020 |
SPPP / Sprott Physical Platinum and Palladium / BOOTHBAY FUND MANAGEMENT, LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. N/A)* Sprott Physical Platinum and Palladium Trust (Name of Issuer) Units (Title of Class of Securities) 85207Q104 (CUSIP Number) March 3, 2020 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant t |
|
| February 13, 2020 |
SPPP / Sprott Physical Platinum and Palladium / Weiss Asset Management LP Passive Investment =============================================================================== UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
|
| January 29, 2020 |
Exhibit 99.1 SPROTT PHYSICAL PLATINUM & PALLADIUM TRUST Amendment No. 1 to Controlled Equity OfferingSM Sales Agreement January 29, 2020 Cantor Fitzgerald & Co. 499 Park Avenue New York, NY 10022 Virtu Americas LLC One Liberty Plaza 165 Broadway New York, NY 10006 Ladies and Gentlemen: Reference is made to the Controlled Equity OfferingSM Sales Agreement, dated June 24, 2016, including the Schedul |
|
| January 29, 2020 |
Use these links to rapidly review the document TABLE OF CONTENTS TABLE OF CONTENTS Table of Contents Filed pursuant to General Instruction II. |
|
| January 29, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of January 2020 Commission File Number: 001-35765 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST (Translation of registrant?s name into English) Suite 2600, South Tower, Royal Bank Plaza, 200 Bay Stree |
|
| November 14, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of November 2019 Commission File Number: 001-35765 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST (Translation of registrant?s name into English) Suite 2600, South Tower, Royal Bank Plaza, 200 Bay Stre |
|
| November 14, 2019 |
Table of Contents Exhibit 99.1 Sprott Physical Platinum and Palladium Trust Interim Report to Unitholders September 30, 2019 Table of Contents Table of Contents Management Report of Fund Performance 3 Financial Statements 7 The management report of fund performance is an analysis and explanation that is designed to complement and supplement an investment fund?s financial statements. This report co |
|
| August 14, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of August 2019 Commission File Number: 001-35765 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST (Translation of registrant?s name into English) Suite 2600, South Tower, Royal Bank Plaza, 200 Bay Street |
|
| August 14, 2019 |
Sprott Physical Platinum and Palladium Trust Unaudited interim financial statements June 30, 2019 Table of Contents Exhibit 99.1 Sprott Physical Platinum and Palladium Trust Interim Report to Unitholders June 30, 2019 Table of Contents Table of Contents Management Report of Fund Performance 3 Financial Statements 7 The management report of fund performance is an analysis and explanation that is designed to complement and supplement an investment fund?s financial statements. This report contain |
|
| May 15, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of May 2019 Commission File Number: 001-35765 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST (Translation of registrant?s name into English) Suite 2600, South Tower, Royal Bank Plaza, 200 Bay Street, T |
|
| May 15, 2019 |
Sprott Physical Platinum and Palladium Trust Unaudited interim financial statements March 31, 2019 Table of ContentsTable of Contents Exhibit 99.1 Sprott Physical Platinum and Palladium Trust Interim Report to Unitholders March 31, 2019 Table of Contents Table of Contents Management Report of Fund Performance 3 Financial Statements 7 The management report of fund performance is an analysis and explanation that is designed to complement and supplement an investment fund?s financial statements. T |
|
| May 9, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13A-16 OR 15D-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of May 2019 Commission File Number: 001-35765 SPROTT PHYSICAL PLATINUM & PALLADIUM TRUST (Translation of registrant?s name into English) Royal Bank Plaza, South Tower, 200 Bay Street, Suite 2600, Tor |
|
| May 3, 2019 |
SPPP / Sprott Physical Platinum and Palladium / Weiss Asset Management LP Passive Investment =============================================================================== UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
|
| March 29, 2019 |
Table of Contents Exhibit 99.6 Sprott Physical Platinum and Palladium Trust Report to Unitholders December 31, 2018 Table of Contents Table of Contents Management Report of Fund Performance 3 Financial Statements 7 The management report of fund performance is an analysis and explanation that is designed to complement and supplement an investment fund?s financial statements. This report contains fi |
|
| March 29, 2019 |
Certificate of the Chief Executive Officer under Section 906 of the Sarbanes-Oxley Act of 2002. Exhibit 99.3 PRINCIPAL EXECUTIVE OFFICER CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350 In connection with this Annual Report of Sprott Physical Platinum and Palladium Trust (the ?Trust?) on Form 40-F for the year ended December 31, 2018 as filed with the Securities and Exchange Commission (the ?SEC?) on or about the date hereof (the ?Report?), I, John Ciampaglia, Principal Executive Officer of |
|
| March 29, 2019 |
Certificate of the Chief Executive Officer under Section 302 of the Sarbanes-Oxley Act of 2002. Exhibit 99.1 CERTIFICATION OF THE PRINCIPAL EXECUTIVE OFFICER I, John Ciampaglia, certify that: 1. I have reviewed this annual report on Form 40-F of Sprott Physical Platinum and Palladium Trust (the ?Trust?); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circums |
|
