SEC Form 4 · accession 0001271163-18-000088
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 · 6:44 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 |
|---|---|---|---|---|---|---|---|---|
| Series B Cumulative Puttable and Callable Preferred SharesF1 | Dec 20, 2018 | J | 59,886 | $50.00 | A | 59,886 | D | |
| Series B Cumulative Puttable and Callable Preferred SharesF2,F3 | Dec 20, 2018 | J | 88,828 | $50.00 | A | 88,828 | I | Associated Capital Group, Inc. |
| Series B Cumulative Puttable and Callable Preferred SharesF2,F4 | Dec 20, 2018 | J | 1,663 | $50.00 | A | 1,663 | I | Trust Account |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The reporting person acquired these preferred shares through a primary and oversubscription allocation based on the exercise of common share purchase rights.
- F2The reporting person acquired these preferred shares through the exercise of common share purchase rights.
- 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.