| Stock | Role | Class | Num Shares | Value | Price $ | Report Date | Ownership |
|---|---|---|---|---|---|---|---|
| GAMCO INVESTORS, INC. ET AL | Chairman & CEO, Director, 10%+ Owner | Class A Common Stock | 1.84M | $29.5M | $16.00 | May 17, 2021 | By: Associated Capital Group, Inc. |
| GDL FUND | Director, Control Person of Adviser, 10%+ Owner | Common Shares, Par Value $0.001 | 2.8M | $22.4M | $8.01 | Dec 11, 2023 | Direct |
| GDL FUND | Director, Control Person of Adviser, 10%+ Owner | Common Shares, Par Value $0.001 | 1.85M | $14.8M | $8.01 | Dec 11, 2023 | Associated Capital Group, Inc. |
| GABELLI DIVIDEND & INCOME TRUST | Director, Control Person of Adviser | Common Shares, Par Value $0.001 | 626K | $13.8M | $21.99 | Aug 5, 2024 | Associated Capital Group, Inc. |
| GAMCO INVESTORS, INC. ET AL | Chairman & CEO, Director, 10%+ Owner | Class A Common Stock | 817K | $13.1M | $16.00 | May 14, 2021 | By: Gabelli & Company Investment Advisers, Inc. |
| Gabelli Healthcare & WellnessRx Trust | Director, Control Person of Adviser | Series E Cumulative Preferred Shares | 900K | $9M | $10.00 | Jun 26, 2024 | Direct |
| M-tron Industries, Inc. | 10%+ Owner | Common Stock | 177K | $5.9M | $33.38 | Aug 19, 2024 | Direct |
| M-tron Industries, Inc. | 10%+ Owner | Common Stock | 175K | $5.84M | $33.38 | Aug 19, 2024 | By: GGCP, Inc. |
| GABELLI MULTIMEDIA TRUST INC. | Director, Control Person of Adviser | Common Stock, Par Value $0.001 | 1.17M | $5.83M | $4.98 | Jul 29, 2024 | GGCP, Inc. |
| GABELLI UTILITY TRUST | Director, Control Person of Adviser | Common Shares, Par Value $0.001 | 904K | $4.97M | $5.50 | Apr 25, 2022 | Direct |
| GABELLI MULTIMEDIA TRUST INC. | Director, Control Person of Adviser | Common Stock, Par Value $0.001 | 979K | $4.88M | $4.98 | Jul 29, 2024 | Direct |
| Gabelli Global Small & Mid Cap Value Trust | Director, Control Person of Adviser, 10%+ Owner | Series B Cumulative Preferred Shares | 474K | $4.74M | $10.00 | Sep 26, 2023 | Direct |
| MachTen, Inc. | 10%+ Owner | Common Stock | 724K | $4.16M | $5.75 | Dec 5, 2023 | Direct |
| GABELLI CONVERTIBLE & INCOME SECURITIES FUND INC | Control Person of Adviser | Common Stock, Par Value $0.001 | 1.1M | $4.09M | $3.72 | Jul 29, 2024 | GGCP, Inc. |
| Gabelli Healthcare & WellnessRx Trust | Director, Control Person of Adviser | Series G Cumulative Preferred Shares | 400K | $4M | $10.00 | Feb 29, 2024 | GAMCO Investors, Inc. |
| GABELLI GLOBAL UTILITY & INCOME TRUST | Control Person of Adviser, 10%+ Owner | Series B Cumulative Puttable and Callable Preferred Shares | 76K | $3.8M | $50.00 | Dec 26, 2023 | Associated Capital Group, Inc. |
| Gabelli Healthcare & WellnessRx Trust | Director, Control Person of Adviser | Common Shares, Par Value $0.001 | 309K | $3.33M | $10.76 | Aug 19, 2024 | GGCP, Inc. |
| GABELLI DIVIDEND & INCOME TRUST | Director, Control Person of Adviser | Common Shares, Par Value $0.001 | 143K | $3.15M | $21.99 | Aug 5, 2024 | Direct |
| Gabelli Healthcare & WellnessRx Trust | Director, Control Person of Adviser | Common Shares, Par Value $0.001 | 304K | $2.75M | $9.04 | Dec 11, 2023 | GGCP, Inc. |
| GAMCO Natural Resources, Gold & Income Trust | Control Person of Adviser, 10%+ Owner | Series B Cumulative Preferred Shares | 250K | $2.5M | $10.00 | Feb 22, 2024 | Direct |
| GAMCO Natural Resources, Gold & Income Trust | Control Person of Adviser, 10%+ Owner | Series B Cumulative Preferred Shares | 250K | $2.5M | $10.00 | Feb 22, 2024 | GAMCO Investors, Inc. |
| ELLSWORTH GROWTH & INCOME FUND LTD | Director, Control Person of Adviser | Series B Cumulative Preferred Shares | 240K | $2.4M | $10.00 | Jun 26, 2024 | Direct |
