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GDV

GABELLI DIVIDEND & INCOME TRUST

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Tapewire entity
4315
SEC CIK
0001260729
Parsed reports
96

Last 12 months

Inside the activity.

13 purchase rows · 1 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202510
Dec 202540
Jan 202660
Feb 202621
Mar 202600
Apr 202600
May 202600
Jun 202600
Jul 202600
Aug 202600
Sep 202600
Oct 202600

Latest available

Insider transactions

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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
February 18, 2026 Filed Jun 2, 2026 19:40 UTC SaleCommon Shares, Par Value $0.001 1,700 $29.15 $49,555.00
Disclosure

SEC source: 0001247238-26-000003 · primary_doc.xml · nonDerivative · entry 1

VANEKRIS ANTHONIE C · CIK 0001247238 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Read SEC document
February 17, 2026 Filed Feb 18, 2026 22:26 UTC
GABELLI MARIO JDirector · Control Person of Adviser
PurchaseCommon Shares, Par Value $0.001 4,500 $29.09 $130,919.85
Disclosure

SEC source: 0001185533-26-000008 · primary_doc.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Indirect · GGCP, Inc.

Disclosed balance after: 25,000

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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February 09, 2026 Filed Feb 10, 2026 18:49 UTC PurchaseCommon Shares, Par Value $0.001 684 $29.20 $19,970.00
Disclosure

SEC source: 0001644859-26-000001 · primary_doc.xml · nonDerivative · entry 1

Colavita Anthony S. · CIK 0001644859 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 684

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January 27, 2026 Filed Jan 28, 2026 17:21 UTC PurchaseCommon Shares, Par Value $0.001 400 $28.73 $11,491.96
Disclosure

SEC source: 0001200357-26-000003 · primary_doc.xml · nonDerivative · entry 1

BOGAN ELIZABETH C · CIK 0001200357 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 400

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January 27, 2026 Filed Jan 28, 2026 21:38 UTC
GABELLI MARIO JDirector · Control Person of Adviser
PurchaseCommon Shares, Par Value $0.001 5,500 $28.72 $157,945.70
Disclosure

SEC source: 0001185533-26-000007 · primary_doc.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Indirect · GGCP, Inc.

Disclosed balance after: 20,500

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, 2026 Filed Jan 28, 2026 17:02 UTC
CONN JAMES PDirector
PurchaseCommon Shares, Par Value $0.001 1,000 $28.73 $28,733.00
Disclosure

SEC source: 0001216778-26-000001 · primary_doc.xml · nonDerivative · entry 1

CONN JAMES P · CIK 0001216778 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,000

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January 23, 2026 Filed Jul 2, 2026 18:11 UTC PurchaseCommon Shares, Par Value $0.001 1,000 $28.52 $28,520.20
Disclosure

SEC source: 0001270868-26-000003 · primary_doc.xml · nonDerivative · entry 2

MELARKEY MICHAEL J · CIK 0001270868 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · Le Cle Investments

Disclosed balance after: 6,951.698

F1 · ownership.nature: Mr. Melarkey is a managing member of Le Cle Investments whose controlling members include trusts controlled by Mr. Melarkey.

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January 23, 2026 Filed Jul 2, 2026 18:11 UTC PurchaseCommon Shares, Par Value $0.001 1,000 $28.52 $28,520.20
Disclosure

SEC source: 0001270868-26-000003 · primary_doc.xml · nonDerivative · entry 1

MELARKEY MICHAEL J · CIK 0001270868 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,000

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January 12, 2026 Filed Jul 1, 2026 18:31 UTC PurchaseCommon Shares, Par Value $0.001 500 $28.57 $14,285.00
Disclosure

SEC source: 0000929743-26-000003 · primary_doc.xml · nonDerivative · entry 1

ZIZZA SALVATORE J · CIK 0000929743 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By spouse

Disclosed balance after: 1,586

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December 26, 2025 Filed Dec 31, 2025 20:40 UTC
GABELLI MARIO JDirector · 10% owner · Control Person of Adviser
PurchaseSeries M Cumulative Preferred Shares 2,218,500 $10.00 $22,185,000.00
Disclosure

SEC source: 0001185533-25-000018 · primary_doc.xml · nonDerivative · entry 4

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,350,000

Read SEC document
December 26, 2025 Filed Dec 31, 2025 20:40 UTC
GABELLI MARIO JDirector · 10% owner · Control Person of Adviser
PurchaseSeries M Cumulative Preferred Shares 200,000 $10.00 $2,000,000.00
Disclosure

SEC source: 0001185533-25-000018 · primary_doc.xml · nonDerivative · entry 3

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

10b5-1 filing: No plan indicated

Ownership: Indirect · GGCP, Inc.

