SEC Form 4 · accession 0001271163-18-000009
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
Aug 30, 2017
Accepted (ET)
Feb 12, 2018 · 3:44 pm EST
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 |
|---|---|---|---|---|---|---|---|---|
| Series A Cumulative Puttable and Callable Preferred SharesF1,F2 | Aug 30, 2017 | J | 30,927 | $0.00 | A | 0 | I | E3M, LLC |
| Series A Cumulative Puttable and Callable Preferred SharesF3,F4 | Sep 7, 2017 | J | 20,618 | $0.00 | A | 0 | I | MJG Management LLC |
| Series A Cumulative Puttable and Callable Preferred Shares | Nov 9, 2017 | P | 131,956 | $43.50 | A | 131,956 | D | |
| Series A Cumulative Puttable and Callable Preferred SharesF6 | holding | — | — | — | 94,845 | I | E3M 2016, LLC | |
| Series A Cumulative Puttable and Callable Preferred SharesF7 | holding | — | — | — | 32,640 | I | Associated Capital Group, Inc. |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The shares being reported were transferred to multiple separate trust accounts.
- F2The shares reported reflect the total shares owned by E3M, LLC for which Mario J. Gabelli serves as a member.
- F3The shares being reported were transferred to a separate trust account.
- F4The shares reported reflect the total shares owned by MJG Management, LLC a limited liability company for which Mr. Gabelli serves as the member.
- F5The shares being reported were purchased from three separate trust accounts in a private transaction and are now directly held by the reporting person.
- F6E3M 2016 is a limited liability company owned entirely by Mr. Gabelli.
- F7The 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.