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NYSE · USD

GUT

GABELLI UTILITY TRUST

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Tapewire entity
8864
SEC CIK
0001080720
Parsed reports
51

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Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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Dec 202500
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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 22, 2024 Filed Nov 26, 2024 19:25 UTC SaleGUT 5.25% 31-DEC-2024 Promissory Note 20,249,064 $99.92 $2,023,286,474.88
Disclosure

SEC source: 0000070858-24-000328 · doc4.xml · nonDerivative · entry 1

BANK OF AMERICA CORP /DE/ · CIK 0000070858 · 10% owner

BANK OF AMERICA NA · CIK 0001102113 · 10% owner

BOFA SECURITIES, INC. · CIK 0001675365 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 0

F1 · security: The Promissory Note reported as disposed in Table 1, with $20,249,064 face amount, represents a debt security issued by The Gabelli Utility Trust (the "Issuer") that was beneficially owned by Bank of America N.A. ("BANA"). The Promissory Note was sold by BANA in a private sale transaction in which BofA Securities, Inc. (?BOFAS?) acted as riskless-principal.

F1 · kind: The Promissory Note reported as disposed in Table 1, with $20,249,064 face amount, represents a debt security issued by The Gabelli Utility Trust (the "Issuer") that was beneficially owned by Bank of America N.A. ("BANA"). The Promissory Note was sold by BANA in a private sale transaction in which BofA Securities, Inc. (?BOFAS?) acted as riskless-principal.

F1 · price: The Promissory Note reported as disposed in Table 1, with $20,249,064 face amount, represents a debt security issued by The Gabelli Utility Trust (the "Issuer") that was beneficially owned by Bank of America N.A. ("BANA"). The Promissory Note was sold by BANA in a private sale transaction in which BofA Securities, Inc. (?BOFAS?) acted as riskless-principal.

F3 · ownership.nature: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate, or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer.

F2 · ownership.nature: This statement is jointly filed by Bank of America Corporation ("Bank of America"), BANA and BOFAS. Bank of America holds an indirect interest of the securities listed in Table I (the "Securities") by virtue of its indirect ownership of its subsidiaries, BANA and BOFAS. Each reporting person is currently analyzing additional trading activity and expect to file another Form 4 as promptly as reasonably practicable once that analysis is complete.

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November 06, 2024 Filed Dec 20, 2024 21:16 UTC SaleCommon Stock 5 $5.04 $25.18
Disclosure

SEC source: 0001140361-24-050093 · form4.xml · nonDerivative · entry 4

BANK OF AMERICA CORP /DE/ · CIK 0000070858 · 10% owner

MERRILL LYNCH, PIERCE, FENNER & SMITH INC. · CIK 0000728612 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

F1 · security: This statement is jointly filed by Bank of America Corporation, and Merrill Lynch, Pierce, Fenner & Smith Incorporated ("Merrill Lynch") (together, the "Reporting Persons"). Bank of America Corporation holds an indirect interest in the securities listed in this Report by virtue of its 100% ownership of its subsidiary Merrill Lynch. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Securities Exchange Act of 1934 (the "Exchange Act"), or for any other purpose. This statement reflects the addition of new Reporting Persons that engaged in reportable transactions and the elimination of Reporting Persons that no longer beneficially own any reportable securities.

F2 · security: Each Reporting Person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the Exchange Act or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer.

F3 · security: Without conceding its status as a greater than 10% beneficial owner or that the reported transactions are subject to disclosure under Section 16(a) of the Exchange Act or short-swing profit recovery under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that the Reporting Persons were greater than 10% beneficial owners and the transactions were subject to Section 16(b) has been or will be remitted to the Issuer.

F1 · ownership.nature: This statement is jointly filed by Bank of America Corporation, and Merrill Lynch, Pierce, Fenner & Smith Incorporated ("Merrill Lynch") (together, the "Reporting Persons"). Bank of America Corporation holds an indirect interest in the securities listed in this Report by virtue of its 100% ownership of its subsidiary Merrill Lynch. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Securities Exchange Act of 1934 (the "Exchange Act"), or for any other purpose. This statement reflects the addition of new Reporting Persons that engaged in reportable transactions and the elimination of Reporting Persons that no longer beneficially own any reportable securities.

F2 · ownership.nature: Each Reporting Person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the Exchange Act or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer.

F3 · ownership.nature: Without conceding its status as a greater than 10% beneficial owner or that the reported transactions are subject to disclosure under Section 16(a) of the Exchange Act or short-swing profit recovery under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that the Reporting Persons were greater than 10% beneficial owners and the transactions were subject to Section 16(b) has been or will be remitted to the Issuer.