Disclosed balance after: 1,700,000

F3 · 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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December 26, 2025 Filed Dec 31, 2025 20:40 UTC
GABELLI MARIO JDirector · 10% owner · Control Person of Adviser
PurchaseSeries M Cumulative Preferred Shares 3,000,000 $10.00 $30,000,000.00
Disclosure

SEC source: 0001185533-25-000018 · primary_doc.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Indirect · GAMCO Investors, Inc.

Disclosed balance after: 3,600,000

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.

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December 26, 2025 Filed Dec 31, 2025 20:40 UTC
GABELLI MARIO JDirector · 10% owner · Control Person of Adviser
PurchaseSeries M Cumulative Preferred Shares 400,000 $10.00 $4,000,000.00
Disclosure

SEC source: 0001185533-25-000018 · primary_doc.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Indirect · Associated Capital Group, Inc.

Disclosed balance after: 3,500,000

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.

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November 18, 2025 Filed Nov 20, 2025 18:42 UTC
GABELLI MARIO JDirector · Control Person of Adviser
PurchaseCommon Shares, Par Value $0.001 5,000 $26.49 $132,447.00
Disclosure

SEC source: 0001185533-25-000009 · primary_doc.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Indirect · GGCP, Inc.

Disclosed balance after: 15,000

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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October 23, 2025 Filed Dec 2, 2025 17:53 UTC SaleCommon Shares, Par Value $0.001 500 $26.86 $13,430.00
Disclosure

SEC source: 0001247238-25-000007 · primary_doc.xml · nonDerivative · entry 2

VANEKRIS ANTHONIE C · CIK 0001247238 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,700

Read SEC document
October 17, 2025 Filed Dec 2, 2025 17:53 UTC SaleCommon Shares, Par Value $0.001 420 $26.78 $11,248.06
Disclosure

SEC source: 0001247238-25-000007 · primary_doc.xml · nonDerivative · entry 1

VANEKRIS ANTHONIE C · CIK 0001247238 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,200

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February 12, 2025 Filed Feb 14, 2025 16:37 UTC PurchaseCommon Shares, Par Value $0.001 300 $24.96 $7,488.00
Disclosure

SEC source: 0001271163-25-000008 · primary_doc.xml · nonDerivative · entry 1

Laughlin Susan Watson · CIK 0001215044 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,206

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

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January 17, 2025 Filed Jan 22, 2025 18:54 UTC
GABELLI MARIO JDirector · Control Person of Adviser
PurchaseCommon Shares, Par Value $0.001 300 $24.81 $7,443.00
Disclosure

SEC source: 0001271163-25-000005 · primary_doc.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 145,812

Read SEC document
January 17, 2025 Filed Jan 22, 2025 18:54 UTC
GABELLI MARIO JDirector · Control Person of Adviser
PurchaseCommon Shares, Par Value $0.001 2,000 $24.83 $49,657.40
Disclosure

SEC source: 0001271163-25-000005 · 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: 145,512

Read SEC document
October 16, 2024 Filed Oct 18, 2024 23:27 UTC
GABELLI MARIO JDirector · Control Person of Adviser
PurchaseCommon Shares, Par Value $0.001 200 $24.94 $4,987.18
Disclosure

SEC source: 0001271163-24-000060 · 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: 143,512

Read SEC document
October 15, 2024 Filed Oct 17, 2024 01:16 UTC
GABELLI MARIO JDirector · Control Person of Adviser
PurchaseCommon Shares, Par Value $0.001 2,000 $24.90 $49,800.00
Disclosure

SEC source: 0001271163-24-000058 · primary_doc.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Indirect · GGCP, Inc.

