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GCV

GABELLI CONVERTIBLE & INCOME SECURITIES FUND INC

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6819
SEC CIK
0000845611
Parsed reports
67

Last 12 months

Inside the activity.

1 purchase rows · 0 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202510
Dec 202500
Jan 202600
Feb 202600
Mar 202600
Apr 202600
May 202600
Jun 202600
Jul 202600
Aug 202600
Sep 202600
Oct 202600

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
November 10, 2025 Filed Nov 19, 2025 19:33 UTC
GABELLI MARIO JControl Person of Adviser
PurchaseCommon Stock, Par Value $0.001 50,000 $4.29 $214,300.00
Disclosure

SEC source: 0001185533-25-000008 · primary_doc.xml · nonDerivative · entry 1

GABELLI MARIO J · CIK 0001185533 · Control Person of Adviser

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 486,501

Read SEC document
July 11, 2025 Filed Jul 15, 2025 16:02 UTC
GABELLI MARIO JControl Person of Adviser
SaleCommon Stock, Par Value $0.001 3,100 $3.86 $11,970.34
Disclosure

SEC source: 0001271163-25-000027 · primary_doc.xml · nonDerivative · entry 1

GABELLI MARIO J · CIK 0001185533 · Control Person of Adviser

10b5-1 filing: No plan indicated

Ownership: Indirect · Associated Capital Group, Inc.

Disclosed balance after: 323,325

F1 · ownership.nature: 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.

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July 01, 2025 Filed Jul 2, 2025 19:12 UTC
GABELLI MARIO JControl Person of Adviser
SaleCommon Stock, Par Value $0.001 5,000 $3.82 $19,077.50
Disclosure

SEC source: 0001271163-25-000026 · primary_doc.xml · nonDerivative · entry 1

GABELLI MARIO J · CIK 0001185533 · Control Person of Adviser

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 481,501

Read SEC document
June 26, 2025 Filed Jun 30, 2025 15:14 UTC PurchaseSeries H Cumulative Preferred Stock 25,000 $10.00 $250,000.00
Disclosure

SEC source: 0001271163-25-000021 · primary_doc.xml · nonDerivative · entry 1

DINSMORE THOMAS H · CIK 0001190030 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,000

Read SEC document
June 26, 2025 Filed Jun 30, 2025 15:08 UTC OtherSeries G Cumulative Preferred Stock 25,000 $10.00 $250,000.00
Disclosure

SEC source: 0001271163-25-000020 · primary_doc.xml · nonDerivative · entry 1

DINSMORE THOMAS H · CIK 0001190030 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · kind: The shares being reported were redeemed in accordance with the redemption of the outstanding Series G Cumulative Preferred Stock.

Read SEC document
February 10, 2025 Filed Feb 12, 2025 18:24 UTC
GABELLI MARIO JDirector · Control Person of Adviser
SaleCommon Stock, Par Value $0.001 999 $3.91 $3,901.49
Disclosure

SEC source: 0001271163-25-000007 · primary_doc.xml · nonDerivative · entry 1

GABELLI MARIO J · CIK 0001185533 · Director · Control Person of Adviser

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 486,501

Read SEC document
October 15, 2024 Filed Oct 17, 2024 01:08 UTC
GABELLI MARIO JControl Person of Adviser
SaleCommon Stock, Par Value $0.001 3,000 $3.73 $11,190.00
Disclosure

SEC source: 0001271163-24-000057 · primary_doc.xml · nonDerivative · entry 1

GABELLI MARIO J · CIK 0001185533 · Control Person of Adviser

10b5-1 filing: No plan indicated

Ownership: Indirect · GGCP, Inc.

Disclosed balance after: 1,089,000

F1 · ownership.nature: 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.