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November 05, 2024 Filed Dec 20, 2024 21:16 UTC PurchaseCommon Stock 5 $5.04 $25.19
Disclosure

SEC source: 0001140361-24-050093 · form4.xml · nonDerivative · entry 3

BANK OF AMERICA CORP /DE/ · CIK 0000070858 · 10% owner

MERRILL LYNCH, PIERCE, FENNER & SMITH INC. · CIK 0000728612 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 5

F1 · security: This statement is jointly filed by Bank of America Corporation, and Merrill Lynch, Pierce, Fenner & Smith Incorporated ("Merrill Lynch") (together, the "Reporting Persons"). Bank of America Corporation holds an indirect interest in the securities listed in this Report by virtue of its 100% ownership of its subsidiary Merrill Lynch. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Securities Exchange Act of 1934 (the "Exchange Act"), or for any other purpose. This statement reflects the addition of new Reporting Persons that engaged in reportable transactions and the elimination of Reporting Persons that no longer beneficially own any reportable securities.

F2 · security: Each Reporting Person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the Exchange Act or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer.

F3 · security: Without conceding its status as a greater than 10% beneficial owner or that the reported transactions are subject to disclosure under Section 16(a) of the Exchange Act or short-swing profit recovery under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that the Reporting Persons were greater than 10% beneficial owners and the transactions were subject to Section 16(b) has been or will be remitted to the Issuer.

F1 · ownership.nature: This statement is jointly filed by Bank of America Corporation, and Merrill Lynch, Pierce, Fenner & Smith Incorporated ("Merrill Lynch") (together, the "Reporting Persons"). Bank of America Corporation holds an indirect interest in the securities listed in this Report by virtue of its 100% ownership of its subsidiary Merrill Lynch. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Securities Exchange Act of 1934 (the "Exchange Act"), or for any other purpose. This statement reflects the addition of new Reporting Persons that engaged in reportable transactions and the elimination of Reporting Persons that no longer beneficially own any reportable securities.

F2 · ownership.nature: Each Reporting Person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the Exchange Act or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer.

F3 · ownership.nature: Without conceding its status as a greater than 10% beneficial owner or that the reported transactions are subject to disclosure under Section 16(a) of the Exchange Act or short-swing profit recovery under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that the Reporting Persons were greater than 10% beneficial owners and the transactions were subject to Section 16(b) has been or will be remitted to the Issuer.

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October 25, 2024 Filed Oct 25, 2024 18:34 UTC OtherCommon Shares, Par Value $0.001 2,182 $5.00 $10,910.00
Disclosure

SEC source: 0001271163-24-000063 · primary_doc.xml · nonDerivative · entry 1

ZIZZA SALVATORE J · CIK 0000929743 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,090

F1 · shares: The reporting person acquired these common shares through the exercise of common share purchase rights.

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October 25, 2024 Filed Oct 25, 2024 18:56 UTC
CONN JAMES PDirector
OtherCommon Shares, Par Value $0.001 200 $5.00 $1,000.00
Disclosure

SEC source: 0001271163-24-000064 · primary_doc.xml · nonDerivative · entry 1

CONN JAMES P · CIK 0001216778 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,507

F1 · kind: The reporting person acquired these common shares through the exercise of common share purchase rights.

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October 25, 2024 Filed Oct 28, 2024 15:57 UTC
Ball John ChesterPresident & Treasurer
OtherCommon Shares, Par Value $0.001 40 $5.00 $200.00
Disclosure

SEC source: 0001271163-24-000065 · primary_doc.xml · nonDerivative · entry 1

Ball John Chester · CIK 0001619773 · President & Treasurer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 86

F1 · kind: The reporting person acquired these common shares through a primary and oversubscription allocation based on the exercise of common share purchase rights.

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October 25, 2024 Filed Oct 29, 2024 15:46 UTC
GABELLI MARIO JDirector · Control Person of Adviser
OtherCommon Shares, Par Value $0.001 55,170 $5.00 $275,850.00
Disclosure

SEC source: 0001271163-24-000066 · primary_doc.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Indirect · GGCP, Inc.

Disclosed balance after: 331,023

F1 · kind: The reporting person acquired these common shares through the exercise of common share purchase rights.

F2 · 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 25, 2024 Filed Oct 29, 2024 15:46 UTC
GABELLI MARIO JDirector · Control Person of Adviser
OtherCommon Shares, Par Value $0.001 50,000 $5.00 $250,000.00
Disclosure

SEC source: 0001271163-24-000066 · 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: 953,866

F1 · kind: The reporting person acquired these common shares through the exercise of common share purchase rights.

