SEC Form 4 · accession 0001271163-16-000085
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
Jul 5, 2016
Accepted (ET)
Jul 7, 2016 · 4:51 pm 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 | Jul 5, 2016 | S | 999 | $51.05 | D | 0 | I | Trust Account |
| Series A Cumulative Puttable and Callable Preferred SharesF2 | holding | — | — | — | 2,649 | I | MJG Management LLC | |
| Series A Cumulative Puttable and Callable Preferred Shares | holding | — | — | — | 1,324 | D | ||
| Series A Cumulative Puttable and Callable Preferred SharesF3 | holding | — | — | — | 38,964 | I | Associated Capital Group, Inc. |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The shares reported reflect the total shares owned by a trust account established by Mario J. Gabelli.
- F2The shares reported reflect the total shares owned by MJG Management, LLC a limited liability company for which Mr. Gabelli serves as the member.
- F3The shares reported reflect the total shares owned by Associated Capital Group, Inc. (ACG). Mario J. Gabelli is the Chairman, Chief Executive Officer, and controlling shareholder of ACG. Mr. Gabelli has less than a 100% interest in ACG and disclaims beneficial ownership of the shares held by it which are in excess of his indirect pecuniary interest.