Read SEC document
September 05, 2024 Filed Sep 6, 2024 19:05 UTC
GABELLI MARIO JControl Person of Adviser
SaleCommon Stock, Par Value $0.001 8,000 $4.00 $32,023.20
Disclosure

SEC source: 0001271163-24-000053 · primary_doc.xml · nonDerivative · entry 1

GABELLI MARIO J · CIK 0001185533 · Control Person of Adviser

10b5-1 filing: No plan indicated

Ownership: Indirect · GGCP, Inc.

Disclosed balance after: 1,092,000

F1 · ownership.nature: 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.

Read SEC document
August 29, 2024 Filed Aug 30, 2024 19:18 UTC
GABELLI MARIO JControl Person of Adviser
SaleCommon Stock, Par Value $0.001 1,669 $3.81 $6,358.89
Disclosure

SEC source: 0001271163-24-000050 · primary_doc.xml · nonDerivative · entry 1

GABELLI MARIO J · CIK 0001185533 · Control Person of Adviser

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 487,500

Read SEC document
July 29, 2024 Filed Jul 30, 2024 23:24 UTC
GABELLI MARIO JControl Person of Adviser
SaleCommon Stock, Par Value $0.001 1,424 $3.72 $5,299.99
Disclosure

SEC source: 0001271163-24-000041 · primary_doc.xml · nonDerivative · entry 1

GABELLI MARIO J · CIK 0001185533 · Control Person of Adviser

10b5-1 filing: No plan indicated

Ownership: Indirect · Associated Capital Group, Inc.

Disclosed balance after: 326,425

F1 · ownership.nature: 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.

Read SEC document
April 11, 2024 Filed Apr 15, 2024 23:59 UTC
GABELLI MARIO JControl Person of Adviser
SaleCommon Stock, Par Value $0.001 576 $3.61 $2,079.36
Disclosure

SEC source: 0001271163-24-000028 · primary_doc.xml · nonDerivative · entry 1

GABELLI MARIO J · CIK 0001185533 · Control Person of Adviser

10b5-1 filing: No plan indicated

Ownership: Indirect · Associated Capital Group, Inc.

Disclosed balance after: 327,849

F1 · ownership.nature: 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.

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February 22, 2024 Filed Feb 22, 2024 21:09 UTC
Ball John ChesterPresident & Treasurer
PurchaseCommon Stock, Par Value $0.001 69 $3.64 $250.82
Disclosure

SEC source: 0001271163-24-000012 · primary_doc.xml · nonDerivative · entry 1

Ball John Chester · CIK 0001619773 · President & Treasurer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 69

Read SEC document
December 26, 2023 Filed Dec 27, 2023 22:59 UTC
GABELLI MARIO J10% owner · Control Person of Adviser
OtherSeries G Cumulative Preferred Stock 150,000 $10.00 $1,500,000.00
Disclosure

SEC source: 0001271163-23-000038 · primary_doc.xml · nonDerivative · entry 2

GABELLI MARIO J · CIK 0001185533 · 10% owner · Control Person of Adviser

10b5-1 filing: No plan indicated

Ownership: Indirect · GAMCO Investors, Inc.

Disclosed balance after: 0

F1 · kind: Shares were surrendered in accordance with Right to Put to the Fund up to 100% of Outstanding Series G Cumulative Puttable and Callable Preferred Stock.

F3 · ownership.nature: The shares reported reflect the total shares owned by GAMCO Investors, Inc. (GAMCO). Mario J. Gabelli is the Chairman, Chief Executive Officer, controlling shareholder of GAMCO and Chief Investment Officer of Value Portfolios of Gabelli Funds, LLC (the Adviser). Mr. Gabelli has less than a 100% interest in GAMCO and disclaims beneficial ownership of the shares held by it which are in excess of his indirect pecuniary interest.