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October 16, 2024 Filed Oct 23, 2024 19:49 UTC
CONN JAMES PDirector
SaleSubscription Rights for Common Shares · Derivative 310 $0.02 Strike: $5.00 $5.36
Disclosure

SEC source: 0001271163-24-000062 · primary_doc.xml · derivative · entry 1

CONN JAMES P · CIK 0001216778 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,000

Underlying: Common Shares, Par Value $0.001 · 310 shares

Expires 2024-10-21

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June 28, 2024 Filed Jul 3, 2024 01:56 UTC SaleSeries C Preferred Shares 263 $23.78 $6,252.83
Disclosure

SEC source: 0001140361-24-032295 · form4.xml · nonDerivative · entry 2

BANK OF AMERICA CORP /DE/ · CIK 0000070858 · 10% owner

MERRILL LYNCH, PIERCE, FENNER & SMITH INC. · CIK 0000728612 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 0

F1 · security: This statement is jointly filed by Bank of America Corporation and Merrill Lynch, Pierce, Fenner & Smith Incorporated ("Merrill Lynch") (collectively, the "Reporting Persons"). Bank of America Corporation holds an indirect interest in the securities listed in this Report by virtue of its 100% ownership of its subsidiary Merrill Lynch. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Securities Exchange Act of 1934 (the "Exchange Act"), or for any other purpose. Each reporting person is currently analyzing additional trading activity and expect to file another Form 4 as promptly as reasonably practicable once that analysis is complete.

F2 · security: Each Reporting Person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the Exchange Act or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer.

F3 · security: Without conceding its status as a greater than 10% beneficial owner or that the reported transactions are subject to disclosure under Section 16(a) of the Exchange Act or short-swing profit recovery under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that the Reporting Persons were greater than 10% beneficial owners and the transactions were subject to Section 16(b) will be remitted to the Issuer.

F1 · ownership.nature: This statement is jointly filed by Bank of America Corporation and Merrill Lynch, Pierce, Fenner & Smith Incorporated ("Merrill Lynch") (collectively, the "Reporting Persons"). Bank of America Corporation holds an indirect interest in the securities listed in this Report by virtue of its 100% ownership of its subsidiary Merrill Lynch. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Securities Exchange Act of 1934 (the "Exchange Act"), or for any other purpose. Each reporting person is currently analyzing additional trading activity and expect to file another Form 4 as promptly as reasonably practicable once that analysis is complete.

F2 · ownership.nature: Each Reporting Person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the Exchange Act or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer.

F3 · ownership.nature: Without conceding its status as a greater than 10% beneficial owner or that the reported transactions are subject to disclosure under Section 16(a) of the Exchange Act or short-swing profit recovery under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that the Reporting Persons were greater than 10% beneficial owners and the transactions were subject to Section 16(b) will be remitted to the Issuer.

Read SEC document
June 28, 2024 Filed Jul 3, 2024 01:56 UTC PurchaseSeries C Preferred Shares 263 $23.75 $6,244.94
Disclosure

SEC source: 0001140361-24-032295 · form4.xml · nonDerivative · entry 1

BANK OF AMERICA CORP /DE/ · CIK 0000070858 · 10% owner

MERRILL LYNCH, PIERCE, FENNER & SMITH INC. · CIK 0000728612 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 263

F1 · security: This statement is jointly filed by Bank of America Corporation and Merrill Lynch, Pierce, Fenner & Smith Incorporated ("Merrill Lynch") (collectively, the "Reporting Persons"). Bank of America Corporation holds an indirect interest in the securities listed in this Report by virtue of its 100% ownership of its subsidiary Merrill Lynch. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Securities Exchange Act of 1934 (the "Exchange Act"), or for any other purpose. Each reporting person is currently analyzing additional trading activity and expect to file another Form 4 as promptly as reasonably practicable once that analysis is complete.

F2 · security: Each Reporting Person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the Exchange Act or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer.

F3 · security: Without conceding its status as a greater than 10% beneficial owner or that the reported transactions are subject to disclosure under Section 16(a) of the Exchange Act or short-swing profit recovery under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that the Reporting Persons were greater than 10% beneficial owners and the transactions were subject to Section 16(b) will be remitted to the Issuer.

