SEC Form 4 · accession 0001271163-16-000104
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
Nov 28, 2016
Accepted (ET)
Nov 30, 2016 · 1:39 pm EST
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 |
|---|---|---|---|---|---|---|---|---|
| Common Shares, Par Value $0.001F1 | Nov 28, 2016 | S | 3,753 | $16.4247 | D | 1 | I | E3M, LLC |
| Common Shares, Par Value $0.001F1 | Nov 29, 2016 | S | 1 | $16.395 | D | 0 | I | E3M, LLC |
| Common Shares, Par Value $0.001 | holding | — | — | — | 1,796 | D | ||
| Common Shares, Par Value $0.001F2 | holding | — | — | — | 3,604 | I | MJG Management LLC | |
| Common Shares, Par Value $0.001F3 | holding | — | — | — | 235,031 | I | Associated Capital Group, Inc. | |
| Common Shares, Par Value $0.001F4 | holding | — | — | — | 1,895 | I | Trust Account |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The shares reported reflect the total shares owned by E3M, LLC for which Mario J. Gabelli serves as a member.
- 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 Executive Chairman 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.
- F4The shares reported reflect the total shares owned by a trust account established by Mario J. Gabelli.