SEC Form 4 · accession 0001271163-18-000071
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
Dec 6, 2018
Accepted (ET)
Dec 10, 2018 · 4:45 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 | Dec 6, 2018 | P | 1,011 | $17.80 | A | 3,000 | I | Trust Account |
| Common Shares, Par Value $0.001F2,F3 | holding | — | — | — | 158,758 | I | G.research, Inc. | |
| Common Shares, Par Value $0.001F2,F4 | holding | — | — | — | 107,722 | I | Associated Capital Group, Inc. | |
| Common Shares, Par Value $0.001 | holding | — | — | — | 1,881 | D |
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.
- F2Total includes shares acquired through dividend reinvestment subsequent to the initial purchase.
- F3G.research, a wholly owned subsidiary of GCIA, is a broker-dealer registered under the Securities Exchange Act of 1934, as amended (1934 Act), which as a part of its business regularly purchases and sells securities for its own account.
- F4The shares reported reflect the total shares owned by Associated Capital Group, Inc. (AC). Mario J. Gabelli is the Executive Chairman and controlling shareholder of AC. Mr. Gabelli has less than a 100% interest in AC and disclaims beneficial ownership of the shares held by it which are in excess of his indirect pecuniary interest.