F1 · ownership.nature: This statement is jointly filed by Bank of America Corporation and Merrill Lynch, Pierce, Fenner & Smith Incorporated ("Merrill Lynch") (collectively, the "Reporting Persons"). Bank of America Corporation holds an indirect interest in the securities listed in this Report by virtue of its 100% ownership of its subsidiary Merrill Lynch. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Securities Exchange Act of 1934 (the "Exchange Act"), or for any other purpose. Each reporting person is currently analyzing additional trading activity and expect to file another Form 4 as promptly as reasonably practicable once that analysis is complete.

F2 · ownership.nature: Each Reporting Person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the Exchange Act or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer.

F3 · ownership.nature: Without conceding its status as a greater than 10% beneficial owner or that the reported transactions are subject to disclosure under Section 16(a) of the Exchange Act or short-swing profit recovery under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that the Reporting Persons were greater than 10% beneficial owners and the transactions were subject to Section 16(b) will be remitted to the Issuer.

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June 17, 2024 Filed Dec 20, 2024 21:16 UTC SaleCommon Stock 50 $6.00 $299.75
Disclosure

SEC source: 0001140361-24-050093 · form4.xml · nonDerivative · entry 2

BANK OF AMERICA CORP /DE/ · CIK 0000070858 · 10% owner

MERRILL LYNCH, PIERCE, FENNER & SMITH INC. · CIK 0000728612 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

F1 · security: This statement is jointly filed by Bank of America Corporation, and Merrill Lynch, Pierce, Fenner & Smith Incorporated ("Merrill Lynch") (together, the "Reporting Persons"). Bank of America Corporation holds an indirect interest in the securities listed in this Report by virtue of its 100% ownership of its subsidiary Merrill Lynch. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Securities Exchange Act of 1934 (the "Exchange Act"), or for any other purpose. This statement reflects the addition of new Reporting Persons that engaged in reportable transactions and the elimination of Reporting Persons that no longer beneficially own any reportable securities.

F2 · security: Each Reporting Person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the Exchange Act or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer.

F3 · security: Without conceding its status as a greater than 10% beneficial owner or that the reported transactions are subject to disclosure under Section 16(a) of the Exchange Act or short-swing profit recovery under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that the Reporting Persons were greater than 10% beneficial owners and the transactions were subject to Section 16(b) has been or will be remitted to the Issuer.

F1 · ownership.nature: This statement is jointly filed by Bank of America Corporation, and Merrill Lynch, Pierce, Fenner & Smith Incorporated ("Merrill Lynch") (together, the "Reporting Persons"). Bank of America Corporation holds an indirect interest in the securities listed in this Report by virtue of its 100% ownership of its subsidiary Merrill Lynch. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Securities Exchange Act of 1934 (the "Exchange Act"), or for any other purpose. This statement reflects the addition of new Reporting Persons that engaged in reportable transactions and the elimination of Reporting Persons that no longer beneficially own any reportable securities.

F2 · ownership.nature: Each Reporting Person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the Exchange Act or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer.

F3 · ownership.nature: Without conceding its status as a greater than 10% beneficial owner or that the reported transactions are subject to disclosure under Section 16(a) of the Exchange Act or short-swing profit recovery under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that the Reporting Persons were greater than 10% beneficial owners and the transactions were subject to Section 16(b) has been or will be remitted to the Issuer.

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June 13, 2024 Filed Dec 20, 2024 21:16 UTC PurchaseCommon Stock 50 $5.95 $297.50
Disclosure

SEC source: 0001140361-24-050093 · form4.xml · nonDerivative · entry 1

BANK OF AMERICA CORP /DE/ · CIK 0000070858 · 10% owner

MERRILL LYNCH, PIERCE, FENNER & SMITH INC. · CIK 0000728612 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 50

F1 · security: This statement is jointly filed by Bank of America Corporation, and Merrill Lynch, Pierce, Fenner & Smith Incorporated ("Merrill Lynch") (together, the "Reporting Persons"). Bank of America Corporation holds an indirect interest in the securities listed in this Report by virtue of its 100% ownership of its subsidiary Merrill Lynch. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Securities Exchange Act of 1934 (the "Exchange Act"), or for any other purpose. This statement reflects the addition of new Reporting Persons that engaged in reportable transactions and the elimination of Reporting Persons that no longer beneficially own any reportable securities.

F2 · security: Each Reporting Person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the Exchange Act or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer.

F3 · security: Without conceding its status as a greater than 10% beneficial owner or that the reported transactions are subject to disclosure under Section 16(a) of the Exchange Act or short-swing profit recovery under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that the Reporting Persons were greater than 10% beneficial owners and the transactions were subject to Section 16(b) has been or will be remitted to the Issuer.