| March 29, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 40-F UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 40-F ?REGISTRATION STATEMENT PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 OR ?ANNUAL REPORT PURSUANT TO SECTION 13(a) OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2018 Commission file number 001-35765 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST (Exact name of Reg |
|
| March 29, 2019 |
Attestation Report of KPMG LLP. Exhibit 99.8 KPMG LLP Chartered Professional Accountants Bay Adelaide Centre Telephone: (416) 777-8500 333 Bay Street Suite 4600 Fax: (416) 777-8818 Toronto, ON M5H 2S5 Internet: www.kpmg.ca Canada Report of Independent Registered Public Accounting Firm To Sprott Asset Management LP, the Trustee and the Unitholders of Sprott Physical Platinum and Palladium Trust Opinion on Internal Control Over Fi |
|
| March 29, 2019 |
Certificate of the Chief Financial Officer under Section 302 of the Sarbanes-Oxley Act of 2002. Exhibit 99.2 CERTIFICATION OF THE PRINCIPAL FINANCIAL OFFICER I, Varinder Bhathal, certify that: 1. I have reviewed this annual report on Form 40-F of Sprott Physical Platinum and Palladium Trust (the ?Trust?); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circum |
|
| March 29, 2019 |
Management’s Report on Internal Control Over Financial Reporting. Exhibit 99.7 MANAGEMENT?S RESPONSIBILITY FOR FINANCIAL INFORMATION Sprott Asset Management LP, the ?Manager? of the Sprott Physical Platinum and Palladium Trust (the ?Trust?) is responsible for the integrity, consistency, objectivity and reliability of the Financial Statements of the Trust. International Financial Reporting Standards have been applied and management has exercised its judgment and |
|
| March 29, 2019 |
Certificate of the Chief Financial Officer under Section 906 of the Sarbanes-Oxley Act of 2002. Exhibit 99.4 PRINCIPAL FINANCIAL OFFICER CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350 In connection with this Annual Report of Sprott Physical Platinum and Palladium Trust (the ?Trust?) on Form 40-F for the year ended December 31, 2018 as filed with the Securities and Exchange Commission (the ?SEC?) on or about the date hereof (the ?Report?), I, Varinder Bhathal, Principal Financial Officer of |
|
| March 29, 2019 |
Annual Information Form of the Registrant dated March 29, 2019. Exhibit 99.5 ANNUAL INFORMATION FORM for the fiscal year ended December 31, 2018 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST (the ?Trust?) March 29, 2019 TABLE OF CONTENTS CAUTIONARY STATEMENT REGARDING FORWARD-LOOKING STATEMENTS 2 CURRENCY 2 THE TRUST 2 INVESTMENT RESTRICTIONS AND OPERATING RESTRICTIONS 5 OVERVIEW OF THE PLATINUM AND PALLADIUM SECTORS 7 DESCRIPTION OF UNITS 18 CALCULATION OF NET |
|
| March 29, 2019 |
Consent of KPMG LLP, Independent Registered Public Accounting Firm. Exhibit 99.9 Consent of Independent Registered Public Accounting Firm To Sprott Asset Management LP, Manager of Sprott Physical Platinum and Palladium Trust We consent to the use of our reports, each dated March 29, 2019, with respect to the financial statements and the effectiveness of internal control over financial reporting incorporated by reference in this annual report on Form 40-F. We also |
|
| February 14, 2019 |
SPPP / Sprott Physical Platinum and Palladium / Weiss Asset Management LP Passive Investment =============================================================================== UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
|
| November 14, 2018 |
EX-99.1 2 ex-99d1.htm EX-99.1 Table of ContentsTable of Contents Exhibit 99.1 Sprott Physical Platinum and Palladium Trust Interim Report to Unitholders September 30, 2018 Table of Contents Table of Contents Management Report of Fund Performance 3 Financial Statements 7 The management report of fund performance is an analysis and explanation that is designed to complement and supplement an investm |
|
| November 14, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of November 2018 Commission File Number: 001-35765 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST (Translation of registrant?s name into English) Suite 2600, South Tower, Royal Bank Plaza, 200 Bay Stre |
|
| August 15, 2018 |
Sprott Physical Platinum and Palladium Trust Unaudited interim financial statements June 30, 2018 EX-99.1 2 ex-99d1.htm EX-99.1 Table of ContentsTable of Contents Exhibit 99.1 Sprott Physical Platinum and Palladium Trust Interim Report to Unitholders JUNE 30, 2018 Table of Contents Table of Contents Management Report of Fund Performance 3 Financial Statements 7 The management report of fund performance is an analysis and explanation that is designed to complement and supplement an investment f |
|
| August 15, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of August 2018 Commission File Number: 001-35765 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST (Translation of registrant?s name into English) Suite 2600, South Tower, Royal Bank Plaza, 200 Bay Street |
|
| July 31, 2018 |
[Remainder of page left intentionally blank.] EX-99.1 2 d7946392ex99-1.htm Exhibit 99.1 PRECIOUS METAL STORAGE AND CUSTODY AGREEMENT entered into on this 4th day of June, 2018. B E T W E E N: ROYAL CANADIAN MINT, a Crown corporation established by the Royal Canadian Mint Act (Canada), with its head office at 320 Sussex Drive, Ottawa, Ontario K1A 0G8 (hereinafter referred to as the "Mint") A N D: SPROTT ASSET MANAGEMENT LP, a limited partnersh |
|
| July 31, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of July 2018 Commission File Number: 001-35765 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST (Translation of registrant's name into English) Royal Bank Plaza, South Tower 200 Bay Street, Suite 2600 To |
|
| July 31, 2018 |
[Remainder of page left intentionally blank.] Exhibit 99.2 PRECIOUS METAL STORAGE AND CUSTODY AGREEMENT entered into on this4th day of June, 2018. B E T W E E N: ROYAL CANADIAN MINT, a Crown corporation established by the Royal Canadian Mint Act (Canada), with its head office at 320 Sussex Drive, Ottawa, Ontario K1A 0G8 (hereinafter referred to as the "Mint") A N D: SPROTT ASSET MANAGEMENT LP, a limited partnership formed and organized under |