| Gabelli Healthcare & WellnessRx Trust | Director, Control Person of Adviser | Common Shares, Par Value $0.001 | 217K | $2.33M | $10.76 | Aug 19, 2024 | Direct |
| BANCROFT FUND LTD | Director, Control Person of Adviser | Common Shares | 135K | $2.2M | $16.31 | Jul 29, 2024 | Direct |
| GABELLI MULTIMEDIA TRUST INC. | Director, Control Person of Adviser | Common Stock, Par Value $0.001 | 433K | $2.15M | $4.98 | Jul 29, 2024 | Associated Capital Group, Inc. |
| Gabelli Healthcare & WellnessRx Trust | Director, Control Person of Adviser | Common Shares, Par Value $0.001 | 233K | $2.11M | $9.04 | Dec 11, 2023 | Direct |
| Gabelli Healthcare & WellnessRx Trust | Director, Control Person of Adviser | Series G Cumulative Preferred Shares | 210K | $2.1M | $10.00 | Feb 29, 2024 | Direct |
| BANCROFT FUND LTD | Director, Control Person of Adviser | Common Shares, Par Value $0.001 | 141K | $2M | $14.22 | Oct 26, 2023 | Direct |
| Gabelli Healthcare & WellnessRx Trust | Director, Control Person of Adviser | Series E Cumulative Preferred Shares | 200K | $2M | $10.00 | Jun 26, 2024 | Associated Capital Group, Inc. |
| Gabelli Healthcare & WellnessRx Trust | Director, Control Person of Adviser | Series G Cumulative Preferred Shares | 200K | $2M | $10.00 | Feb 29, 2024 | Associated Capital Group, Inc. |
| GDL FUND | Director, Control Person of Adviser, 10%+ Owner | Common Shares, Par Value $0.001 | 245K | $1.96M | $8.01 | Dec 11, 2023 | GGCP, Inc. |
| GAMCO Natural Resources, Gold & Income Trust | Control Person of Adviser, 10%+ Owner | Series B Cumulative Preferred Shares | 190K | $1.9M | $10.00 | Feb 22, 2024 | Associated Capital Group, Inc. |
| GABELLI CONVERTIBLE & INCOME SECURITIES FUND INC | Control Person of Adviser | Common Stock, Par Value $0.001 | 489K | $1.82M | $3.72 | Jul 29, 2024 | Direct |
| GABELLI UTILITY TRUST | Director, Control Person of Adviser | Common Shares, Par Value $0.001 | 276K | $1.52M | $5.50 | Apr 25, 2022 | GGCP, Inc. |
| GAMCO Natural Resources, Gold & Income Trust | Control Person of Adviser, 10%+ Owner | Series B Cumulative Preferred Shares | 150K | $1.5M | $10.00 | Feb 22, 2024 | GGCP, Inc. |
| Gabelli Healthcare & WellnessRx Trust | Director, Control Person of Adviser | Series E Cumulative Preferred Shares | 130K | $1.3M | $10.00 | Jun 26, 2024 | GPJ Retirement Partners |
| ELLSWORTH GROWTH & INCOME FUND LTD | Director, Control Person of Adviser | Series B Cumulative Preferred Shares | 125K | $1.25M | $10.00 | Jun 26, 2024 | Associated Capital Group, Inc. |
| GABELLI CONVERTIBLE & INCOME SECURITIES FUND INC | Control Person of Adviser | Common Stock, Par Value $0.001 | 326K | $1.21M | $3.72 | Jul 29, 2024 | Associated Capital Group, Inc. |
| Atlanta Braves Holdings, Inc. | 10%+ Owner | Series A Common Stock | 24.8K | $1.05M | $42.29 | Jul 3, 2024 | Direct |
| ELLSWORTH GROWTH & INCOME FUND LTD | Director, Control Person of Adviser | Series B Cumulative Preferred Shares | 100K | $1M | $10.00 | Jun 26, 2024 | GPJ Retirement Partners |
| Gabelli Global Small & Mid Cap Value Trust | Director, Control Person of Adviser, 10%+ Owner | Series B Cumulative Preferred Shares | 88.2K | $882K | $10.00 | Sep 26, 2023 | GGCP, Inc. |
| Atlanta Braves Holdings, Inc. | 10%+ Owner | Series A Common Stock | 20K | $846K | $42.29 | Jul 3, 2024 | By: Limited Partnership IV |
| Gabelli Global Small & Mid Cap Value Trust | Director, Control Person of Adviser, 10%+ Owner | Series B Cumulative Preferred Shares | 70.6K | $706K | $10.00 | Sep 26, 2023 | Associated Capital Group, Inc. |
