SEC Form 4 · accession 0001271163-18-000072
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 · 4:53 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 |
|---|---|---|---|---|---|---|---|---|
| Rights for Common Shares and Series B Preferred SharesF1 | Dec 6, 2018 | P | 3,000 | $0.1856 | A | 4,989 | I | Trust Account |
| Rights for Common Shares and Series B Preferred Shares | holding | — | — | — | 1,881 | D | ||
| Rights for Common Shares and Series B Preferred SharesF2,F3 | holding | — | — | — | 266,484 | 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.
- F2Includes rights transferred from G.research account.
- 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.