Mario J. Gabelli - Nov 1, 2021 Form 4 Insider Report for Gabelli Global Small & Mid Cap Value Trust (GGZ)

Role
Director, Control Person of Adviser, 10%+ Owner
Signature
Bruce N. Alpert as Attorney-in-Fact for Mario J. Gabelli
Stock symbol
GGZ
Transactions as of
Nov 1, 2021
Transactions value $
$12,635,000
Form type
4
Date filed
11/2/2021, 03:13 PM
Previous filing
Oct 26, 2021
Next filing
Nov 16, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction GGZ Series B Cumulative Preferred Shares Purchase $2M +200K $10.00 200K Nov 1, 2021 Associated Capital Group, Inc. F1
transaction GGZ Series B Cumulative Preferred Shares Purchase $2.5M +250K $10.00 250K Nov 1, 2021 GGCP, Inc. F2
transaction GGZ Series B Cumulative Preferred Shares Purchase $1.64M +164K $10.00 164K Nov 1, 2021 Direct
transaction GGZ Series B Cumulative Preferred Shares Purchase $1M +100K $10.00 100K Nov 1, 2021 GPJ Retirement Partners F3
transaction GGZ Series B Cumulative Preferred Shares Purchase $2M +200K $10.00 200K Nov 1, 2021 E3M 2018, LLC F4
transaction GGZ Series B Cumulative Preferred Shares Purchase $3.5M +350K $10.00 350K Nov 1, 2021 E3M Investors, LLC F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The shares reported reflect the total shares owned by Associated Capital Group, Inc. (AC). Mario J. Gabelli is the Executive Chairman and controlling shareholder of AC. Mr. Gabelli has less than a 100% interest in AC and disclaims beneficial ownership of the shares held by it which are in excess of his indirect pecuniary interest.
F2 The 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.
F3 The shares reported reflect the total shares owned by GPJ Retirement Partners, LLC, a limited liability company. 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.
F4 The shares being reported are held at E3M 2018, LLC, in which Mr. Gabelli has less than a 100% interest and disclaims beneficial ownership of the shares held by it which are in excess of his indirect pecuniary interest.
F5 The shares being reported are held at E3M Investors, LLC, in which Mr. Gabelli has less than a 100% interest and disclaims beneficial ownership of the shares held by it which are in excess of his indirect pecuniary interest.