SEC Form 4 · accession 0001271163-17-000049
GABELLI UTILITY TRUST · GUT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mario J Gabelli
Director · Other
Period of report
Nov 27, 2017
Accepted (ET)
Nov 29, 2017 · 7:24 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001080720
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Shares, Par Value $0.001F1 | Nov 27, 2017 | S | 1,149 | $7.0432 | D | 272,000 | I | GGCP, Inc. |
| Common Shares, Par Value $0.001 | holding | — | — | — | 425,170 | D | ||
| Common Shares, Par Value $0.001F2 | holding | — | — | — | 11,013 | I | MJG IV Limited Partnership |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The 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.
- F2The shares reported reflect the total shares owned by MJG IV Limited Partnership, a limited partnership for which Mr. Gabelli serves as a general partner. 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.