Read SEC document
December 26, 2023 Filed Dec 27, 2023 22:59 UTC
GABELLI MARIO J10% owner · Control Person of Adviser
OtherSeries G Cumulative Preferred Stock 200,000 $10.00 $2,000,000.00
Disclosure

SEC source: 0001271163-23-000038 · primary_doc.xml · nonDerivative · entry 1

GABELLI MARIO J · CIK 0001185533 · 10% owner · Control Person of Adviser

10b5-1 filing: No plan indicated

Ownership: Indirect · Associated Capital Group, Inc.

Disclosed balance after: 0

F1 · kind: Shares were surrendered in accordance with Right to Put to the Fund up to 100% of Outstanding Series G Cumulative Puttable and Callable Preferred Stock.

F2 · ownership.nature: 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.

Read SEC document
December 26, 2023 Filed Dec 28, 2023 20:00 UTC OtherSeries G Cumulative Preferred Stock 50,000 $10.00 $500,000.00
Disclosure

SEC source: 0001271163-23-000039 · primary_doc.xml · nonDerivative · entry 1

ZIZZA SALVATORE J · CIK 0000929743 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · kind: Shares were surrendered in accordance with Right to Put to the Fund up to 100% of Outstanding Series G Cumulative Preferred Stock.

Read SEC document
December 07, 2023 Filed Dec 11, 2023 22:39 UTC
GABELLI MARIO JControl Person of Adviser
SaleCommon Stock, Par Value $0.001 4,000 $3.47 $13,884.80
Disclosure

SEC source: 0001271163-23-000033 · primary_doc.xml · nonDerivative · entry 1

GABELLI MARIO J · CIK 0001185533 · Control Person of Adviser

10b5-1 filing: No plan indicated

Ownership: Indirect · Associated Capital Group, Inc.

Disclosed balance after: 328,425

F1 · ownership.nature: 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.

Read SEC document
November 22, 2023 Filed Nov 27, 2023 19:52 UTC
GABELLI MARIO JControl Person of Adviser
SaleCommon Stock, Par Value $0.001 5,000 $3.42 $17,094.00
Disclosure

SEC source: 0001271163-23-000031 · primary_doc.xml · nonDerivative · entry 1

GABELLI MARIO J · CIK 0001185533 · Control Person of Adviser

10b5-1 filing: No plan indicated

Ownership: Indirect · Associated Capital Group, Inc.

Disclosed balance after: 332,425

F1 · ownership.nature: 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.

Read SEC document
July 28, 2023 Filed Aug 1, 2023 16:57 UTC
GABELLI MARIO JControl Person of Adviser
SaleCommon Stock, Par Value $0.001 10,000 $4.26 $42,625.00
Disclosure

SEC source: 0001271163-23-000017 · primary_doc.xml · nonDerivative · entry 1

GABELLI MARIO J · CIK 0001185533 · Control Person of Adviser

10b5-1 filing: No plan indicated

Ownership: Indirect · GGCP, Inc.

Disclosed balance after: 1,100,000

F1 · ownership.nature: 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.

Read SEC document
December 29, 2022 Filed Jan 3, 2023 22:36 UTC PurchaseSeries G Cumulative Preferred Stock 50,000 $10.00 $500,000.00
Disclosure

SEC source: 0001271163-23-000002 · primary_doc.xml · nonDerivative · entry 1

ZIZZA SALVATORE J · CIK 0000929743 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Read SEC document
December 29, 2022 Filed Jan 3, 2023 20:50 UTC PurchaseSeries G Cumulative Preferred Stock 25,000 $10.00 $250,000.00
Disclosure

SEC source: 0001271163-23-000001 · primary_doc.xml · nonDerivative · entry 1

DINSMORE THOMAS H · CIK 0001190030 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Read SEC document
December 29, 2022 Filed Jan 5, 2023 23:32 UTC
GABELLI MARIO JControl Person of Adviser
PurchaseSeries G Cumulative Preferred Stock 150,000 $10.00 $1,500,000.00
Disclosure

SEC source: 0001271163-23-000003 · primary_doc.xml · nonDerivative · entry 2

GABELLI MARIO J · CIK 0001185533 · Control Person of Adviser

10b5-1 filing: Not disclosed

Ownership: Indirect · GAMCO Investors, Inc.

