SEC Form 4 · accession 0001271163-18-000087
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 20, 2018
Accepted (ET)
Dec 26, 2018 · 6:31 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 20, 2018 | J | 59,886 | $17.50 | A | 61,767 | D | |
| Common Shares, Par Value $0.001F4,F2 | Dec 20, 2018 | J | 88,828 | $17.50 | A | 358,370 | I | Associated Capital Group, Inc. |
| Common Shares, Par Value $0.001F1,F3 | Dec 20, 2018 | J | 1,663 | $17.50 | A | 4,663 | I | Trust Account |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The reporting person acquired these common shares through a primary and oversubscription allocation based on the exercise of common share purchase rights.
- F2The 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.
- F3The shares reported reflect the total shares owned by a trust account established by Mario J. Gabelli.
- F4Total includes shares acquired through dividend reinvestment subsequent to the initial purchase.