| Atlanta Braves Holdings, Inc. | 10%+ Owner | Series A Common Stock | 15K | $634K | $42.29 | Jul 3, 2024 | By: Limited Partnership I |
| Atlanta Braves Holdings, Inc. | 10%+ Owner | Series A Common Stock | 12.5K | $529K | $42.29 | Jul 3, 2024 | By: Limited Partnership II |
| BANCROFT FUND LTD | Director, Control Person of Adviser | Common Shares, Par Value $0.001 | 36K | $512K | $14.22 | Oct 26, 2023 | Associated Capital Group, Inc. |
| BANCROFT FUND LTD | Director, Control Person of Adviser | Common Shares | 29.5K | $481K | $16.31 | Jul 29, 2024 | Associated Capital Group, Inc. |
| GDL FUND | Director, Control Person of Adviser, 10%+ Owner | Common Shares, Par Value $0.001 | 57.3K | $459K | $8.01 | Dec 11, 2023 | GAMCO Investors, Inc. |
| GAMCO INVESTORS, INC. ET AL | Chairman & CEO, Director, 10%+ Owner | Class A Common Stock | 21K | $336K | $16.00 | May 14, 2021 | By: GGCP, Inc. |
| GAMCO Natural Resources, Gold & Income Trust | Control Person of Adviser, 10%+ Owner | Series B Cumulative Preferred Shares | 30K | $300K | $10.00 | Feb 22, 2024 | GPJ Retirement Partners |
| GABELLI MULTIMEDIA TRUST INC. | Director, Control Person of Adviser | Common Stock, Par Value $0.001 | 33.5K | $167K | $4.98 | Jul 29, 2024 | GPJ Retirement Partners |
| Atlanta Braves Holdings, Inc. | 10%+ Owner | Series A Common Stock | 3.8K | $161K | $42.29 | Jul 3, 2024 | By: Limited Partnership III |
| GAMCO INVESTORS, INC. ET AL | Chairman & CEO, Director, 10%+ Owner | Class A Common Stock | 8.64K | $138K | $16.00 | May 14, 2021 | Direct |
| GABELLI UTILITY TRUST | Director, Control Person of Adviser | Common Shares, Par Value $0.001 | 23.8K | $131K | $5.50 | Apr 25, 2022 | MJG IV Limited Partnership |
| Atlanta Braves Holdings, Inc. | 10%+ Owner | Series A Common Stock | 2.5K | $106K | $42.29 | Jul 3, 2024 | By: Limited Partnership V |
| Gabelli Healthcare & WellnessRx Trust | Director, Control Person of Adviser | Common Shares, Par Value $0.001 | 6.38K | $68.6K | $10.76 | Aug 19, 2024 | GPJ Retirement Partners |
| GABELLI CONVERTIBLE & INCOME SECURITIES FUND INC | Control Person of Adviser | Common Stock, Par Value $0.001 | 17.6K | $65.4K | $3.72 | Jul 29, 2024 | Gabelli & Company Investment Advisers, Inc. |
| GDL FUND | Director, Control Person of Adviser, 10%+ Owner | Common Shares, Par Value $0.001 | 7.36K | $59K | $8.01 | Dec 11, 2023 | Gabelli & Company Investment Advisers, Inc. |
| GABELLI MULTIMEDIA TRUST INC. | Director, Control Person of Adviser | Common Stock, Par Value $0.001 | 2.92K | $14.5K | $4.98 | Jul 29, 2024 | Gabelli & Company Investment Advisers, Inc. |
| GDL FUND | Director, Control Person of Adviser, 10%+ Owner | Series E Cumulative Preferred Shares | 0 | $0 | $10.00 | Mar 26, 2024 | Associated Capital Group, Inc. |
| GDL FUND | Director, Control Person of Adviser, 10%+ Owner | Series E Cumulative Preferred Shares | 0 | $0 | $10.00 | Mar 26, 2024 | Direct |
| GDL FUND | Director, Control Person of Adviser, 10%+ Owner | Series E Cumulative Preferred Shares | 0 | $0 | $10.00 | Mar 26, 2024 | GAMCO Investors, Inc. |
| GDL FUND | Director, Control Person of Adviser, 10%+ Owner | Series E Cumulative Preferred Shares | 0 | $0 | $10.00 | Mar 26, 2024 | GGCP, Inc. |
| Associated Capital Group, Inc. | Executive Chairman, Director, 10%+ Owner | Class B Common Stock | 18.4M | Mar 7, 2023 | Indirect | ||
| GAMCO INVESTORS, INC. ET AL | Chairman & CEO, Director, 10%+ Owner | Class B Common Stock | 18.3M | May 14, 2021 | By: GGCP Holdings, LLC | ||
| GAMCO INVESTORS, INC. ET AL | Chairman & CEO, Director, 10%+ Owner | Class B Common Stock | 453K | May 14, 2021 | Direct | ||