Disclosed balance after: 150,000

F2 · ownership.nature: The shares reported reflect the total shares owned by GAMCO Investors, Inc. (GAMCO). Mario J. Gabelli is the Chairman, Chief Executive Officer, and controlling shareholder of GAMCO. Mr. Gabelli has less than a 100% interest in GAMCO and disclaims beneficial ownership of the shares held by it which are in excess of his indirect pecuniary interest.

Read SEC document
December 29, 2022 Filed Jan 5, 2023 23:32 UTC
GABELLI MARIO JControl Person of Adviser
PurchaseSeries G Cumulative Preferred Stock 200,000 $10.00 $2,000,000.00
Disclosure

SEC source: 0001271163-23-000003 · primary_doc.xml · nonDerivative · entry 1

GABELLI MARIO J · CIK 0001185533 · Control Person of Adviser

10b5-1 filing: Not disclosed

Ownership: Indirect · Associated Capital Group, Inc.

Disclosed balance after: 200,000

F1 · ownership.nature: 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.

Read SEC document
December 05, 2022 Filed Dec 8, 2022 00:34 UTC
GABELLI MARIO JControl Person of Adviser
SaleCommon Stock, Par Value $0.001 5,000 $5.36 $26,775.50
Disclosure

SEC source: 0001271163-22-000056 · primary_doc.xml · nonDerivative · entry 1

GABELLI MARIO J · CIK 0001185533 · Control Person of Adviser

10b5-1 filing: Not disclosed

Ownership: Indirect · GGCP, Inc.

Disclosed balance after: 1,110,000

F1 · ownership.nature: 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.

Read SEC document
December 01, 2022 Filed Dec 5, 2022 20:54 UTC
GABELLI MARIO JControl Person of Adviser
SaleCommon Stock, Par Value $0.001 5,000 $5.05 $25,251.00
Disclosure

SEC source: 0001271163-22-000054 · primary_doc.xml · nonDerivative · entry 1

GABELLI MARIO J · CIK 0001185533 · Control Person of Adviser

10b5-1 filing: Not disclosed

Ownership: Indirect · GGCP, Inc.

Disclosed balance after: 1,115,000

F1 · ownership.nature: 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.

Read SEC document
June 13, 2022 Filed Jun 16, 2022 01:47 UTC
GABELLI MARIO JControl Person of Adviser
SaleCommon Stock, Par Value $0.001 7,501 $5.72 $42,931.97
Disclosure

SEC source: 0001271163-22-000028 · primary_doc.xml · nonDerivative · entry 1

GABELLI MARIO J · CIK 0001185533 · Control Person of Adviser

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 489,169

Read SEC document
February 17, 2022 Filed Feb 18, 2022 20:02 UTC PurchaseCommon Stock, Par Value $0.001 150 $6.08 $911.85
Disclosure

SEC source: 0001271163-22-000013 · primary_doc.xml · nonDerivative · entry 1

Mullady Agnes · CIK 0001387823 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150

Read SEC document
January 10, 2022 Filed Jan 12, 2022 22:34 UTC
GABELLI MARIO JControl Person of Adviser
SaleCommon Stock, Par Value $0.001 5,000 $6.52 $32,578.00
Disclosure

SEC source: 0001271163-22-000001 · primary_doc.xml · nonDerivative · entry 1

GABELLI MARIO J · CIK 0001185533 · Control Person of Adviser

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 496,670

Read SEC document
November 15, 2021 Filed Nov 16, 2021 17:10 UTC
GABELLI MARIO JDirector · Control Person of Adviser
SaleCommon Stock, Par Value $0.001 9,000 $6.58 $59,185.80
Disclosure

SEC source: 0001271163-21-000090 · primary_doc.xml · nonDerivative · entry 2

GABELLI MARIO J · CIK 0001185533 · Director · Control Person of Adviser

10b5-1 filing: Not disclosed

Ownership: Indirect · GGCP, Inc.