|
| June 28, 2018 |
PROSPECTUS SUPPLEMENT TO THE SHORT FORM BASE SHELF PROSPECTUS DATED JUNE 20, 2018 Use these links to rapidly review the document TABLE OF CONTENTS TABLE OF CONTENTS Table of Contents Filed pursuant to General Instruction II. |
|
| June 20, 2018 |
As filed with the Securities and Exchange Commission on June 20, 2018 Use these links to rapidly review the document TABLE OF CONTENTS As filed with the Securities and Exchange Commission on June 20, 2018 Registration No. |
|
| June 20, 2018 |
U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM F-X APPOINTMENT OF AGENT FOR SERVICE OF PROCESS AND UNDERTAKING A. Name of issuer or person filing (?Filer?): RBC Investor Services Trust on Behalf of Sprott Physical Platinum and Palladium Trust B. (1) This is [check one] x an original filing for the Filer o an amended filing for the Filer (2) Check the following box if you are f |
|
| June 20, 2018 |
Consent of Seward & Kissel LLP. QuickLinks - Click here to rapidly navigate through this document Exhibit 5.3 SEWARD & KISSEL LLP 901 K STREET, N.W., SUITE 800 WASHINGTON, D.C. 20001 TELEPHONE: (202) 737-8833 FACSIMILE: (202) 737-5184 WWW.SEWKIS.COM ONE BATTERY PARK PLAZA NEW YORK, NEW YORK 10004 TELEPHONE: (212) 574-1200 FACSIMILE: (212) 480-8421 We hereby consent to the use of our name in the Registration Statement on Form F-1 |
|
| June 20, 2018 |
U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM F-X APPOINTMENT OF AGENT FOR SERVICE OF PROCESS AND UNDERTAKING A. Name of issuer or person filing (?Filer?): Sprott Physical Platinum and Palladium Trust B. (1) This is [check one] x an original filing for the Filer o an amended filing for the Filer (2) Check the following box if you are filing the Form F-X in paper in accordance |
|
| May 11, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of May 2018 Commission File Number: 001-35765 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST (Translation of registrant?s name into English) Suite 2600, South Tower, Royal Bank Plaza, 200 Bay Street, T |
|
| May 11, 2018 |
Sprott Physical Platinum and Palladium Trust Unaudited interim financial statements March 31, 2018 EX-99.1 2 ex-99d1.htm EX-99.1 Table of ContentsTable of Contents Exhibit 99.1 Sprott Physical Platinum and Palladium Trust Interim Report to Unitholders MARCH 31, 2018 Table of Contents Table of Contents Management Report of Fund Performance 3 Financial Statements 7 The management report of fund performance is an analysis and explanation that is designed to complement and supplement an investment |
|
| March 29, 2018 |
Consent of KPMG LLP, independent auditors of the Registrant. Exhibit 99.9 Consent of Independent Registered Public Accounting Firm To Sprott Asset Management LP, Manager of Sprott Physical Platinum and Palladium Trust We consent to the incorporation by reference of our reports, each dated March 28, 2018, with respect to the financial statements and the effectiveness of internal control over financial reporting included in this annual report on Form 40-F. We |
|
| March 29, 2018 |
Management’s Report on Internal Control Over Financial Reporting. Exhibit 99.7 MANAGEMENT?S RESPONSIBILITY FOR FINANCIAL INFORMATION Sprott Asset Management LP, the ?Manager? of the Sprott Physical Platinum and Palladium Trust (the ?Trust?) is responsible for the integrity, consistency, objectivity and reliability of the Financial Statements of the Trust. International Financial Reporting Standards have been applied and management has exercised its judgment and |
|
| March 29, 2018 |
U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 40-F U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 40-F ?REGISTRATION STATEMENT PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 OR ?ANNUAL REPORT PURSUANT TO SECTION 13(a) OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2017 Commission file number 001-35765 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST (Exact name of Registrant a |
|
| March 29, 2018 |
Table of Contents Exhibit 99.6 Sprott Physical Platinum and Palladium Trust Report to Unitholders DECEMBER 31, 2017 Table of Contents Table of Contents Management Report of Fund Performance 3 Financial Statements 7 The management report of fund performance is an analysis and explanation that is designed to complement and supplement an investment fund?s financial statements. This report contains fi |
|
| March 29, 2018 |
Attestation Report of KPMG LLP. Exhibit 99.8 kpmg LLP Chartered Professional Accountants Bay Adelaide Centre Telephone: (416) 777-8500 333 Bay Street Suite 4600 Fax: (416) 777-8818 Toronto, ON M5H 2S5 Internet: www.kpmg.ca Canada REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To Sprott Asset Management LP, the Trustee and the Unitholders of Sprott Physical Platinum and Palladium Trust Opinion on Internal Control Over Fi |
|
| March 29, 2018 |
Certificate of the Chief Executive Officer under Section 906 of the Sarbanes-Oxley Act of 2002. Exhibit 99.3 PRINCIPAL EXECUTIVE OFFICER CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350 In connection with this Annual Report of Sprott Physical Platinum and Palladium Trust (the ?Trust?) on Form 40-F for the year ended December 31, 2017 as filed with the Securities and Exchange Commission (the ?SEC?) on or about the date hereof (the ?Report?), I, John Ciampaglia, Principal Executive Officer of |
|
| March 29, 2018 |
Certificate of the Chief Executive Officer under Section 302 of the Sarbanes-Oxley Act of 2002. Exhibit 99.1 CERTIFICATION OF THE PRINCIPAL EXECUTIVE OFFICER I, John Ciampaglia, certify that: 1. I have reviewed this annual report on Form 40-F of Sprott Physical Platinum and Palladium Trust (the ?Trust?); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circums |
