SEC Form 4 · accession 0001271163-15-000055
Gabelli Global Small & Mid Cap Value Trust · GGZ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mario J Gabelli
Director · 10% Owner · Other
Period of report
Nov 24, 2015
Accepted (ET)
Nov 25, 2015 · 11:23 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001585855
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Shares, Par Value $0.001 | Nov 24, 2015 | S | 1,300 | $10.31 | D | 1,654,233 | D | |
| Common Shares, Par Value $0.001F1 | holding | — | — | — | 52,190 | I | GAMCO Investors, Inc. | |
| Common Shares, Par Value $0.001F2 | holding | — | — | — | 1,000 | I | MJG IV Limited Partnership | |
| Common Shares, Par Value $0.001F3 | holding | — | — | — | 10,000 | I | GGCP, Inc. |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The shares reported reflect the total shares owned by GAMCO Investors, Inc. (GAMCO). Mario J. Gabelli is the Chairman, Chief Executive Officer, controlling shareholder of GAMCO and Chief Investment Officer of Value Portfolios of Gabelli Funds, LLC (the Adviser). Mr. Gabelli has less than a 100% interest in GAMCO and disclaims beneficial ownership of the shares held by it which are in excess of his indirect pecuniary interest.
- F2The shares reported reflect the total shares owned by MJG IV Limited Partnership, a limited partnership for which Mr. Gabelli serves as a general partner. Mr. Gabelli has less than a 100% interest in the entity and disclaims beneficial ownership of the shares held by this entity which are in excess of his indirect pecuniary interest.
- F3The shares reported reflect the total shares owned by GGCP, Inc. (GGCP). Mario J. Gabelli is the Chief Executive Officer, a director, and the controlling shareholder of GGCP. Mr. Gabelli has less than a 100% interest in GGCP and disclaims beneficial ownership of the shares held by it which are in excess of his indirect pecuniary interest.