Disclosed balance after: 1,120,000

F1 · ownership.nature: 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.

Read SEC document
November 12, 2021 Filed Nov 16, 2021 17:10 UTC
GABELLI MARIO JDirector · Control Person of Adviser
SaleCommon Stock, Par Value $0.001 8,000 $6.68 $53,453.60
Disclosure

SEC source: 0001271163-21-000090 · primary_doc.xml · nonDerivative · entry 1

GABELLI MARIO J · CIK 0001185533 · Director · Control Person of Adviser

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 501,670

Read SEC document
November 01, 2021 Filed Nov 3, 2021 19:24 UTC
GABELLI MARIO JDirector · Control Person of Adviser
SaleCommon Stock, Par Value $0.001 343 $6.54 $2,243.22
Disclosure

SEC source: 0001271163-21-000088 · primary_doc.xml · nonDerivative · entry 1

GABELLI MARIO J · CIK 0001185533 · Director · Control Person of Adviser

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 509,670

F1 · balance_after: Total includes shares acquired through dividend reinvestment subsequent to the initial purchase.

Read SEC document
May 14, 2021 Filed Feb 10, 2022 20:51 UTC
Birch JohnDirector
PurchaseCommon Stock, Par Value $0.001 1,624 $6.17 $10,020.08
Disclosure

SEC source: 0001271163-22-000007 · primary_doc.xml · nonDerivative · entry 4

Birch John · CIK 0001735230 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,069

Read SEC document
February 08, 2021 Filed May 19, 2021 18:24 UTC OtherCommon Stock, Par Value $0.001 1,541 $6.66 $10,263.06
Disclosure

SEC source: 0001271163-21-000038 · primary_doc.xml · nonDerivative · entry 1

ALPERT BRUCE N · CIK 0001185528 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,850.854

F1 · shares: The shares being reported were acquired from an estate inheritance.

Read SEC document
January 15, 2021 Filed Jan 20, 2021 21:25 UTC
GABELLI MARIO JDirector · Control Person of Adviser
SaleCommon Shares, Par Value $0.001 988 $6.28 $6,204.64
Disclosure

SEC source: 0001271163-21-000004 · primary_doc.xml · nonDerivative · entry 1

GABELLI MARIO J · CIK 0001185533 · Director · Control Person of Adviser

10b5-1 filing: Not disclosed

Ownership: Indirect · Associated Capital Group, Inc.

Disclosed balance after: 337,425

F1 · ownership.nature: The shares reported reflect the total shares owned by Associated Capital Group, Inc. (ACG). Mario J. Gabelli is the Executive Chairman 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.

Read SEC document
November 30, 2020 Filed Dec 2, 2020 00:36 UTC
GABELLI MARIO JDirector · Control Person of Adviser
SaleCommon Stock, Par Value $0.001 4,000 $5.87 $23,462.80
Disclosure

SEC source: 0001271163-20-000072 · primary_doc.xml · nonDerivative · entry 1

GABELLI MARIO J · CIK 0001185533 · Director · Control Person of Adviser

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 507,560

Read SEC document
November 12, 2020 Filed Feb 10, 2022 20:51 UTC
Birch JohnDirector
PurchaseCommon Stock, Par Value $0.001 149 $5.55 $826.95
Disclosure

SEC source: 0001271163-22-000007 · primary_doc.xml · nonDerivative · entry 3

Birch John · CIK 0001735230 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,445

Read SEC document
November 11, 2020 Filed Feb 10, 2022 20:51 UTC
Birch JohnDirector
PurchaseCommon Stock, Par Value $0.001 5,296 $5.52 $29,233.92
Disclosure

SEC source: 0001271163-22-000007 · primary_doc.xml · nonDerivative · entry 2

Birch John · CIK 0001735230 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,296

Read SEC document
August 20, 2020 Filed Aug 24, 2020 16:38 UTC
GABELLI MARIO JDirector · Control Person of Adviser
SaleCommon Stock, Par Value $0.001 4,198 $5.57 $23,362.71
Disclosure

SEC source: 0001271163-20-000053 · primary_doc.xml · nonDerivative · entry 1

GABELLI MARIO J · CIK 0001185533 · Director · Control Person of Adviser

10b5-1 filing: Not disclosed

Ownership: Indirect · GGCP, Inc.