|
| March 29, 2018 |
Annual Information Form of the Registrant dated March 28, 2018. Exhibit 99.5 ANNUAL INFORMATION FORM for the fiscal year ended December 31, 2017 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST (the ?Trust?) March 28, 2018 TABLE OF CONTENTS CAUTIONARY STATEMENT REGARDING FORWARD-LOOKING STATEMENTS 1 CURRENCY 1 THE TRUST 1 INVESTMENT RESTRICTIONS AND OPERATING RESTRICTIONS 4 OVERVIEW OF THE PLATINUM AND PALLADIUM SECTORS 6 DESCRIPTION OF UNITS 16 CALCULATION OF NET |
|
| March 29, 2018 |
Certificate of the Chief Financial Officer under Section 906 of the Sarbanes-Oxley Act of 2002. Exhibit 99.4 PRINCIPAL FINANCIAL OFFICER CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350 In connection with this Annual Report of Sprott Physical Platinum and Palladium Trust (the ?Trust?) on Form 40-F for the year ended December 31, 2017 as filed with the Securities and Exchange Commission (the ?SEC?) on or about the date hereof (the ?Report?), I, Kevin Hibbert, Principal Financial Officer of Sp |
|
| March 29, 2018 |
Certificate of the Chief Financial Officer under Section 302 of the Sarbanes-Oxley Act of 2002. Exhibit 99.2 CERTIFICATION OF THE PRINCIPAL FINANCIAL OFFICER I, Kevin Hibbert, certify that: 1. I have reviewed this annual report on Form 40-F of Sprott Physical Platinum and Palladium Trust (the ?Trust?); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumsta |
|
| November 14, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of November 2017 Commission File Number: 001-35765 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST (Translation of registrant?s name into English) Suite 2600, South Tower, Royal Bank Plaza, 200 Bay Stre |
|
| November 14, 2017 |
Table of ContentsTable of Contents Exhibit 99.1 Sprott Physical Platinum and Palladium Trust Interim Report to Unitholders SEPTEMBER 30, 2017 Table of Contents Table of Contents Management Report of Fund Performance 3 Financial Statements 7 The management report of fund performance is an analysis and explanation that is designed to complement and supplement an investment fund?s financial statement |
|
| October 12, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of October 2017 Commission File Number: 001-35765 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST (Translation of registrant's name into English) Suite 2600, South Tower, Royal Bank Plaza, 200 Bay Stree |
|
| August 14, 2017 |
Sprott Physical Platinum and Palladium Trust Unaudited interim financial statements June 30, 2017 Table of ContentsTable of Contents Exhibit 99.1 Sprott Physical Platinum and Palladium Trust Interim Report to Unitholders JUNE 30, 2017 Table of Contents Table of Contents Management Report of Fund Performance 3 Financial Statements 7 The management report of fund performance is an analysis and explanation that is designed to complement and supplement an investment fund?s financial statements. Th |
|
| August 14, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of August 2017 Commission File Number: 001-35765 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST (Translation of registrant?s name into English) Suite 2600, South Tower, Royal Bank Plaza, 200 Bay Street |
|
| May 15, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of May 2017 Commission File Number: 001-35765 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST (Translation of registrant?s name into English) Suite 2700, South Tower, Royal Bank Plaza, 200 Bay Street, T |
|
| May 15, 2017 |
Sprott Physical Platinum and Palladium Trust Unaudited interim financial statements March 31, 2017 Table of ContentsTable of Contents Exhibit 99.1 Sprott Physical Platinum and Palladium Trust Interim Report to Unitholders MARCH 31, 2017 Table of Contents Table of Contents Management Report of Fund Performance 3 Financial Statements 7 The management report of fund performance is an analysis and explanation that is designed to complement and supplement an investment fund?s financial statements. T |
|
| March 24, 2017 |
EX-99.6 7 a17-77583ex99d6.htm EX-99.6 Exhibit 99.6 Sprott Physical Platinum and Palladium Trust Report to Unitholders DECEMBER 31, 2016 Table of Contents Management Report of Fund Performance 3 Financial Statements 7 The management report of fund performance is an analysis and explanation that is designed to complement and supplement an investment fund’s financial statements. This report contains |
|
| March 24, 2017 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Exhibit 99.10 CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the reference to our firm under the caption ?Principal Accounting Fees and Services? and to the use in this Annual Report on Form 40-F filed with the United States Securities and Exchange Commission of our report dated March 30, 2016, with respect to the statement of financial position of Sprott Physical Platinum |
|
| March 24, 2017 |
MANAGEMENT’S RESPONSIBILITY FOR FINANCIAL INFORMATION Exhibit 99.7 MANAGEMENT?S RESPONSIBILITY FOR FINANCIAL INFORMATION Sprott Asset Management LP, the ?Manager? of the Sprott Physical Platinum and Palladium Trust (the ?Trust?) is responsible for the integrity, consistency, objectivity and reliability of the Financial Statements of the Trust. International Financial Reporting Standards have been applied and management has exercised its judgment and |
|
| March 24, 2017 |
EX-99.5 6 a17-77583ex99d5.htm EX-99.5 Exhibit 99.5 ANNUAL INFORMATION FORM for the fiscal year ended December 31, 2016 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST (the “Trust”) March 23, 2017 TABLE OF CONTENTS CAUTIONARY STATEMENT REGARDING FORWARD-LOOKING STATEMENTS 1 CURRENCY 1 THE TRUST 1 INVESTMENT RESTRICTIONS AND OPERATING RESTRICTIONS 3 OVERVIEW OF THE PLATINUM AND PALLADIUM SECTORS 5 DESC |
|