F1 · ownership.nature: This statement is jointly filed by Bank of America Corporation, and Merrill Lynch, Pierce, Fenner & Smith Incorporated ("Merrill Lynch") (together, the "Reporting Persons"). Bank of America Corporation holds an indirect interest in the securities listed in this Report by virtue of its 100% ownership of its subsidiary Merrill Lynch. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Securities Exchange Act of 1934 (the "Exchange Act"), or for any other purpose. This statement reflects the addition of new Reporting Persons that engaged in reportable transactions and the elimination of Reporting Persons that no longer beneficially own any reportable securities.

F2 · ownership.nature: Each Reporting Person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the Exchange Act or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer.

F3 · ownership.nature: Without conceding its status as a greater than 10% beneficial owner or that the reported transactions are subject to disclosure under Section 16(a) of the Exchange Act or short-swing profit recovery under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that the Reporting Persons were greater than 10% beneficial owners and the transactions were subject to Section 16(b) has been or will be remitted to the Issuer.

Read SEC document
February 22, 2024 Filed Feb 22, 2024 20:18 UTC
Ball John ChesterPresident & Treasurer
PurchaseCommon Shares, Par Value $0.001 46 $5.57 $255.99
Disclosure

SEC source: 0001271163-24-000010 · primary_doc.xml · nonDerivative · entry 1

Ball John Chester · CIK 0001619773 · President & Treasurer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 46

Read SEC document
October 11, 2023 Filed Oct 26, 2023 20:06 UTC
BANK OF AMERICA NAFormer 10% Owner
OtherSeries B Auction-Rate Preferred Shares 888 $22,803.00 $20,249,064.00
Disclosure

SEC source: 0000070858-23-000265 · primary_doc.xml · nonDerivative · entry 1

BANK OF AMERICA CORP /DE/ · CIK 0000070858 · Former 10% Owner

BANK OF AMERICA NA · CIK 0001102113 · Former 10% Owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By Subsidiary

Disclosed balance after: 0

F1 · security: CUSIP 36240A309

F2 · kind: The shares were tendered to the issuer per the tender offer statement on Schedule TO filed by The Gabelli Utility Trust on 09/06/23 and amended on 10/12/23.

F3 · price: In exchange for the tendered shares, Bank of America received Notes of CUSIP 36240AAA9, with a principal amount equal to 91.212% of the total amount of liquidation preference of tendered shares. The liquidation preference of the tendered shares is $25,000 per share.

F4 · ownership.nature: The Auction Rate Preferred Stocks reported in Table I represent shares beneficially owned by Bank of America N.A. ("BANA"). BANA is a wholly owned subsidiary of Bank of America Corporation.

Read SEC document
April 25, 2022 Filed Apr 27, 2022 01:36 UTC OtherCommon Shares, Par Value $0.001 1,438 $5.50 $7,909.00
Disclosure

SEC source: 0001271163-22-000024 · primary_doc.xml · nonDerivative · entry 1

Nakamura Kuni · CIK 0001396000 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,634.427

F1 · kind: The reporting person acquired these common shares through the exercise of common share purchase rights.

F2 · balance_after: Total includes shares acquired through dividend reinvestment subsequent to the initial purchase.

Read SEC document
April 25, 2022 Filed Apr 26, 2022 23:37 UTC
CONN JAMES PDirector
OtherCommon Shares, Par Value $0.001 164 $5.50 $902.00
Disclosure

SEC source: 0001271163-22-000023 · primary_doc.xml · nonDerivative · entry 1

CONN JAMES P · CIK 0001216778 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,307

F1 · kind: The reporting person acquired these common shares through the exercise of common share purchase rights.

Read SEC document
April 25, 2022 Filed Apr 27, 2022 22:07 UTC OtherCommon Shares, Par Value $0.001 2,636 $5.50 $14,498.00
Disclosure

SEC source: 0001271163-22-000025 · primary_doc.xml · nonDerivative · entry 1

ZIZZA SALVATORE J · CIK 0000929743 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,908

F1 · kind: The reporting person acquired these common shares through a primary and pro-rata oversubscription allocation based on the exercise of common share purchase rights.

Read SEC document
April 25, 2022 Filed Apr 28, 2022 01:22 UTC
GABELLI MARIO JDirector · Control Person of Adviser
OtherCommon Shares, Par Value $0.001 34,482 $5.50 $189,651.00
Disclosure

SEC source: 0001271163-22-000026 · primary_doc.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Indirect · GGCP, Inc.

Disclosed balance after: 275,853

F1 · kind: The reporting person acquired these common shares through the exercise of common share purchase rights.