| Associated Capital Group, Inc. | Executive Chairman, Director, 10%+ Owner | Class A Common Stock | 77.2K | Mar 7, 2023 | By: GCCP, Inc. | ||
| Associated Capital Group, Inc. | Executive Chairman, Director, 10%+ Owner | Class A Common Stock | 77.2K | Mar 7, 2023 | By: GGCP, Inc. | ||
| GABELLI EQUITY TRUST INC | Director, Control Person of Adviser, 10%+ Owner | Series N Cumulative Preferred Shares | 50K | Jun 26, 2024 | GAMCO Investors, Inc. | ||
| GABELLI EQUITY TRUST INC | Director, Control Person of Adviser, 10%+ Owner | Series N Cumulative Preferred Shares | 16.8K | Jun 26, 2024 | Direct | ||
| Associated Capital Group, Inc. | Executive Chairman, Director, 10%+ Owner | Class A Common Stock | 5K | Mar 7, 2023 | Direct | ||
| GABELLI EQUITY TRUST INC | Director, Control Person of Adviser, 10%+ Owner | Series N Cumulative Preferred Shares | 5K | Jun 26, 2024 | GPJ Retirement Partners | ||
| GABELLI CONVERTIBLE & INCOME SECURITIES FUND INC | Control Person of Adviser | Series G Cumulative Preferred Stock | 0 | $10.00 | Dec 26, 2023 | Associated Capital Group, Inc. | |
| GABELLI CONVERTIBLE & INCOME SECURITIES FUND INC | Control Person of Adviser | Series G Cumulative Preferred Stock | 0 | $10.00 | Dec 26, 2023 | GAMCO Investors, Inc. | |
| GABELLI DIVIDEND & INCOME TRUST | Director, Control Person of Adviser | Series B Auction Rate Preferred Shares | 0 | Jun 26, 2024 | Direct | ||
| GABELLI GLOBAL UTILITY & INCOME TRUST | Control Person of Adviser, 10%+ Owner | Series B Cumulative Puttable and Callable Preferred Shares | 0 | $50.00 | Dec 26, 2023 | GAMCO Investors, Inc. | |
| Gabelli Go Anywhere Trust | Director, Control Person of Adviser | Common Shares, Par Value $0.001 | 0 | $16.76 | Sep 30, 2021 | Associated Capital Group, Inc. | |
| Gabelli Go Anywhere Trust | Director, Control Person of Adviser | Common Shares, Par Value $0.001 | 0 | $16.76 | Sep 30, 2021 | Direct | |
| Gabelli Go Anywhere Trust | Director, Control Person of Adviser | Common Shares, Par Value $0.001 | 0 | $16.76 | Sep 30, 2021 | E3M 2016, LLC | |
| Gabelli Go Anywhere Trust | Director, Control Person of Adviser | Common Shares, Par Value $0.001 | 0 | $16.76 | Sep 30, 2021 | MJG IV Limited Partnership | |
| Gabelli Go Anywhere Trust | Director, Control Person of Adviser | Series A Cumulative Puttable and Callable Preferred Shares | 0 | $40.00 | Sep 27, 2021 | Associated Capital Group, Inc. |
| Symbol | Company | Period | Transactions | Value $ | Form Type | Date Filed | Role |
|---|---|---|---|---|---|---|---|
| GRX | Gabelli Healthcare & WellnessRx Trust | Aug 19, 2024 | 1 | $53.8K | 4 | Aug 21, 2024 | Director, Control Person of Adviser |
| MPTI | M-tron Industries, Inc. | Aug 19, 2024 | 1 | $0 | 4 | Aug 20, 2024 | 10%+ Owner |
| GDV | GABELLI DIVIDEND & INCOME TRUST | Aug 5, 2024 | 1 | $15.8K | 4 | Aug 7, 2024 | Director, Control Person of Adviser |
| GDV | GABELLI DIVIDEND & INCOME TRUST | Aug 2, 2024 | 1 | $75.2K | 4 | Aug 5, 2024 | Director, Control Person of Adviser |
| BCV | BANCROFT FUND LTD | Jul 29, 2024 | 1 | -$24.5K | 4 | Jul 31, 2024 | Director, Control Person of Adviser |
| GGT | GABELLI MULTIMEDIA TRUST INC. | Jul 29, 2024 | 1 | $2.49K | 4 | Jul 31, 2024 | Director, Control Person of Adviser |
| GCV | GABELLI CONVERTIBLE & INCOME SECURITIES FUND INC | Jul 29, 2024 | 1 | -$5.3K | 4 | Jul 30, 2024 | Control Person of Adviser |
| GGT | GABELLI MULTIMEDIA TRUST INC. | Jul 25, 2024 | 2 | $350K | 4 | Jul 26, 2024 | Director, Control Person of Adviser |
| GGT | GABELLI MULTIMEDIA TRUST INC. | Jul 15, 2024 | 6 | -$2.47K | 4 | Jul 19, 2024 | Director, Control Person of Adviser |
