SEC Form 4 · accession 0001271163-17-000041
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
Sep 7, 2017
Accepted (ET)
Oct 26, 2017 · 4:41 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 |
|---|---|---|---|---|---|---|---|---|
| Common Shares, Par Value $0.001F2,F3 | Sep 7, 2017 | J | 3,741 | $0.00 | D | 0 | I | MJG Management LLC |
| Common Shares, Par Value $0.001F2,F4 | holding | — | — | — | 249,304 | I | Associated Capital Group, Inc. | |
| Common Shares, Par Value $0.001F2 | holding | — | — | — | 1,872 | D | ||
| Common Shares, Par Value $0.001F2,F5 | holding | — | — | — | 1,979 | I | Trust Account |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares were transferred from MJG Management, LLC to one of its members.
- F2Total includes shares acquired through dividend reinvestment subsequent to the initial purchase.
- 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 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.
- F5The shares reported reflect the total shares owned by a trust account established by Mario J. Gabelli.