Mario J. Gabelli - 17 Oct 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
Issuer symbol
GGZ
Transactions as of
17 Oct 2022
Net transactions value
$0
Form type
4
Filing time
18 Oct 2022, 19:58:54 UTC
Previous filing
11 Oct 2022
Next filing
21 Oct 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction GGZ Series B Cumulative Preferred Shares Sale $1,585,540 -158,554 -100% $10.00 0 17 Oct 2022 E3M 2018, LLC F1, F2
transaction GGZ Series B Cumulative Preferred Shares Purchase $1,585,540 +158,554 +122% $10.00 288,174 17 Oct 2022 Direct F1
holding GGZ Series B Cumulative Preferred Shares 158,554 17 Oct 2022 Associated Capital Group, Inc. F3
holding GGZ Series B Cumulative Preferred Shares 198,193 17 Oct 2022 GGCP, Inc. F4
holding GGZ Series B Cumulative Preferred Shares 79,278 17 Oct 2022 GPJ Retirement Partners F5
holding GGZ Series B Cumulative Preferred Shares 277,470 17 Oct 2022 E3M Investors, LLC F6
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Shares traded in a private transaction between related accounts
F2 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.
F3 The shares reported reflect the total shares owned by Associated Capital Group, Inc. (AC). Mario J. Gabelli is the Executive Chair 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.
F4 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.
F5 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.
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.