SEC Form 4 · accession 0001271163-17-000061
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
Dec 14, 2017
Accepted (ET)
Dec 14, 2017 · 6:13 pm 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 | Dec 14, 2017 | J | 821,729 | $11.50 | A | 2,486,671 | D | |
| Common Shares, Par Value $0.001F2 | Dec 14, 2017 | J | 336 | $11.50 | A | 1,342 | I | MJG IV Limited Partnership |
| Common Shares, Par Value $0.001F3 | Dec 14, 2017 | J | 5,055 | $11.50 | A | 20,222 | I | GGCP, Inc. |
| Common Shares, Par Value $0.001F4 | Dec 14, 2017 | J | 26,055 | $11.50 | A | 78,828 | I | Associated Capital Group, Inc. |
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 pro-rata oversubscription allocation based on the exercise of common share purchase rights.
- 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.
- F4The 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.
- F5The reporting person acquired these common shares through the exercise of common share purchase rights.