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
April 25, 2022 Filed Apr 28, 2022 01:22 UTC
GABELLI MARIO JDirector · Control Person of Adviser
OtherCommon Shares, Par Value $0.001 2,977 $5.50 $16,373.50
Disclosure

SEC source: 0001271163-22-000026 · primary_doc.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Indirect · MJG IV Limited Partnership

Disclosed balance after: 23,815

F1 · kind: The reporting person acquired these common shares through the exercise of common share purchase rights.

F2 · ownership.nature: The shares reported reflect the total shares owned by MJG IV Limited Partnership, a limited partnership for which Mr. Gabelli serves as a general partner. 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
April 25, 2022 Filed Apr 28, 2022 01:22 UTC
GABELLI MARIO JDirector · Control Person of Adviser
OtherCommon Shares, Par Value $0.001 112,984 $5.50 $621,412.00
Disclosure

SEC source: 0001271163-22-000026 · 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: 903,866

F1 · kind: The reporting person acquired these common shares through the exercise of common share purchase rights.

Read SEC document
January 31, 2022 Filed Feb 1, 2022 21:50 UTC OtherSeries A Cumulative Preferred Shares 208 $25.00 $5,200.00
Disclosure

SEC source: 0001271163-22-000002 · primary_doc.xml · nonDerivative · entry 1

ALPERT BRUCE N · CIK 0001185528 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: The shares being reported were redeemed in accordance with the announced redemption by the issuer of all outstanding Series A Cumulative Preferred Shares on January 31, 2022

Read SEC document
January 31, 2022 Filed Apr 5, 2022 21:33 UTC OtherSeries A Cumulative Preferred Shares 3,843 $25.00 $96,075.00
Disclosure

SEC source: 0001271163-22-000021 · primary_doc.xml · nonDerivative · entry 1

ZIZZA SALVATORE J · CIK 0000929743 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

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

Read SEC document
May 20, 2021 Filed May 24, 2021 23:22 UTC OtherSeries C Cumulative Preferred Shares 52 $26.08 $1,356.16
Disclosure

SEC source: 0001271163-21-000044 · primary_doc.xml · nonDerivative · entry 1

ALPERT BRUCE N · CIK 0001185528 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,085

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

F2 · price: The price per share represents the closing price as of July 1, 2020, the date of death of the decedent from whom the shares were inherited.

Read SEC document
May 20, 2021 Filed May 26, 2021 00:34 UTC OtherSeries A Cumulative Preferred Shares 208 $26.82 $5,577.92
Disclosure

SEC source: 0001271163-21-000052 · primary_doc.xml · nonDerivative · entry 1

ALPERT BRUCE N · CIK 0001185528 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 208

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

F2 · price: The price per share represents the closing price as of July 1, 2020, the date of death of the decedent from whom the shares were inherited.

Read SEC document
April 20, 2021 Filed Apr 21, 2021 01:56 UTC OtherCommon Shares, Par Value $0.001 1,167 $5.50 $6,418.50
Disclosure

SEC source: 0001271163-21-000032 · primary_doc.xml · nonDerivative · entry 1

Nakamura Kuni · CIK 0001396000 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,393.567

F1 · kind: The reporting person acquired these common shares through the exercise of common share purchase rights.

F2 · balance_after: Total includes shares acquired through dividend reinvestment subsequent to the initial purchase.

Read SEC document
April 20, 2021 Filed Apr 20, 2021 18:18 UTC
CONN JAMES PDirector
OtherCommon Shares, Par Value $0.001 143 $5.50 $786.50
Disclosure

SEC source: 0001271163-21-000031 · primary_doc.xml · nonDerivative · entry 1

CONN JAMES P · CIK 0001216778 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,143

F1 · kind: The reporting person acquired these common shares through the exercise of common share purchase rights.

Read SEC document
April 20, 2021 Filed Apr 21, 2021 23:34 UTC OtherCommon Shares, Par Value $0.001 2,000 $5.50 $11,000.00
Disclosure

SEC source: 0001271163-21-000033 · primary_doc.xml · nonDerivative · entry 1

ZIZZA SALVATORE J · CIK 0000929743 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,168

F1 · kind: The reporting person acquired these common shares through the exercise of common share purchase rights.

Read SEC document
April 20, 2021 Filed Apr 22, 2021 15:54 UTC
GABELLI MARIO JDirector · Control Person of Adviser
OtherCommon Shares, Par Value $0.001 2,604 $5.50 $14,322.00
Disclosure

SEC source: 0001271163-21-000034 · primary_doc.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Indirect · MJG IV Limited Partnership

Disclosed balance after: 20,838

F1 · kind: The reporting person acquired these common shares through the exercise of common share purchase rights.

