Gabelli Mario J's Form 4 filing
Gabelli Global Small & Mid Cap Value Trust (GGZ) · filed Nov 2, 2021
- Accession no.
- 0001271163-21-000086
- Filed
- Nov 2, 2021
- Trade date
- Nov 1, 2021
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 6 non-derivative transactions. Open-market purchases total $12.6M. It was filed 1 day after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Gabelli Mario JCIK 0001185533 | Director, 10% Owner, Other: Control Person of Adviser |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 1, 2021 | Series B Cumulative Preferred Shares | PPurchaseAcquired | +200,000 | $10.00 | +$2,000,000 | 200,000 | Indirect | |
| Nov 1, 2021 | Series B Cumulative Preferred Shares | PPurchaseAcquired | +250,000 | $10.00 | +$2,500,000 | 250,000 | Indirect | |
| Nov 1, 2021 | Series B Cumulative Preferred Shares | PPurchaseAcquired | +163,500 | $10.00 | +$1,635,000 | 163,500 | Direct | |
| Nov 1, 2021 | Series B Cumulative Preferred Shares | PPurchaseAcquired | +100,000 | $10.00 | +$1,000,000 | 100,000 | Indirect | |
| Nov 1, 2021 | Series B Cumulative Preferred Shares | PPurchaseAcquired | +200,000 | $10.00 | +$2,000,000 | 200,000 | Indirect | |
| Nov 1, 2021 | Series B Cumulative Preferred Shares | PPurchaseAcquired | +350,000 | $10.00 | +$3,500,000 | 350,000 | Indirect |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
No transaction price on this filing refers to a footnote.