Disclosed balance after: 10,000

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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October 11, 2024 Filed Oct 15, 2024 14:02 UTC PurchaseSeries M Cumulative Preferred Shares 500 $10.00 $5,000.00
Disclosure

SEC source: 0001271163-24-000055 · primary_doc.xml · nonDerivative · entry 1

Astorino Robert P. · CIK 0002025528 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 500

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October 11, 2024 Filed Oct 15, 2024 16:31 UTC PurchaseSeries M Cumulative Preferred Shares 10,000 $10.00 $100,000.00
Disclosure

SEC source: 0001271163-24-000054 · primary_doc.xml · nonDerivative · entry 1

Mullady Agnes · CIK 0001387823 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

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October 11, 2024 Filed Oct 15, 2024 21:33 UTC
GABELLI MARIO JDirector · Control Person of Adviser
PurchaseSeries M Cumulative Preferred Shares 3,131,500 $10.00 $31,315,000.00
Disclosure

SEC source: 0001271163-24-000056 · primary_doc.xml · nonDerivative · entry 5

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,131,500

Read SEC document
October 11, 2024 Filed Oct 15, 2024 21:33 UTC
GABELLI MARIO JDirector · Control Person of Adviser
PurchaseSeries M Cumulative Preferred Shares 80,000 $10.00 $800,000.00
Disclosure

SEC source: 0001271163-24-000056 · primary_doc.xml · nonDerivative · entry 4

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

10b5-1 filing: No plan indicated

Ownership: Indirect · GPJ Retirement Partners

Disclosed balance after: 80,000

F4 · ownership.nature: 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.

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October 11, 2024 Filed Oct 15, 2024 21:33 UTC
GABELLI MARIO JDirector · Control Person of Adviser
PurchaseSeries M Cumulative Preferred Shares 1,500,000 $10.00 $15,000,000.00
Disclosure

SEC source: 0001271163-24-000056 · primary_doc.xml · nonDerivative · entry 3

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

10b5-1 filing: No plan indicated

Ownership: Indirect · GGCP, Inc.

Disclosed balance after: 1,500,000

F3 · 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
October 11, 2024 Filed Oct 15, 2024 21:33 UTC
GABELLI MARIO JDirector · Control Person of Adviser
PurchaseSeries M Cumulative Preferred Shares 600,000 $10.00 $6,000,000.00
Disclosure

SEC source: 0001271163-24-000056 · primary_doc.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Indirect · GAMCO Investors, Inc.

Disclosed balance after: 600,000

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
October 11, 2024 Filed Oct 15, 2024 21:33 UTC
GABELLI MARIO JDirector · Control Person of Adviser
PurchaseSeries M Cumulative Preferred Shares 310,000 $10.00 $3,100,000.00
Disclosure

SEC source: 0001271163-24-000056 · primary_doc.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Indirect · Associated Capital Group, Inc.

Disclosed balance after: 310,000

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
October 11, 2024 Filed Oct 18, 2024 23:45 UTC Amendment
GABELLI MARIO JDirector · 10% owner · Control Person of Adviser
PurchaseSeries M Cumulative Preferred Shares 3,131,500 $10.00 $31,315,000.00
Disclosure

SEC source: 0001271163-24-000061 · primary_doc.xml · nonDerivative · entry 5

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,131,500

Read SEC document
October 11, 2024 Filed Oct 18, 2024 23:45 UTC Amendment
GABELLI MARIO JDirector · 10% owner · Control Person of Adviser
PurchaseSeries M Cumulative Preferred Shares 80,000 $10.00 $800,000.00
Disclosure

SEC source: 0001271163-24-000061 · primary_doc.xml · nonDerivative · entry 4

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

10b5-1 filing: No plan indicated

Ownership: Indirect · GPJ Retirement Partners

Disclosed balance after: 80,000

F5 · ownership.nature: 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.

Read SEC document
October 11, 2024 Filed Oct 18, 2024 23:45 UTC Amendment
GABELLI MARIO JDirector · 10% owner · Control Person of Adviser
PurchaseSeries M Cumulative Preferred Shares 1,500,000 $10.00 $15,000,000.00
Disclosure

SEC source: 0001271163-24-000061 · primary_doc.xml · nonDerivative · entry 3

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

10b5-1 filing: No plan indicated

Ownership: Indirect · GGCP, Inc.

Disclosed balance after: 1,500,000

F4 · 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
October 11, 2024 Filed Oct 18, 2024 23:45 UTC Amendment
GABELLI MARIO JDirector · 10% owner · Control Person of Adviser
PurchaseSeries M Cumulative Preferred Shares 600,000 $10.00 $6,000,000.00
Disclosure

SEC source: 0001271163-24-000061 · primary_doc.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Indirect · GAMCO Investors, Inc.