F3 · ownership.nature: The shares reported reflect the total shares owned by MJG IV Limited Partnership, a limited partnership for which Mr. Gabelli serves as a general partner. 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
April 20, 2021 Filed Apr 22, 2021 15:54 UTC
GABELLI MARIO JDirector · Control Person of Adviser
OtherCommon Shares, Par Value $0.001 30,171 $5.50 $165,940.50
Disclosure

SEC source: 0001271163-21-000034 · 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: 241,371

F1 · kind: The reporting person acquired these common shares through the exercise of common share purchase rights.

F2 · 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
April 20, 2021 Filed Apr 22, 2021 15:54 UTC
GABELLI MARIO JDirector · Control Person of Adviser
OtherCommon Shares, Par Value $0.001 98,860 $5.50 $543,730.00
Disclosure

SEC source: 0001271163-21-000034 · 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: 790,882

F1 · kind: The reporting person acquired these common shares through the exercise of common share purchase rights.

Read SEC document
April 20, 2021 Filed Apr 14, 2022 00:37 UTC Amendment OtherCommon Shares, Par Value $0.001 2,000 $5.50 $11,000.00
Disclosure

SEC source: 0001271163-22-000022 · primary_doc.xml · nonDerivative · entry 1

ZIZZA SALVATORE J · CIK 0000929743 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,272

F1 · kind: The reporting person acquired these common shares through a primary and oversubscription allocation based on the exercise of common share purchase rights.

F2 · balance_after: The total shares reported reflect the correct amount of 8,272, instead of the originally reported 7,168 shares.

Read SEC document
February 18, 2021 Filed Feb 22, 2021 23:14 UTC
GABELLI MARIO JDirector · Control Person of Adviser
SaleCommon Shares, Par Value $0.001 24,800 $8.01 $198,754.64
Disclosure

SEC source: 0001271163-21-000013 · 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: 211,200

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
February 08, 2021 Filed May 18, 2021 16:02 UTC OtherSeries C Cumulative Preferred Shares 33 $25.95 $856.35
Disclosure

SEC source: 0001271163-21-000037 · primary_doc.xml · nonDerivative · entry 1

ALPERT BRUCE N · CIK 0001185528 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,033

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

Read SEC document
April 30, 2020 Filed May 4, 2020 23:56 UTC
GABELLI MARIO JDirector · Control Person of Adviser
SaleCommon Shares, Par Value $0.001 4,000 $6.86 $27,440.80
Disclosure

SEC source: 0001271163-20-000034 · 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: 236,000

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
January 21, 2020 Filed Jan 22, 2020 23:57 UTC
GABELLI MARIO JDirector · Control Person of Adviser
SaleCommon Shares, Par Value $0.001 5,000 $7.87 $39,369.50
Disclosure

SEC source: 0001271163-20-000008 · 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: 240,000

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 20, 2019 Filed Dec 23, 2019 23:29 UTC
GABELLI MARIO JDirector · Control Person of Adviser
SaleCommon Shares, Par Value $0.001 4,000 $7.66 $30,636.80
Disclosure

SEC source: 0001271163-19-000090 · 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: 252,000

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 18, 2019 Filed Dec 20, 2019 21:29 UTC
GABELLI MARIO JDirector · Control Person of Adviser
SaleCommon Shares, Par Value $0.001 4,000 $7.31 $29,221.60
Disclosure

SEC source: 0001271163-19-000088 · 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: 256,000

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 16, 2019 Filed Dec 18, 2019 21:32 UTC
GABELLI MARIO JDirector · Control Person of Adviser
SaleCommon Shares, Par Value $0.001 4,000 $7.33 $29,319.60
Disclosure

SEC source: 0001271163-19-000084 · 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: 260,000

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 03, 2019 Filed Dec 5, 2019 21:00 UTC
GABELLI MARIO JDirector · Control Person of Adviser
SaleCommon Shares, Par Value $0.001 8,000 $7.70 $61,569.60
Disclosure

SEC source: 0001271163-19-000079 · 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: 264,000

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 02, 2019 Filed Jan 22, 2020 23:57 UTC
GABELLI MARIO JDirector · Control Person of Adviser
SaleCommon Shares, Par Value $0.001 7,000 $7.72 $54,063.80
Disclosure

SEC source: 0001271163-20-000008 · 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: 245,000

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
May 24, 2018 Filed May 24, 2018 18:23 UTC OtherCommon Shares, Par Value $0.001 1,046 $5.50 $5,753.00
Disclosure

SEC source: 0001271163-18-000042 · primary_doc.xml · nonDerivative · entry 1

ZIZZA SALVATORE J · CIK 0000929743 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,272

F1 · kind: The reporting person acquired these common shares through the exercise of common share purchase rights.