| BATRA | Atlanta Braves Holdings, Inc. | Jul 3, 2024 | 1 | $21.1K | 4 | Jul 5, 2024 | 10%+ Owner |
| GRX.E | Gabelli Healthcare & WellnessRx Trust | Jun 26, 2024 | 1 | -$3.7M | 4 | Jun 28, 2024 | Director, Control Person of Adviser, 10%+ Owner |
| GAB.N | GABELLI EQUITY TRUST INC | Jun 26, 2024 | 1 | $1.18M | 4 | Jun 28, 2024 | Director, Control Person of Adviser, 10%+ Owner |
| ECF.B | ELLSWORTH GROWTH & INCOME FUND LTD | Jun 26, 2024 | 2 | -$1M | 4 | Jun 28, 2024 | Director, Control Person of Adviser |
| GDV.B | GABELLI DIVIDEND & INCOME TRUST | Jun 26, 2024 | 1 | -$200K | 4 | Jun 27, 2024 | Director, Control Person of Adviser |
| BATRA | Atlanta Braves Holdings, Inc. | Jun 25, 2024 | 1 | $19.9K | 4 | Jun 27, 2024 | 10%+ Owner |
| MPTI | M-tron Industries, Inc. | Jun 13, 2024 | 3 | -$46.8K | 4 | Jun 25, 2024 | 10%+ Owner |
| MPTI | M-tron Industries, Inc. | Jun 10, 2024 | 2 | $0 | 4 | Jun 13, 2024 | 10%+ Owner |
| BATRA | Atlanta Braves Holdings, Inc. | May 31, 2024 | 1 | $20.7K | 4 | Jun 3, 2024 | 10%+ Owner |
| GCV | GABELLI CONVERTIBLE & INCOME SECURITIES FUND INC | Apr 11, 2024 | 1 | -$2.08K | 4 | Apr 15, 2024 | Control Person of Adviser |
| BCV | BANCROFT FUND LTD | Apr 11, 2024 | 1 | -$30.9K | 4 | Apr 12, 2024 | Director, Control Person of Adviser |
| MPTI | M-tron Industries, Inc. | Apr 8, 2024 | 2 | $0 | 4 | May 29, 2024 | 10%+ Owner |
| BATRA | Atlanta Braves Holdings, Inc. | Apr 2, 2024 | 1 | $20.6K | 4 | Apr 3, 2024 | 10%+ Owner |
| BCV | BANCROFT FUND LTD | Mar 28, 2024 | 1 | -$63.6K | 4/A | Jul 31, 2024 | Director, Control Person of Adviser |
| BCV | BANCROFT FUND LTD | Mar 28, 2024 | 1 | -$31.8K | 4 | Apr 1, 2024 | Director, Control Person of Adviser |
| GDL.E | GDL FUND | Mar 26, 2024 | 4 | -$9.9M | 4 | Mar 28, 2024 | Director, Control Person of Adviser, 10%+ Owner |
| MPTI | M-tron Industries, Inc. | Mar 18, 2024 | 2 | -$13.3K | 4 | Apr 10, 2024 | 10%+ Owner |
| MPTI | M-tron Industries, Inc. | Mar 4, 2024 | 2 | $0 | 4 | Mar 14, 2024 | 10%+ Owner |
| GRX.G | Gabelli Healthcare & WellnessRx Trust | Feb 29, 2024 | 3 | $6.1M | 4 | Mar 1, 2024 | Director, Control Person of Adviser, 10%+ Owner |
| GAB.N | GABELLI EQUITY TRUST INC | Feb 29, 2024 | 2 | $6M | 4 | Mar 1, 2024 | Director, Control Person of Adviser, 10%+ Owner |
| GNT.B | GAMCO Natural Resources, Gold & Income Trust | Feb 22, 2024 | 5 | $8.7M | 4 | Apr 3, 2024 | Control Person of Adviser, 10%+ Owner |
| MPTI | M-tron Industries, Inc. | Feb 20, 2024 | 1 | $0 | 4 | Feb 22, 2024 | 10%+ Owner |
| BCV | BANCROFT FUND LTD | Feb 2, 2024 | 1 | -$30.8K | 4 | Feb 6, 2024 | Director, Control Person of Adviser |
| MPTI | M-tron Industries, Inc. | Jan 4, 2024 | 1 | $0 | 4 | Jan 8, 2024 | 10%+ Owner |
| MPTI | M-tron Industries, Inc. | Jan 3, 2024 | 1 | $0 | 4 | Jan 4, 2024 | 10%+ Owner |
| BCV | BANCROFT FUND LTD | Dec 28, 2023 | 1 | -$28.2K | 4 | Jan 2, 2024 | Director, Control Person of Adviser |
| GRX.G | Gabelli Healthcare & WellnessRx Trust | Dec 26, 2023 | 3 | -$6.11M | 4 | Dec 28, 2023 | Director, Control Person of Adviser, 10%+ Owner |
| GCV.G | GABELLI CONVERTIBLE & INCOME SECURITIES FUND INC | Dec 26, 2023 | 2 | -$3.5M | 4 | Dec 27, 2023 | Control Person of Adviser, 10%+ Owner |
| GLU.B | GABELLI GLOBAL UTILITY & INCOME TRUST | Dec 26, 2023 | 1 | -$2.99M | 4 | Dec 27, 2023 | Control Person of Adviser, 10%+ Owner |
| GDL | GDL FUND | Dec 11, 2023 | 1 | -$16K | 4 | Dec 13, 2023 | Director, Control Person of Adviser, 10%+ Owner |
| GRX | Gabelli Healthcare & WellnessRx Trust | Dec 11, 2023 | 1 | $54.3K | 4 | Dec 13, 2023 | Director, Control Person of Adviser |