| March 24, 2017 |
PRINCIPAL EXECUTIVE OFFICER CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350 Exhibit 99.3 PRINCIPAL EXECUTIVE OFFICER CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350 In connection with this Annual Report of Sprott Physical Platinum and Palladium Trust (the ?Trust?) on Form 40-F for the year ended December 31, 2016 as filed with the Securities and Exchange Commission (the ?SEC?) on or about the date hereof (the ?Report?), I, John Wilson, Principal Executive Officer of Spro |
|
| March 24, 2017 |
CERTIFICATION OF THE PRINCIPAL FINANCIAL OFFICER EX-99.2 3 a17-77583ex99d2.htm EX-99.2 Exhibit 99.2 CERTIFICATION OF THE PRINCIPAL FINANCIAL OFFICER I, Kevin Hibbert, certify that: 1. I have reviewed this annual report on Form 40-F of Sprott Physical Platinum and Palladium Trust (the “Trust”); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the stat |
|
| March 24, 2017 |
U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 40-F U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 40-F o REGISTRATION STATEMENT PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 OR x ANNUAL REPORT PURSUANT TO SECTION 13(a) OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2016 Commission file number 001-35765 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST (Exact name of Registrant |
|
| March 24, 2017 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Exhibit 99.8 REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To Sprott Asset Management LP, the Trustee and the Unitholders of Sprott Physical Platinum and Palladium Trust (the ?Trust?) We have audited Sprott Physical Platinum and Palladium Trust?s internal control over financial reporting as of December 31, 2016, based on criteria established in Internal Control - Integrated Framework (20 |
|
| March 24, 2017 |
CERTIFICATION OF THE PRINCIPAL EXECUTIVE OFFICER EX-99.1 2 a17-77583ex99d1.htm EX-99.1 Exhibit 99.1 CERTIFICATION OF THE PRINCIPAL EXECUTIVE OFFICER I, John Wilson, certify that: 1. I have reviewed this annual report on Form 40-F of Sprott Physical Platinum and Palladium Trust (the “Trust”); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statem |
|
| March 24, 2017 |
Consent of Independent Registered Public Accounting Firm EX-99.9 10 a17-77583ex99d9.htm EX-99.9 Exhibit 99.9 Consent of Independent Registered Public Accounting Firm Sprott Asset Management LP, Manager of Sprott Physical Platinum and Palladium Trust We consent to the inclusion in this annual report on Form 40-F of: · our Report of Independent Registered Public Accounting Firm dated March 23, 2017 addressed to the unitholders of Sprott Physical Platinum |
|
| March 24, 2017 |
PRINCIPAL FINANCIAL OFFICER CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350 Exhibit 99.4 PRINCIPAL FINANCIAL OFFICER CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350 In connection with this Annual Report of Sprott Physical Platinum and Palladium Trust (the ?Trust?) on Form 40-F for the year ended December 31, 2016 as filed with the Securities and Exchange Commission (the ?SEC?) on or about the date hereof (the ?Report?), I, Kevin Hibbert, Principal Financial Officer of Sp |
|
| November 14, 2016 |
Table of ContentsTable of Contents Exhibit 99.1 Sprott Physical Platinum and Palladium Trust Interim Report to Unitholders SEPTEMBER 30, 2016 Table of Contents Table of Contents Management Report of Fund Performance 3 Unaudited Interim Financial Statements 7 The management report of fund performance is an analysis and explanation that is designed to complement and supplement an investment fund?s f |
|
| November 14, 2016 |
6-K 1 spptcurrentfolio6k.htm 6-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of November 2016 Commission File Number: 001-35765 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST (Translation of registrant’s name into English) Suite 2700, South Towe |
|
| August 11, 2016 |
6-K 1 sppp-20160811x6k.htm 6-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of August 2016 Commission File Number: 001-35765 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST (Translation of registrant’s name into English) Suite 2700, South Tower, R |
|
| August 11, 2016 |
Sprott Physical Platinum and Palladium Trust Unaudited interim financial statements June 30, 2016 Table of ContentsTable of Contents Exhibit 99.1 Sprott Physical Platinum and Palladium Trust Interim Report to Unitholders JUNE 30, 2016 Table of Contents Table of Contents Management Report of Fund Performance 3 Unaudited Interim Financial Statements 7 The management report of fund performance is an analysis and explanation that is designed to complement and supplement an investment fund?s financ |
|
| June 24, 2016 |
Exhibit 99.2 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST Trust Units Controlled Equity OfferingSM Sales Agreement June 24, 2016 Cantor Fitzgerald & Co. 499 Park Avenue New York, NY 10022 Ladies and Gentlemen: Sprott Physical Platinum and Palladium Trust, a trust formed and organized under the laws of the Province of Ontario (the ?Trust?) and managed by Sprott Asset Management LP, a limited partne |
|
| June 24, 2016 |
PROSPECTUS SUPPLEMENT TO THE SHORT FORM BASE SHELF PROSPECTUS DATED MAY 20, 2016 QuickLinks - Click here to rapidly navigate through this document Filed Pursuant to General Instruction II. |
|
| June 24, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of June 2016 Commission File Number: 001-35765 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST (Translation of registrant?s name into English) Suite 2700, South Tower, Royal Bank Plaza, 200 Bay Street, |
|
| June 24, 2016 |
Exhibit 99.1 Sprott Enhances Flexibility for Accretive Growth for the Physical Silver and Physical Platinum and Palladium Trusts Toronto, Ontario, Canada ? June 24, 2016 ? Sprott Asset Management LP (?Sprott? or the ?Manager?), on behalf of the Sprott Physical Silver Trust (NYSE:PSLV / TSX:PHS.U) and the Sprott Physical Platinum and Palladium Trust (NYSE:SPPP / TSX:PPT.U) (together, the ?Trusts?) |