Disclosed balance after: 600,000

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
October 11, 2024 Filed Oct 18, 2024 23:45 UTC Amendment
GABELLI MARIO JDirector · 10% owner · Control Person of Adviser
PurchaseSeries M Cumulative Preferred Shares 3,100,000 $10.00 $31,000,000.00
Disclosure

SEC source: 0001271163-24-000061 · primary_doc.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Indirect · Associated Capital Group, Inc.

Disclosed balance after: 3,100,000

F1 · shares: Shares were originally reported as 310,000 and should have been 3,100,000

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.

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September 04, 2024 Filed Sep 5, 2024 19:24 UTC
GABELLI MARIO JDirector · Control Person of Adviser
PurchaseCommon Shares, Par Value $0.001 8,000 $23.80 $190,361.60
Disclosure

SEC source: 0001271163-24-000052 · primary_doc.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Indirect · GGCP, Inc.

Disclosed balance after: 8,000

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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August 05, 2024 Filed Aug 7, 2024 16:02 UTC
GABELLI MARIO JDirector · Control Person of Adviser
PurchaseCommon Shares, Par Value $0.001 720 $21.99 $15,832.80
Disclosure

SEC source: 0001271163-24-000047 · 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: 143,312

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August 02, 2024 Filed Aug 5, 2024 22:48 UTC
GABELLI MARIO JDirector · Control Person of Adviser
PurchaseCommon Shares, Par Value $0.001 3,280 $22.91 $75,155.95
Disclosure

SEC source: 0001271163-24-000046 · 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: 142,592

Read SEC document
June 28, 2024 Filed Jun 28, 2024 12:49 UTC
UBS Group AG10% owner
OtherAuction Preferred Stock 39 $25,000.00 $975,000.00
Disclosure

SEC source: 0001610520-24-000129 · primary_doc.xml · nonDerivative · entry 1

UBS Group AG · CIK 0001610520 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Subsidiary

Disclosed balance after: 0

F1 · security: CUSIP No. 36242H401 - Series C

F2 · balance_after: This filing reports holdings of the Series of Auction Preferred Stock identified in Item 1 of this Table I on an aggregated basis.

F3 · ownership.nature: This Statement is filed jointly by UBS Group AG for the benefit and on behalf of UBS Securities LLC and UBS Financial Services Inc., two wholly owned subsidiaries of UBS Group AG to which UBS Group AG has delegated portions of its performance obligations with respect to the Auction Rate Securities Rights issued by UBS Group AG to certain clients.

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June 27, 2024 Filed Jun 27, 2024 13:48 UTC
UBS Group AG10% owner
OtherAuction Preferred Stock 6 $25,000.00 $150,000.00
Disclosure

SEC source: 0001610520-24-000127 · primary_doc.xml · nonDerivative · entry 1

UBS Group AG · CIK 0001610520 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Subsidiary

Disclosed balance after: 0

F1 · security: CUSIP No. 36242H609

F3 · balance_after: This filing reports holdings of the Series of Auction Preferred Stock identified in Item 1 of this Table I on an aggregated basis.

F2 · ownership.nature: This Statement is filed jointly by UBS Group AG for the benefit and on behalf of UBS Securities LLC and UBS Financial Services Inc., two wholly owned subsidiaries of UBS Group AG to which UBS Group AG has delegated portions of its performance obligations with respect to the Auction Rate Securities Rights issued by UBS Group AG to certain clients.

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June 26, 2024 Filed Jun 26, 2024 15:47 UTC
UBS Group AG10% owner
OtherAuction Preferred Stock 19 $25,000.00 $475,000.00
Disclosure

SEC source: 0001610520-24-000125 · primary_doc.xml · nonDerivative · entry 1

UBS Group AG · CIK 0001610520 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Subsidiary

Disclosed balance after: 0

F3 · security: 36242H302, Series B

F2 · balance_after: This filing reports holdings of the Series of Auction Preferred Stock identified in Item 1 of this Table I on an aggregated basis.

F1 · ownership.nature: This Statement is filed jointly by UBS Group AG for the benefit and on behalf of UBS Securities LLC and UBS Financial Services Inc., two wholly owned subsidiaries of UBS Group AG to which UBS Group AG has delegated portions of its performance obligations with respect to the Auction Rate Securities Rights issued by UBS Group AG to certain clients.

