SEC Form 4 · accession 0001271163-16-000095

Gabelli Go Anywhere Trust · GGO.A

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Mario J Gabelli

Director · 10% Owner · Other

Period of report

Sep 6, 2016

Accepted (ET)

Sep 9, 2016 · 10:57 am EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001635193

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Shares^F1,F2	Sep 6, 2016	P	61,854	$19.00	A	61,854	I	MJG Management LLC
Series A Cumulative Puttable and Callable Preferred Shares^F1,F2	Sep 6, 2016	P	20,618	$40.00	A	20,618	I	MJG Management LLC
Common Shares^F3	Sep 6, 2016	P	284,535	$19.00	A	284,535	D
Series A Cumulative Puttable and Callable Preferred Shares^F3	Sep 6, 2016	P	94,845	$40.00	A	94,845	D
Common Shares^F4,F5	Sep 6, 2016	P	92,781	$19.00	A	92,781	I	E3M, LLC
Series A Cumulative Puttable and Callable Preferred Shares^F4,F5	Sep 6, 2016	P	30,927	$40.00	A	30,927	I	E3M, LLC
Common Shares^F4,F6	Sep 6, 2016	P	92,781	$19.00	A	92,781	I	Associated Capital Group, Inc.
Series A Cumulative Puttable and Callable Preferred Shares^F4,F6	Sep 6, 2016	P	30,927	$40.00	A	30,927	I	Associated Capital Group, Inc.

Table II — derivative securities

No Table II lines on this filing.

Explanation of responses

F1Until November 1, 2016, the common shares and Series A Preferred Shares will trade only as Combinations on the NYSE MKT. Each Combination consists of 3 common shares and 1 Series A Preferred Share, and trades under the symbol GGO.C. The reported beneficial ownership of common shares and Series A Preferred Shares therefore represents 20,618 combinations. The common and Series A Preferred Share will begin trading separately on November 2, 2016.
F2The shares reported reflect the total shares owned by MJG Management, LLC a limited liability company for which Mr. Gabelli serves as the member.
F3Until November 1, 2016, the common shares and Series A Preferred Shares will trade only as Combinations on the NYSE MKT. Each Combination consists of 3 common shares and 1 Series A Preferred Share, and trades under the symbol GGO.C. The reported beneficial ownership of common shares and Series A Preferred Shares therefore represents 94,845 combinations. The common and Series A Preferred Share will begin trading separately on November 2, 2016.
F4Until November 1, 2016, the common shares and Series A Preferred Shares will trade only as Combinations on the NYSE MKT. Each Combination consists of 3 common shares and 1 Series A Preferred Share, and trades under the symbol GGO.C. The reported beneficial ownership of common shares and Series A Preferred Shares therefore represents 30,927 combinations. The common and Series A Preferred Share will begin trading separately on November 2, 2016.
F5The shares reported reflect the total shares owned by E3M, LLC for which Mario J. Gabelli serves as a member.
F6The shares reported reflect the total shares owned by Associated Capital Group, Inc. (ACG). Mario J. Gabelli is the Chairman, Chief Executive Officer, 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.