|
| May 20, 2016 |
As filed with the Securities and Exchange Commission on May 20, 2016 QuickLinks - Click here to rapidly navigate through this document As filed with the Securities and Exchange Commission on May 20, 2016 Registration No. |
|
| May 20, 2016 |
U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM F-X APPOINTMENT OF AGENT FOR SERVICE OF PROCESS AND UNDERTAKING A. Name of issuer or person filing (?Filer?): RBC Investor Services Trust on Behalf of Sprott Physical Platinum and Palladium Trust B. (1) This is [check one] x an original filing for the Filer o an amended filing for the Filer (2) Check the following box if you are f |
|
| May 20, 2016 |
QuickLinks - Click here to rapidly navigate through this document Exhibit 5.3 SEWARD & KISSEL LLP 901 K STREET, N.W., SUITE 800 WASHINGTON, D.C. 20001 TELEPHONE: (202) 737-8833 FACSIMILE: (202) 737-5184 WWW.SEWKIS.COM ONE BATTERY PARK PLAZA NEW YORK, NEW YORK 10004 TELEPHONE: (212) 574-1200 FACSIMILE: (212) 480-8421 We hereby consent to the use of our name in the Registration Statement on Form F-1 |
|
| May 20, 2016 |
U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM F-X APPOINTMENT OF AGENT FOR SERVICE OF PROCESS AND UNDERTAKING A. Name of issuer or person filing (?Filer?): Sprott Physical Platinum and Palladium Trust B. (1) This is [check one] x an original filing for the Filer o an amended filing for the Filer (2) Check the following box if you are filing the Form F-X in paper in accordance |
|
| May 12, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of May 2016 Commission File Number: 001-35765 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST (Translation of registrant?s name into English) Suite 2700, South Tower, Royal Bank Plaza, 200 Bay Street, T |
|
| May 12, 2016 |
Exhibit 99.1 Sprott Physical Platinum and Palladium Trust Interim Report to Unitholders MARCH 31, 2016 Table of Contents Management Report of Fund Performance 3 Unaudited Interim Financial Statements 7 The management report of fund performance is an analysis and explanation that is designed to complement and supplement an investment fund?s financial statements. This report contains financial highl |
|
| March 31, 2016 |
U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 40-F U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 40-F o REGISTRATION STATEMENT PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 OR x ANNUAL REPORT PURSUANT TO SECTION 13(a) OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2015 Commission file number 001-35765 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST (Exact name of Registrant |
|
| March 31, 2016 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Exhibit 99.8 REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To Sprott Asset Management LP (the ?Manager?), the Trustee and the Unitholders of the Sprott Physical Platinum and Palladium Trust We have audited the Sprott Physical Platinum and Palladium Trust?s (the ?Trust?) internal control over financial reporting as of December 31, 2015, based on criteria established in Internal Control-In |
|
| March 31, 2016 |
Exhibit 99.5 ANNUAL INFORMATION FORM for the fiscal year ended December 31, 2015 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST (the ?Trust?) March 30, 2016 No securities regulatory authority has expressed an opinion about the units of the Trust and it is an offence to claim otherwise. TABLE OF CONTENTS CAUTIONARY STATEMENT REGARDING FORWARD-LOOKING STATEMENTS 1 CURRENCY 1 THE TRUST 1 INVESTMENT RES |
|
| March 31, 2016 |
PRINCIPAL FINANCIAL OFFICER CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350 EX-99.4 5 a16-61283ex99d4.htm EX-99.4 Exhibit 99.4 PRINCIPAL FINANCIAL OFFICER CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350 In connection with this Annual Report of Sprott Physical Platinum and Palladium Trust (the “Trust”) on Form 40-F for the year ended December 31, 2015 as filed with the Securities and Exchange Commission (the “SEC”) on or about the date hereof (the “Report”), I, Kevin Hibb |
|
| March 31, 2016 |
For the year ended December 31, 2015 $ Exhibit 99.6 Sprott Physical Platinum and Palladium Trust Report to Unitholders DECEMBER 31, 2015 Table of Contents Annual Management Report of Fund Performance 3 Financial Statements 7 The management report of fund performance is an analysis and explanation that is designed to complement and supplement an investment fund?s financial statements. This report contains financial highlights but does n |
|
| March 31, 2016 |
Consent of Independent Registered Public Accounting Firm Exhibit 99.9 Consent of Independent Registered Public Accounting Firm We consent to the reference to our Firm under the captions ?Attestation Report of the Registered Public Accounting Firm? and ?Principal Accountant Fees and Services? and to the use in this Annual Report on Form 40-F filed with the United States Securities and Exchange Commissions of our reports dated March 30, 2016, with respect |
|
| March 31, 2016 |
CERTIFICATION OF THE PRINCIPAL FINANCIAL OFFICER Exhibit 99.2 CERTIFICATION OF THE PRINCIPAL FINANCIAL OFFICER I, Kevin Hibbert, certify that: 1. I have reviewed this annual report on Form 40-F of Sprott Physical Platinum and Palladium Trust (the ?Trust?); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumsta |
|
| March 31, 2016 |
CERTIFICATION OF THE PRINCIPAL EXECUTIVE OFFICER Exhibit 99.1 CERTIFICATION OF THE PRINCIPAL EXECUTIVE OFFICER I, John Wilson, certify that: 1. I have reviewed this annual report on Form 40-F of Sprott Physical Platinum and Palladium Trust (the ?Trust?); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstanc |
|
| March 31, 2016 |