| GGT | GABELLI MULTIMEDIA TRUST INC. | Dec 11, 2023 | 1 | -$26.1K | 4 | Dec 13, 2023 | Director, Control Person of Adviser |
| MPTI | M-tron Industries, Inc. | Dec 7, 2023 | 3 | $0 | 4 | Dec 29, 2023 | 10%+ Owner |
| GCV | GABELLI CONVERTIBLE & INCOME SECURITIES FUND INC | Dec 7, 2023 | 1 | -$13.9K | 4 | Dec 11, 2023 | Control Person of Adviser |
| MPTI | M-tron Industries, Inc. | Dec 7, 2023 | 1 | $0 | 4 | Dec 8, 2023 | 10%+ Owner |
| BCV | BANCROFT FUND LTD | Dec 7, 2023 | 1 | -$15.2K | 4 | Dec 8, 2023 | Director, Control Person of Adviser |
| MPTI | M-tron Industries, Inc. | Dec 7, 2023 | 2 | $0 | 4 | Dec 7, 2023 | 10%+ Owner |
| MACT | MachTen, Inc. | Dec 5, 2023 | 1 | $0 | 4 | Dec 7, 2023 | 10%+ Owner |
| GCV | GABELLI CONVERTIBLE & INCOME SECURITIES FUND INC | Nov 22, 2023 | 1 | -$17.1K | 4 | Nov 27, 2023 | Control Person of Adviser |
| GLU.B | GABELLI GLOBAL UTILITY & INCOME TRUST | Nov 20, 2023 | 1 | -$116K | 4 | Nov 22, 2023 | Control Person of Adviser, 10%+ Owner |
| MPTI | M-tron Industries, Inc. | Nov 20, 2023 | 2 | $0 | 4 | Nov 21, 2023 | 10%+ Owner |
| MPTI | M-tron Industries, Inc. | Nov 15, 2023 | 1 | $0 | 4 | Nov 16, 2023 | 10%+ Owner |
| MPTI | M-tron Industries, Inc. | Nov 13, 2023 | 1 | $0 | 4 | Nov 14, 2023 | 10%+ Owner |
| GGT | GABELLI MULTIMEDIA TRUST INC. | Nov 7, 2023 | 1 | -$20.9K | 4 | Nov 8, 2023 | Director, Control Person of Adviser |
| BCV | BANCROFT FUND LTD | Oct 26, 2023 | 1 | -$56.9K | 4 | Oct 27, 2023 | Director, Control Person of Adviser |
| MPTI | M-tron Industries, Inc. | Oct 10, 2023 | 1 | $0 | 4 | Oct 11, 2023 | 10%+ Owner |
| GGZ | Gabelli Global Small & Mid Cap Value Trust | Sep 26, 2023 | 3 | -$5.28M | 4 | Sep 28, 2023 | Director, Control Person of Adviser, 10%+ Owner |
| GGT | GABELLI MULTIMEDIA TRUST INC. | Sep 25, 2023 | 1 | $1.05K | 4 | Sep 27, 2023 | Director, Control Person of Adviser, 10%+ Owner |
| GLU | GABELLI GLOBAL UTILITY & INCOME TRUST | Sep 15, 2023 | 2 | $0 | 4 | Sep 15, 2023 | Control Person of Adviser, 10%+ Owner |
| MPTI | M-tron Industries, Inc. | Sep 13, 2023 | 1 | $3.77K | 4 | Sep 13, 2023 | 10%+ Owner |
| GLU | GABELLI GLOBAL UTILITY & INCOME TRUST | Sep 11, 2023 | 2 | -$287K | 4 | Sep 13, 2023 | Control Person of Adviser, 10%+ Owner |
| MPTI | M-tron Industries, Inc. | Sep 11, 2023 | 1 | $0 | 4 | Sep 12, 2023 | 10%+ Owner |
| MPTI | M-tron Industries, Inc. | Aug 23, 2023 | 1 | -$7.77K | 4 | Aug 24, 2023 | 10%+ Owner |
| GDL | GDL FUND | Aug 7, 2023 | 1 | $952 | 4 | Aug 8, 2023 | Director, Control Person of Adviser, 10%+ Owner |
| NONE | MachTen, Inc. | Jul 31, 2023 | 0 | $0 | 3 | Aug 2, 2023 | Other* |
| GDL | GDL FUND | Jul 31, 2023 | 1 | $3.97K | 4 | Aug 1, 2023 | Director, Control Person of Adviser, 10%+ Owner |
| GCV | GABELLI CONVERTIBLE & INCOME SECURITIES FUND INC | Jul 28, 2023 | 1 | -$42.6K | 4 | Aug 1, 2023 | Control Person of Adviser |
| ECF | ELLSWORTH GROWTH & INCOME FUND LTD | Jun 26, 2023 | 4 | -$250K | 4 | Jun 29, 2023 | Director, Control Person of Adviser |
| GGT | GABELLI MULTIMEDIA TRUST INC. | Jun 20, 2023 | 1 | -$41.4K | 4 | Jun 22, 2023 | Director, Control Person of Adviser |
| GDV | GABELLI DIVIDEND & INCOME TRUST | Jun 20, 2023 | 1 | -$83.7K | 4 | Jun 21, 2023 | Director, Control Person of Adviser |
| BCV | BANCROFT FUND LTD | Jun 8, 2023 | 1 | -$50.9K | 4 | Jun 12, 2023 | Director, Control Person of Adviser |
| GLU | GABELLI GLOBAL UTILITY & INCOME TRUST | May 30, 2023 | 1 | -$25.1K | 4 | Jun 1, 2023 | Control Person of Adviser |
| BCV | BANCROFT FUND LTD | May 1, 2023 | 1 | -$32.7K | 4 | May 3, 2023 | Director, Control Person of Adviser |