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June 26, 2024 Filed Jun 28, 2024 01:35 UTC
GABELLI MARIO JDirector · Control Person of Adviser
OtherSeries B Auction Rate Preferred Shares 8 $25,000.00 $200,000.00
Disclosure

SEC source: 0001271163-24-000031 · 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: 0

F1 · kind: The shares being reported were redeemed in accordance with the redemption of all remaining outstanding Series B Auction Rate Preferred Shares on June 26, 2024.

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June 11, 2024 Filed Jun 12, 2024 11:41 UTC PurchaseCommon Shares, Par Value $0.001 200 $22.75 $4,550.00
Disclosure

SEC source: 0001271163-24-000030 · primary_doc.xml · nonDerivative · entry 1

Astorino Robert P. · CIK 0002025528 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 200

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February 22, 2024 Filed Feb 22, 2024 21:18 UTC
Ball John ChesterPresident & Treasurer
PurchaseCommon Shares, Par Value $0.001 12 $22.38 $268.57
Disclosure

SEC source: 0001271163-24-000013 · primary_doc.xml · nonDerivative · entry 1

Ball John Chester · CIK 0001619773 · President & Treasurer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12

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June 08, 2023 Filed Jun 21, 2023 19:29 UTC
GABELLI MARIO JDirector · Control Person of Adviser
SaleCommon Shares, Par Value $0.001 4,000 $20.92 $83,678.40
Disclosure

SEC source: 0001271163-23-000014 · primary_doc.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Indirect · Associated Capital Group, Inc.

Disclosed balance after: 626,000

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.

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November 07, 2022 Filed Nov 10, 2022 00:28 UTC
GABELLI MARIO JDirector · Control Person of Adviser
SaleCommon Shares, Par Value $0.001 1,500 $20.41 $30,620.85
Disclosure

SEC source: 0001271163-22-000052 · 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: 139,313

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August 19, 2022 Filed Aug 23, 2022 20:32 UTC
GABELLI MARIO JDirector · Control Person of Adviser
SaleCommon Shares, Par Value $0.001 2,063 $22.66 $46,740.98
Disclosure

SEC source: 0001271163-22-000041 · 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: 140,812.57

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

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June 14, 2022 Filed Jun 17, 2022 01:15 UTC
GABELLI MARIO JDirector · Control Person of Adviser
SaleCommon Shares, Par Value $0.001 5,218 $20.26 $105,718.25
Disclosure

SEC source: 0001271163-22-000029 · 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: 630,000

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.

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March 14, 2022 Filed Mar 15, 2022 21:17 UTC PurchaseSeries K Cumulative Preferred Shares 4,000 $21.05 $84,200.00
Disclosure

SEC source: 0001271163-22-000019 · primary_doc.xml · nonDerivative · entry 1

ALPERT BRUCE N · CIK 0001185528 · President

10b5-1 filing: Not disclosed

Ownership: Indirect · By spouse

Disclosed balance after: 4,000

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February 17, 2022 Filed Feb 18, 2022 19:29 UTC PurchaseCommon Shares, Par Value $0.001 150 $24.60 $3,690.00
Disclosure

SEC source: 0001271163-22-000011 · primary_doc.xml · nonDerivative · entry 1

Mullady Agnes · CIK 0001387823 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150

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February 10, 2022 Filed Aug 19, 2022 18:58 UTC SaleCommon Shares, Par Value $0.001 2,000 $25.36 $50,721.00
Disclosure

SEC source: 0001271163-22-000040 · primary_doc.xml · nonDerivative · entry 1

VANEKRIS ANTHONIE C · CIK 0001247238 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,620

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January 31, 2022 Filed Feb 2, 2022 23:41 UTC OtherSeries G Cumulative Preferred Shares 500 $25.00 $12,500.00
Disclosure

SEC source: 0001271163-22-000003 · primary_doc.xml · nonDerivative · entry 2

ALPERT BRUCE N · CIK 0001185528 · President

10b5-1 filing: Not disclosed

Ownership: Indirect · By spouse

Disclosed balance after: 0

F1 · kind: The shares being reported were redeemed in accordance with the redemption of the outstanding Series G Cumulative Preferred Shares on January 31, 2022.

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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.