PRINCIPAL EXECUTIVE OFFICER CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350 Exhibit 99.3 PRINCIPAL EXECUTIVE OFFICER CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350 In connection with this Annual Report of Sprott Physical Platinum and Palladium Trust (the ?Trust?) on Form 40-F for the year ended December 31, 2015 as filed with the Securities and Exchange Commission (the ?SEC?) on or about the date hereof (the ?Report?), I, John Wilson, Principal Executive Officer of Spro |
|
| March 31, 2016 |
Exhibit 99.7 MANAGEMENT?S RESPONSIBILITY FOR FINANCIAL INFORMATION Sprott Asset Management LP, the ?Manager? of the Sprott Physical Platinum and Palladium Trust (the ?Trust?) is responsible for the integrity, consistency, objectivity and reliability of the Financial Statements of the Trust. International Financial Reporting Standards have been applied and management has exercised its judgment and |
|
| March 30, 2016 |
Exhibit 99.1 PRECIOUS METALS STORAGE AGREEMENT entered into and made effective as of March 29,2016. B E TWEEN: ROYAL CANADIAN MINT Ottawa, Ontario, Canada, a Body Corporate established by the Royal Canadian Mint Act, R.S.C. 1985, c.R-9. (hereinafter referred to as the "Mint") OF THE FIRST PART AND: SPROTT ASSET MANAGEMENT LP for and on behalf of Sprott Physical Platinum and Palladium Trust, a trus |
|
| March 30, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of March 2016 Commission File Number: 001-35765 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST (Translation of registrant?s name into English) Suite 2700, South Tower, Royal Bank Plaza, 200 Bay Street, |
|
| March 30, 2016 |
Exhibit 99.2 PRECIOUS METALS STORAGE AGREEMENT entered into and made effective as of March 29, 2016. BETW E EN: ROYAL CANADIAN MINT Ottawa, Ontario, Canada, a Body Corporate established by the Royal Canadian Mint Act,R.S.C. 1985, c.R-9. (hereinafter referred to as the "Mint") OF THE FIRST PART AND: SPROTT ASSET MANAGEMENT LP for and on behalf of Sprott Physical Platinum and Palladium Trust, a trus |
|
| November 12, 2015 |
For the three months ended September 30, 2015 $ Exhibit 99.1 Table of Contents Management Report of Fund Performance 3 Unaudited Interim Financial Statements 7 The management report of fund performance is an analysis and explanation that is designed to complement and supplement an investment fund’s financial statements. This report contains financial highlights but does not contain the complete interim financial statements of the investment fun |
|
| November 12, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of November 2015 Commission File Number: 001-35765 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST (Translation of registrant?s name into English) Suite 2700, South Tower, Royal Bank Plaza, 200 Bay Stre |
|
| August 12, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of August 2015 Commission File Number: 001-35765 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST (Translation of registrant?s name into English) Suite 2700, South Tower, Royal Bank Plaza, 200 Bay Street |
|
| August 12, 2015 |
For the three months ended June 30, 2015 $ Exhibit 99.1 Table of Contents Management Report of Fund Performance 3 Unaudited Interim Financial Statements 7 The management report of fund performance is an analysis and explanation that is designed to complement and supplement an investment fund?s financial statements. This report contains financial highlights but does not contain the complete interim financial statements of the investment fun |
|
| May 11, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of May 2015 Commission File Number: 001-35765 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST (Translation of registrant?s name into English) Suite 2700, South Tower, Royal Bank Plaza, 200 Bay Street, T |
|
| May 11, 2015 |
For the three months ended March 31, 2015 $ Exhibit 99.1 Table of Contents Management Report of Fund Performance 3 Unaudited Interim Financial Statements 7 The management report of fund performance is an analysis and explanation that is designed to complement and supplement an investment fund’s financial statements. This report contains financial highlights but does not contain the complete interim financial statements of the investment fun |
|
| March 30, 2015 |
CERTIFICATION OF THE PRINCIPAL EXECUTIVE OFFICER Exhibit 99.1 CERTIFICATION OF THE PRINCIPAL EXECUTIVE OFFICER I, John Wilson, certify that: 1. I have reviewed this annual report on Form 40-F of Sprott Physical Platinum and Palladium Trust (the ?Trust?); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstanc |
|
| March 30, 2015 |
U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 40-F 40-F 1 a15-2772440f.htm 40-F U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 40-F o REGISTRATION STATEMENT PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 OR x ANNUAL REPORT PURSUANT TO SECTION 13(a) OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2014 Commission file number 001-35765 SPROTT PHYSICAL PLATINUM AND PALLADIUM TR |
|
| March 30, 2015 |
Consent of Independent Registered Public Accounting Firm Exhibit 99.9 Consent of Independent Registered Public Accounting Firm We consent to the reference to our Firm under the captions ?Attestation Report of the Registered Public Accounting Firm? and ?Principal Accountant Fees and Services? and to the use in this Annual Report on Form 40-F filed with the United States Securities and Exchange Commission of our reports dated March 10, 2015, with respect |
|
| March 30, 2015 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Exhibit 99.8 REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To Sprott Asset Management LP (the ?Manager?), the Trustee and the Unitholders of the Sprott Physical Platinum and Palladium Trust We have audited the Sprott Physical Platinum and Palladium Trust?s (the ?Trust?) internal control over financial reporting as of December 31, 2014, based on criteria established in Internal Control-In |
