SEC Form 4 · accession 0001271163-15-000023
GABELLI GLOBAL UTILITY & INCOME TRUST · GLU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mario J Gabelli
Other
Period of report
Jun 15, 2015
Accepted (ET)
Jun 17, 2015 · 11:10 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001282957
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Series A Cumulative Puttable and Callable Preferred SharesF1 | Jun 15, 2015 | S | 100 | $50.48 | D | 1,700 | I | GPJ Retirement Partners |
| Series A Cumulative Puttable and Callable Preferred SharesF1 | Jun 16, 2015 | S | 1,700 | $50.4976 | D | 0 | I | GPJ Retirement Partners |
| Series A Cumulative Puttable and Callable Preferred SharesF2 | holding | — | — | — | 1,324 | I | Trust Account | |
| Series A Cumulative Puttable and Callable Preferred SharesF3 | holding | — | — | — | 2,649 | I | MJG Management LLC | |
| Series A Cumulative Puttable and Callable Preferred SharesF4 | holding | — | — | — | 57,164 | I | GAMCO Investors, Inc. | |
| Series A Cumulative Puttable and Callable Preferred Shares | holding | — | — | — | 1,324 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The 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.
- F2The shares reported reflect the total shares owned by a trust account established by Mario J. Gabelli.
- F3The shares reported reflect the total shares owned by MJG Management, LLC a limited liability company for which Mr. Gabelli serves as the member.
- F4The shares reported reflect the total shares owned by GAMCO Investors, Inc. (GAMCO). Mario J. Gabelli is the Chairman, Chief Executive Officer, controlling shareholder of GAMCO and Chief Investment Officer of Value Portfolios of Gabelli Funds, LLC (the Adviser). Mr. Gabelli has less than a 100% interest in GAMCO and disclaims beneficial ownership of the shares held by it which are in excess of his indirect pecuniary interest.