Form 4 for GGZ Gabelli Global Small & Mid Cap Value Trust
Accepted 2021-11-02 00:00:00 ET · period of report 2021-11-01 · accession 0001271163-21-000086 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| MI | 2021-11-02 | 2021-11-01 | GGZ | GABELLI MARIO J | Dir, 10%, Control Person of Adviser | P - Purchase | $10.00 | +1.10M | 250.0K | New | +$11.00M |
| 2021-11-02 | 2021-11-01 | GGZ | GABELLI MARIO J | Dir, 10%, Control Person of Adviser | P - Purchase | $10.00 | +163.5K | 163.5K | New | +$1.64M |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Series B Cumulative Preferred Shares | 2021-11-01 | P | A | 100,000 | $10.00 | 100,000 | I E3M 2018, LLC | — | — | (F4) 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. |
| 2 | Common | Series B Cumulative Preferred Shares | 2021-11-01 | P | A | 200,000 | $10.00 | 200,000 | I E3M Investors, LLC | — | — | (F5) 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. |
| 3 | Common | Series B Cumulative Preferred Shares | 2021-11-01 | P | A | 350,000 | $10.00 | 350,000 | I | — | — | |
| 4 | Common | Series B Cumulative Preferred Shares | 2021-11-01 | P | A | 200,000 | $10.00 | 200,000 | I Associated Capital Group, Inc. | — | — | (F1) The shares reported reflect the total shares owned by Associated Capital Group, Inc. (AC). Mario J. Gabelli is the Executive Chairman 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. |
| 5 | Common | Series B Cumulative Preferred Shares | 2021-11-01 | P | A | 163,500 | $10.00 | 163,500 | D GPJ Retirement Partners | — | — | (F3) 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. |
| 6 | Common | Series B Cumulative Preferred Shares | 2021-11-01 | P | A | 250,000 | $10.00 | 250,000 | I GGCP, Inc. | — | — | (F2) 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. |