|
| March 30, 2015 |
Exhibit 99.5 ANNUAL INFORMATION FORM for the fiscal year ended December 31, 2014 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST (the ?Trust?) March 30, 2015 No securities regulatory authority has expressed an opinion about the units of the Trust and it is an offence to claim otherwise. TABLE OF CONTENTS CAUTIONARY STATEMENT REGARDING FORWARD-LOOKING STATEMENTS 1 CURRENCY 1 THE TRUST 1 INVESTMENT RES |
|
| March 30, 2015 |
For the year ended December 31, 2014 $ Exhibit 99.6 Table of Contents Management Report of Fund Performance 3 Audited Financial Statements 7 The annual management report of fund performance is an analysis and explanation that is designed to complement and supplement an investment fund?s financial statements. This report contains financial highlights but does not contain the complete annual financial statements of the investment fund. A |
|
| March 30, 2015 |
PRINCIPAL EXECUTIVE OFFICER CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350 Exhibit 99.3 PRINCIPAL EXECUTIVE OFFICER CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350 In connection with this Annual Report of Sprott Physical Platinum and Palladium Trust (the ?Trust?) on Form 40-F for the year ended December 31, 2014 as filed with the Securities and Exchange Commission (the ?SEC?) on or about the date hereof (the ?Report?), I, John Wilson, Principal Executive Officer of Spro |
|
| March 30, 2015 |
PRINCIPAL FINANCIAL OFFICER CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350 EX-99.4 5 a15-27724ex99d4.htm EX-99.4 Exhibit 99.4 PRINCIPAL FINANCIAL OFFICER CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350 In connection with this Annual Report of Sprott Physical Platinum and Palladium Trust (the “Trust”) on Form 40-F for the year ended December 31, 2014 as filed with the Securities and Exchange Commission (the “SEC”) on or about the date hereof (the “Report”), I, Steven Ros |
|
| March 30, 2015 |
CERTIFICATION OF THE PRINCIPAL FINANCIAL OFFICER Exhibit 99.2 CERTIFICATION OF THE PRINCIPAL FINANCIAL OFFICER I, Steven Rostowsky, certify that: 1. I have reviewed this annual report on Form 40-F of Sprott Physical Platinum and Palladium Trust (the ?Trust?); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circum |
|
| March 30, 2015 |
Exhibit 99.7 MANAGEMENT?S RESPONSIBILITY FOR FINANCIAL INFORMATION Sprott Asset Management LP, the ?Manager? of the Sprott Physical Platinum and Palladium Trust (the ?Trust?) is responsible for the integrity, consistency, objectivity and reliability of the Financial Statements of the Trust. International Financial Reporting Standards have been applied and management has exercised its judgment and |
|
| March 10, 2015 |
For the year ended December 31, 2014 $ Exhibit 99.1 Table of Contents Management Report of Fund Performance 3 Audited Financial Statements 7 The annual management report of fund performance is an analysis and explanation that is designed to complement and supplement an investment fund?s financial statements. This report contains financial highlights but does not contain the complete annual financial statements of the investment fund. A |
|
| March 10, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of March 2015 Commission File Number: 001-35765 SPROTT PHYSICAL PLATINUM AND PALLADIUM TRUST (Translation of registrant?s name into English) Suite 2700, South Tower, Royal Bank Plaza, 200 Bay Street, |
|
| December 31, 2014 |
Seward & Kissel llp ONE BATTERY PARK PLAZA NEW YORK, NEW YORK 10004 Seward & Kissel llp ONE BATTERY PARK PLAZA NEW YORK, NEW YORK 10004 TELEPHONE: (212) 574-1200 FACSIMILE: (212) 480-8421 WWW. |
|
| November 13, 2014 |
QuickLinks - Click here to rapidly navigate through this document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
|
| November 13, 2014 |
QuickLinks - Click here to rapidly navigate through this document Exhibit 99.1 Sprott Physical Platinum and Palladium Trust Unaudited interim financial statements SEPTEMBER 30, 2014 Table of Contents Management Report of Fund Performance 2 Interim Financial Statements 6 1 Sprott Physical Platinum and Palladium Trust September 30, 2014 Management Report of Fund Performance* Investment Objective and |
|
| August 14, 2014 |
5 Sprott Physical Platinum and Palladium Trust Unaudited interim financial statements June 30, 2014 QuickLinks - Click here to rapidly navigate through this document Exhibit 99.1 Sprott Physical Platinum and Palladium Trust Unaudited interim financial statements JUNE 30, 2014 Table of Contents Management Report of Fund Performance 2 Interim Financial Statements 6 1 Sprott Physical Platinum and Palladium Trust June 30, 2014 Management Report of Fund Performance* Investment Objective and Strategie |
|
| August 14, 2014 |
QuickLinks - Click here to rapidly navigate through this document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
|
| May 15, 2014 |
Current Report of Foreign Issuer - 6-K QuickLinks - Click here to rapidly navigate through this document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
|
| May 15, 2014 |
5 Sprott Physical Platinum and Palladium Trust Unaudited interim financial statements March 31, 2014 QuickLinks - Click here to rapidly navigate through this document Exhibit 99.1 Sprott Physical Platinum and Palladium Trust Unaudited interim financial statements MARCH 31, 2014 Table of Contents Management Report of Fund Performance 2 Interim Financial Statements 6 1 Sprott Physical Platinum and Palladium Trust March 31, 2014 Management Report of Fund Performance* Investment Objective and Strateg |
|
| April 29, 2014 |
QuickLinks - Click here to rapidly navigate through this document As filed with the Securities and Exchange Commission on April 28, 2014 Registration No. |