Disclosed balance after: 1,129,000

F1 · ownership.nature: 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.

Read SEC document
July 23, 2020 Filed Jul 27, 2020 16:37 UTC
GABELLI MARIO JDirector · Control Person of Adviser
SaleCommon Stock, Par Value $0.001 2,000 $5.38 $10,769.60
Disclosure

SEC source: 0001271163-20-000050 · primary_doc.xml · nonDerivative · entry 1

GABELLI MARIO J · CIK 0001185533 · Director · Control Person of Adviser

10b5-1 filing: Not disclosed

Ownership: Indirect · Associated Capital Group, Inc.

Disclosed balance after: 338,413

F1 · ownership.nature: The shares reported reflect the total shares owned by Associated Capital Group, Inc. (ACG). Mario J. Gabelli is the Executive Chairman 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.

Read SEC document
July 16, 2020 Filed Jul 20, 2020 20:50 UTC
GABELLI MARIO JDirector · Control Person of Adviser
SaleCommon Stock, Par Value $0.001 6,000 $5.27 $31,595.40
Disclosure

SEC source: 0001271163-20-000049 · primary_doc.xml · nonDerivative · entry 1

GABELLI MARIO J · CIK 0001185533 · Director · Control Person of Adviser

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 510,170

F1 · balance_after: Total includes shares acquired through dividend reinvestment subsequent to the initial purchase.

Read SEC document
April 17, 2020 Filed Feb 10, 2022 20:51 UTC
Birch JohnDirector
PurchaseCommon Stock, Par Value $0.001 1,000 $4.69 $4,690.00
Disclosure

SEC source: 0001271163-22-000007 · primary_doc.xml · nonDerivative · entry 1

Birch John · CIK 0001735230 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,000

Read SEC document
January 30, 2020 Filed Feb 3, 2020 22:40 UTC
GABELLI MARIO JDirector · Control Person of Adviser
SaleCommon Stock, Par Value $0.001 4,000 $5.90 $23,583.60
Disclosure

SEC source: 0001271163-20-000015 · primary_doc.xml · nonDerivative · entry 1

GABELLI MARIO J · CIK 0001185533 · Director · Control Person of Adviser

10b5-1 filing: Not disclosed

Ownership: Indirect · GGCP, Inc.

Disclosed balance after: 1,133,198

F1 · ownership.nature: 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.

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January 27, 2020 Filed Jan 29, 2020 01:06 UTC
GABELLI MARIO JDirector · Control Person of Adviser
SaleCommon Stock, Par Value $0.001 6,000 $5.91 $35,488.20
Disclosure

SEC source: 0001271163-20-000014 · primary_doc.xml · nonDerivative · entry 2

GABELLI MARIO J · CIK 0001185533 · Director · Control Person of Adviser

10b5-1 filing: Not disclosed

Ownership: Indirect · GGCP, Inc.

Disclosed balance after: 1,137,198

F1 · ownership.nature: 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.

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January 24, 2020 Filed Jan 29, 2020 01:06 UTC
GABELLI MARIO JDirector · Control Person of Adviser
SaleCommon Stock, Par Value $0.001 802 $6.04 $4,844.08
Disclosure

SEC source: 0001271163-20-000014 · primary_doc.xml · nonDerivative · entry 1

GABELLI MARIO J · CIK 0001185533 · Director · Control Person of Adviser

10b5-1 filing: Not disclosed

Ownership: Indirect · GGCP, Inc.

