Mario J. Gabelli - Sep 26, 2022 Form 4 Insider Report for Gabelli Global Small & Mid Cap Value Trust (GGZ)

Role
Director, Control Person of Adviser, 10%+ Owner
Signature
Douglas R. Jamieson as Attorney-in-Fact for Mario J. Gabelli
Stock symbol
GGZ
Transactions as of
Sep 26, 2022
Transactions value $
-$2,618,310
Form type
4
Date filed
9/29/2022, 03:51 PM
Previous filing
Aug 23, 2022
Next filing
Oct 5, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction GGZ Series B Cumulative Preferred Shares Other -$414K -41.4K -20.72% $10.00 159K Sep 26, 2022 Associated Capital Group, Inc. F1, F2
transaction GGZ Series B Cumulative Preferred Shares Other -$518K -51.8K -20.72% $10.00 198K Sep 26, 2022 GGCP, Inc. F1, F3
transaction GGZ Series B Cumulative Preferred Shares Other -$207K -20.7K -20.72% $10.00 79.3K Sep 26, 2022 GPJ Retirement Partners F1, F4
transaction GGZ Series B Cumulative Preferred Shares Other -$414K -41.4K -20.72% $10.00 159K Sep 26, 2022 E3M 2018, LLC F1, F5
transaction GGZ Series B Cumulative Preferred Shares Other -$725K -72.5K -20.72% $10.00 277K Sep 26, 2022 E3M Investors, LLC F1, F6
transaction GGZ Series B Cumulative Preferred Shares Other -$339K -33.9K -20.72% $10.00 130K Sep 26, 2022 Direct F1
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Shares of the outstanding Series B Cumulative Preferred Shares were surrendered in a pro rata allocation pursuant to a holder put option.
F2 The shares reported reflect the total shares owned by Associated Capital Group, Inc. (ACG). Mario J. Gabelli is the Executive Chair 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.
F3 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.
F4 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.
F5 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.
F6 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.