| GDL | GDL FUND | Apr 17, 2023 | 1 | -$15.7K | 4 | Apr 18, 2023 | Director, Control Person of Adviser, 10%+ Owner |
| BCV | BANCROFT FUND LTD | Apr 14, 2023 | 1 | -$199K | 4 | Apr 17, 2023 | Director, Control Person of Adviser |
| MPTI | M-tron Industries, Inc. | Apr 14, 2023 | 1 | -$5.8K | 4 | Apr 17, 2023 | 10%+ Owner |
| GDL | GDL FUND | Mar 27, 2023 | 1 | -$2.5M | 4 | Mar 28, 2023 | Director, Control Person of Adviser, 10%+ Owner |
| AC | Associated Capital Group, Inc. | Mar 7, 2023 | 1 | $0 | 4/A | Mar 13, 2023 | Executive Chairman, Director, 10%+ Owner |
| GDL | GDL FUND | Feb 10, 2023 | 1 | $16.2K | 4 | Feb 16, 2023 | Director, Control Person of Adviser, 10%+ Owner |
| GRX | Gabelli Healthcare & WellnessRx Trust | Jan 18, 2023 | 5 | $5.11M | 4 | Jan 20, 2023 | Director, Control Person of Adviser, 10%+ Owner |
| GCV | GABELLI CONVERTIBLE & INCOME SECURITIES FUND INC | Dec 29, 2022 | 2 | $3.5M | 4 | Jan 5, 2023 | Control Person of Adviser |
| MPTI | M-tron Industries, Inc. | Dec 28, 2022 | 1 | -$81.1K | 4 | Dec 30, 2022 | 10%+ Owner |
| GRX | Gabelli Healthcare & WellnessRx Trust | Dec 27, 2022 | 4 | -$11.3M | 4 | Dec 28, 2022 | Director, Control Person of Adviser, 10%+ Owner |
| GGT | GABELLI MULTIMEDIA TRUST INC. | Dec 6, 2022 | 1 | -$25.7K | 4 | Dec 8, 2022 | Director, Control Person of Adviser |
| GCV | GABELLI CONVERTIBLE & INCOME SECURITIES FUND INC | Dec 5, 2022 | 1 | -$26.8K | 4 | Dec 7, 2022 | Control Person of Adviser |
| GGT | GABELLI MULTIMEDIA TRUST INC. | Dec 1, 2022 | 1 | -$4.81K | 4 | Dec 5, 2022 | Director, Control Person of Adviser |
| GCV | GABELLI CONVERTIBLE & INCOME SECURITIES FUND INC | Dec 1, 2022 | 1 | -$25.3K | 4 | Dec 5, 2022 | Control Person of Adviser |
| GDV | GABELLI DIVIDEND & INCOME TRUST | Nov 7, 2022 | 1 | -$30.6K | 4 | Nov 9, 2022 | Director, Control Person of Adviser |
| GDL | GDL FUND | Oct 24, 2022 | 1 | $1.77K | 4 | Oct 26, 2022 | Director, Control Person of Adviser, 10%+ Owner |
| BCV | BANCROFT FUND LTD | Oct 19, 2022 | 1 | -$50.1K | 4 | Oct 21, 2022 | Director, Control Person of Adviser |
| GRX | Gabelli Healthcare & WellnessRx Trust | Oct 17, 2022 | 2 | $0 | 4 | Oct 20, 2022 | Director, Control Person of Adviser, 10%+ Owner |
| GRX | Gabelli Healthcare & WellnessRx Trust | Oct 17, 2022 | 2 | $0 | 4 | Oct 19, 2022 | Director, Control Person of Adviser, 10%+ Owner |
| GDL | GDL FUND | Oct 17, 2022 | 2 | $0 | 4 | Oct 19, 2022 | Director, Control Person of Adviser, 10%+ Owner |
| GGZ | Gabelli Global Small & Mid Cap Value Trust | Oct 17, 2022 | 2 | $0 | 4 | Oct 18, 2022 | Director, Control Person of Adviser, 10%+ Owner |
| MPTI | M-tron Industries, Inc. | Oct 7, 2022 | 0 | $0 | 3 | Oct 14, 2022 | 10%+ Owner |
| GDL | GDL FUND | Oct 7, 2022 | 1 | $9.47K | 4 | Oct 11, 2022 | Director, Control Person of Adviser, 10%+ Owner |
| GDL | GDL FUND | Oct 3, 2022 | 2 | $23.2K | 4 | Oct 5, 2022 | Director, Control Person of Adviser, 10%+ Owner |
| GGZ | Gabelli Global Small & Mid Cap Value Trust | Sep 26, 2022 | 6 | -$2.62M | 4 | Sep 29, 2022 | Director, Control Person of Adviser, 10%+ Owner |
| GDV | GABELLI DIVIDEND & INCOME TRUST | Aug 19, 2022 | 1 | -$46.7K | 4 | Aug 23, 2022 | Director, Control Person of Adviser |
| GLU | GABELLI GLOBAL UTILITY & INCOME TRUST | Jul 25, 2022 | 1 | -$100K | 4 | Jul 26, 2022 | Control Person of Adviser, 10%+ Owner |
| GDL | GDL FUND | Jul 18, 2022 | 1 | $7.43K | 4 | Jul 20, 2022 | Director, Control Person of Adviser, 10%+ Owner |
| ECF | ELLSWORTH GROWTH & INCOME FUND LTD | Jul 1, 2022 | 5 | $7.9M | 4 | Jul 7, 2022 | Director, Control Person of Adviser |