Read SEC document
May 24, 2018 Filed May 24, 2018 19:47 UTC OtherCommon Shares, Par Value $0.001 1,057 $5.50 $5,813.50
Disclosure

SEC source: 0001271163-18-000043 · primary_doc.xml · nonDerivative · entry 1

Nakamura Kuni · CIK 0001396000 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,381.192

F1 · kind: The reporting person acquired these common shares through the exercise of common share purchase rights.

F2 · balance_after: Total includes shares acquired through dividend reinvestment subsequent to the initial purchase.

Read SEC document
May 24, 2018 Filed May 25, 2018 22:39 UTC
GABELLI MARIO JDirector · Control Person of Adviser
OtherCommon Shares, Par Value $0.001 266,852 $5.50 $1,467,686.00
Disclosure

SEC source: 0001271163-18-000046 · primary_doc.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 692,022

F1 · kind: The reporting person acquired these common shares through a primary and pro-rata oversubscription allocation based on the exercise of common share purchase rights.

Read SEC document
May 24, 2018 Filed May 25, 2018 22:39 UTC
GABELLI MARIO JDirector · Control Person of Adviser
OtherCommon Shares, Par Value $0.001 7,221 $5.50 $39,715.50
Disclosure

SEC source: 0001271163-18-000046 · primary_doc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · MJG IV Limited Partnership

Disclosed balance after: 18,234

F1 · kind: The reporting person acquired these common shares through a primary and pro-rata oversubscription allocation based on the exercise of common share purchase rights.

F2 · ownership.nature: The shares reported reflect the total shares owned by MJG IV Limited Partnership, a limited partnership for which Mr. Gabelli serves as a general partner. 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
May 22, 2018 Filed May 23, 2018 18:17 UTC
CONN JAMES PDirector
SaleSubscription Rights for Common Shares 1,000 $0.04 $40.20
Disclosure

SEC source: 0001271163-18-000040 · primary_doc.xml · nonDerivative · entry 1

CONN JAMES P · CIK 0001216778 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Read SEC document
May 14, 2018 Filed May 16, 2018 23:00 UTC
GABELLI MARIO JDirector · Control Person of Adviser
SaleSubscription Rights for Common Shares 272,000 $0.05 $14,307.20
Disclosure

SEC source: 0001271163-18-000033 · 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: 0

F1 · ownership.nature: The rights reported reflect the total rights 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 rights held by it which are in excess of his indirect pecuniary interest.

Read SEC document
April 24, 2018 Filed Apr 26, 2018 21:03 UTC SaleRights 4 $0.04 $0.14
Disclosure

SEC source: 0001140361-18-019805 · doc1.xml · nonDerivative · entry 2

BANK OF AMERICA CORP /DE/ · CIK 0000070858 · 10% owner

MERRILL LYNCH, PIERCE, FENNER & SMITH INC. · CIK 0000728612 · Subsidiary

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 0

F1 · ownership.nature: The Rights reported in Table I represent rights beneficially owned by Merrill Lynch, Pierce, Fenner & Smith ("MLPF&S"). MLPF&S is a wholly owned subsidiary of Bank of America Corporation.

Read SEC document
April 24, 2018 Filed Apr 26, 2018 21:03 UTC PurchaseRights 4 $0.04 $0.14
Disclosure

SEC source: 0001140361-18-019805 · doc1.xml · nonDerivative · entry 1

BANK OF AMERICA CORP /DE/ · CIK 0000070858 · 10% owner

MERRILL LYNCH, PIERCE, FENNER & SMITH INC. · CIK 0000728612 · Subsidiary

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 4

F1 · ownership.nature: The Rights reported in Table I represent rights beneficially owned by Merrill Lynch, Pierce, Fenner & Smith ("MLPF&S"). MLPF&S is a wholly owned subsidiary of Bank of America Corporation.

Read SEC document
November 27, 2017 Filed Nov 30, 2017 00:24 UTC
GABELLI MARIO JDirector · Control Person of Adviser
SaleCommon Shares, Par Value $0.001 1,149 $7.04 $8,092.64
Disclosure

SEC source: 0001271163-17-000049 · 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: 272,000

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