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Gabelli Global Small & Mid Cap Value Trust — Director's Dealing 2022
Oct 18, 2022
34093_dirs_2022-10-18_4653c1dc-4d7a-427a-8b0b-ee920a43db4b.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Gabelli Global Small & Mid Cap Value Trust (GGZ.B)
CIK: 0001585855
Period of Report: 2022-10-17
Reporting Person: GABELLI MARIO J (Director, 10% Owner, Control Person of Adviser)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2022-10-17 | Series B Cumulative Preferred Shares | S | 158554 | $10 | Disposed | 0 | Indirect |
| 2022-10-17 | Series B Cumulative Preferred Shares | P | 158554 | $10 | Acquired | 288174 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Series B Cumulative Preferred Shares | 158554 | Indirect |
| Series B Cumulative Preferred Shares | 198193 | Indirect |
| Series B Cumulative Preferred Shares | 79278 | Indirect |
| Series B Cumulative Preferred Shares | 277470 | Indirect |
Footnotes
F1: Shares traded in a private transaction between related accounts
F2: The shares being reported are held at E3M 2018, LLC, in which Mr. Gabelli has less than a 100% interest and disclaims beneficial ownership of the shares held by it which are in excess of his indirect pecuniary interest.
F3: The shares reported reflect the total shares owned by Associated Capital Group, Inc. (AC). Mario J. Gabelli is the Executive Chair and controlling shareholder of AC. Mr. Gabelli has less than a 100% interest in AC and disclaims beneficial ownership of the shares held by it which are in excess of his indirect pecuniary interest.
F4: The shares reported reflect the total shares owned by GGCP, Inc. (GGCP). Mario J. Gabelli is the Chief Executive Officer, a director, and the controlling shareholder of GGCP. Mr. Gabelli has less than a 100% interest in GGCP and disclaims beneficial ownership of the shares held by it which are in excess of his indirect pecuniary interest.
F5: The shares reported reflect the total shares owned by GPJ Retirement Partners, LLC, a limited liability company. Mr. Gabelli has less than a 100% interest in the entity and disclaims beneficial ownership of the shares held by this entity which are in excess of his indirect pecuniary interest.
F6: The shares being reported are held at E3M Investors, LLC, in which Mr. Gabelli has less than a 100% interest and disclaims beneficial ownership of the shares held by it which are in excess of his indirect pecuniary interest.