| GLU | GABELLI GLOBAL UTILITY & INCOME TRUST | Jun 30, 2022 | 3 | $1.83M | 4 | Jul 1, 2022 | Control Person of Adviser |
| BCV | BANCROFT FUND LTD | Jun 15, 2022 | 1 | $17.9K | 4 | Jun 17, 2022 | Director, Control Person of Adviser |
| GDV | GABELLI DIVIDEND & INCOME TRUST | Jun 14, 2022 | 1 | -$106K | 4 | Jun 16, 2022 | Director, Control Person of Adviser |
| GCV | GABELLI CONVERTIBLE & INCOME SECURITIES FUND INC | Jun 13, 2022 | 1 | -$42.9K | 4 | Jun 15, 2022 | Control Person of Adviser |
| GUT | GABELLI UTILITY TRUST | Apr 25, 2022 | 3 | $827K | 4 | Apr 27, 2022 | Director, Control Person of Adviser |
| GDL | GDL FUND | Mar 28, 2022 | 5 | $12.4M | 4 | Mar 30, 2022 | Director, Control Person of Adviser, 10%+ Owner |
| GCV | GABELLI CONVERTIBLE & INCOME SECURITIES FUND INC | Jan 10, 2022 | 1 | -$32.6K | 4 | Jan 12, 2022 | Control Person of Adviser |
| GAB | GABELLI EQUITY TRUST INC | Dec 17, 2021 | 2 | $6M | 4 | Dec 21, 2021 | Director, Control Person of Adviser |
| GCV | GABELLI CONVERTIBLE & INCOME SECURITIES FUND INC | Nov 12, 2021 | 2 | -$113K | 4 | Nov 16, 2021 | Director, Control Person of Adviser |
| GCV | GABELLI CONVERTIBLE & INCOME SECURITIES FUND INC | Nov 1, 2021 | 1 | -$2.24K | 4 | Nov 3, 2021 | Director, Control Person of Adviser |
| GGT | GABELLI MULTIMEDIA TRUST INC. | Nov 1, 2021 | 2 | -$22.5K | 4 | Nov 3, 2021 | Director, Control Person of Adviser |
| GGZ | Gabelli Global Small & Mid Cap Value Trust | Nov 1, 2021 | 6 | $12.6M | 4 | Nov 2, 2021 | Director, Control Person of Adviser, 10%+ Owner |
| GDL | GDL FUND | Oct 22, 2021 | 1 | -$32.3K | 4 | Oct 26, 2021 | Director, Control Person of Adviser, 10%+ Owner |
| GRX | Gabelli Healthcare & WellnessRx Trust | Oct 15, 2021 | 5 | $14M | 4 | Oct 19, 2021 | Director, Control Person of Adviser, 10%+ Owner |
| GDL | GDL FUND | Sep 30, 2021 | 1 | -$66.4K | 4 | Oct 4, 2021 | Director, Control Person of Adviser |
| GGO | Gabelli Go Anywhere Trust | Sep 30, 2021 | 4 | -$16M | 4 | Oct 4, 2021 | Director, Control Person of Adviser |
| GGO.A | Gabelli Go Anywhere Trust | Sep 27, 2021 | 1 | -$1.17M | 4 | Sep 29, 2021 | Director, Control Person of Adviser |
| GGT | GABELLI MULTIMEDIA TRUST INC. | Aug 31, 2021 | 6 | $5.12M | 4 | Sep 2, 2021 | Director, Control Person of Adviser |
| GGT | GABELLI MULTIMEDIA TRUST INC. | Aug 30, 2021 | 2 | $0 | 4 | Sep 1, 2021 | Director, Control Person of Adviser |
| GGT | GABELLI MULTIMEDIA TRUST INC. | Aug 27, 2021 | 1 | -$3.78K | 4 | Aug 31, 2021 | Director, Control Person of Adviser |
| BCV | BANCROFT FUND LTD | Aug 6, 2021 | 1 | -$62.1K | 4 | Aug 10, 2021 | Director, Control Person of Adviser |
| GAB | GABELLI EQUITY TRUST INC | Jul 21, 2021 | 3 | $1.24M | 4 | Jul 22, 2021 | Director, Control Person of Adviser |
| GGO | Gabelli Go Anywhere Trust | Jun 7, 2021 | 1 | -$6.6K | 4 | Jun 9, 2021 | Director, Control Person of Adviser |
| GGO | Gabelli Go Anywhere Trust | May 25, 2021 | 1 | -$27.9K | 4 | May 26, 2021 | Director, Control Person of Adviser |
| GGO | Gabelli Go Anywhere Trust | May 17, 2021 | 2 | -$16K | 4 | May 19, 2021 | Director, Control Person of Adviser |
| GAMI | GAMCO INVESTORS, INC. ET AL | May 14, 2021 | 2 | -$638K | 4 | May 17, 2021 | Chairman & CEO, Director, 10%+ Owner |
| GAMI | GAMCO INVESTORS, INC. ET AL | May 12, 2021 | 2 | -$774K | 4 | May 13, 2021 | Chairman & CEO, Director, 10%+ Owner |
| GAMI | GAMCO INVESTORS, INC. ET AL | May 10, 2021 | 2 | -$148K | 4 | May 11, 2021 | Chairman & CEO, Director, 10%+ Owner |
| GAMI | GAMCO INVESTORS, INC. ET AL | May 6, 2021 | 2 | -$29.4K | 4 | May 7, 2021 | Chairman & CEO, Director, 10%+ Owner |