Disclosed balance after: 1,143,198

F1 · ownership.nature: 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.

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January 21, 2020 Filed Jan 23, 2020 20:24 UTC
GABELLI MARIO JDirector · Control Person of Adviser
SaleCommon Stock, Par Value $0.001 6,732 $5.98 $40,229.09
Disclosure

SEC source: 0001271163-20-000009 · primary_doc.xml · nonDerivative · entry 1

GABELLI MARIO J · CIK 0001185533 · Director · Control Person of Adviser

10b5-1 filing: Not disclosed

Ownership: Indirect · GGCP, Inc.

Disclosed balance after: 1,144,000

F1 · ownership.nature: 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.

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January 15, 2020 Filed Jan 17, 2020 20:25 UTC
GABELLI MARIO JDirector · Control Person of Adviser
SaleCommon Stock, Par Value $0.001 4,782 $5.91 $28,281.23
Disclosure

SEC source: 0001271163-20-000005 · primary_doc.xml · nonDerivative · entry 1

GABELLI MARIO J · CIK 0001185533 · Director · Control Person of Adviser

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 512,862

F1 · balance_after: Total includes shares acquired through dividend reinvestment subsequent to the initial purchase.

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December 23, 2019 Filed Dec 26, 2019 21:18 UTC
GABELLI MARIO JDirector · Control Person of Adviser
SaleCommon Stock, Par Value $0.001 618 $5.89 $3,640.02
Disclosure

SEC source: 0001271163-19-000093 · primary_doc.xml · nonDerivative · entry 1

GABELLI MARIO J · CIK 0001185533 · Director · Control Person of Adviser

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 516,437

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December 19, 2019 Filed Dec 23, 2019 23:38 UTC
GABELLI MARIO JDirector · Control Person of Adviser
SaleCommon Stock, Par Value $0.001 100 $5.87 $587.00
Disclosure

SEC source: 0001271163-19-000091 · primary_doc.xml · nonDerivative · entry 1

GABELLI MARIO J · CIK 0001185533 · Director · Control Person of Adviser

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 517,055

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December 13, 2019 Filed Dec 18, 2019 00:17 UTC
GABELLI MARIO JDirector · Control Person of Adviser
SaleCommon Stock, Par Value $0.001 2,500 $5.87 $14,675.25
Disclosure

SEC source: 0001271163-19-000083 · primary_doc.xml · nonDerivative · entry 1

GABELLI MARIO J · CIK 0001185533 · Director · Control Person of Adviser

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 517,155

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December 11, 2019 Filed Dec 14, 2019 00:34 UTC
GABELLI MARIO JDirector · Control Person of Adviser
SaleCommon Stock, Par Value $0.001 456 $5.99 $2,733.54
Disclosure

SEC source: 0001271163-19-000082 · primary_doc.xml · nonDerivative · entry 1

GABELLI MARIO J · CIK 0001185533 · Director · Control Person of Adviser

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 519,655

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November 18, 2019 Filed Nov 19, 2019 23:05 UTC
GABELLI MARIO JDirector · Control Person of Adviser
OtherSeries B Cumulative Preferred Stock 4,100 $25.22 $103,388.47
Disclosure

SEC source: 0001271163-19-000064 · primary_doc.xml · nonDerivative · entry 1

GABELLI MARIO J · CIK 0001185533 · Director · Control Person of Adviser

10b5-1 filing: Not disclosed

Ownership: Indirect · Associated Capital Group, Inc.

Disclosed balance after: 0

F1 · kind: The shares being reported were redeemed in accordance with the redemption of all remaining outstanding Series B Cumulative Preferred Shares on November 18, 2019.

F2 · ownership.nature: The shares reported reflect the total shares owned by Associated Capital Group, Inc. (ACG). Mario J. Gabelli is the Executive Chairman 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.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.