Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| GABELLI DIVIDEND & INCOME TRUSTGDV · Entity 4315 | Director | November 21, 2019 | November 21, 2019 |
| GABELLI EQUITY TRUST INCGAB · Entity 8814 | Director | December 21, 2017 | December 21, 2017 |
| GABELLI GLOBAL UTILITY & INCOME TRUSTGLU.B · Entity 8903 | Director | December 20, 2018 | December 26, 2018 |
| GDL FUNDGDL.B · Entity 8945 | Director | March 29, 2018 | April 03, 2018 |
| Gabelli Global Small & Mid Cap Value TrustGGZ · Entity 9007 | Director | December 14, 2017 | December 14, 2017 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
GABELLI DIVIDEND & INCOME TRUST
Report date November 21, 2019 · Filed November 21, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Shares, Par Value $0.001SEC Table I · non-derivative | Direct | 1,100 |
Reported balance
After 2019-11-21 transaction · row 1
1 source rowRow 1 · 2019-11-21 · Other · Acquired 100 · Balance 1,100 F1: The reporting person acquired these common shares through the exercise of common share purchase rights. |
| Common Shares, Par Value $0.001SEC Table I · non-derivative | IndirectBy spouse | 550 |
Reported balance
After 2019-11-21 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2019-11-21 · Other · Acquired 50 · Balance 550 F1: The reporting person acquired these common shares through the exercise of common share purchase rights. |
Filing footnotes · ownership attribution and instrument terms
F1: The reporting person acquired these common shares through the exercise of common share purchase rights.
GABELLI EQUITY TRUST INC
Report date December 21, 2017 · Filed December 21, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, Par Value $0.001SEC Table I · non-derivative | IndirectBy Spouse | 3,703 |
Reported balance
After 2017-12-21 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2017-12-21 · Other · Acquired 463 · Balance 3,703 F1: The reporting person acquired these common shares through the exercise of common share purchase rights. |
Filing footnotes · ownership attribution and instrument terms
F1: The reporting person acquired these common shares through the exercise of common share purchase rights.
GABELLI GLOBAL UTILITY & INCOME TRUST
Report date December 20, 2018 · Filed December 26, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Series B Cumulative Puttable and Callable Preferred SharesSEC Table I · non-derivative | Direct | 150 |
Reported balance
After 2018-12-20 transaction · row 1
1 source rowRow 1 · 2018-12-20 · Other · Acquired 150 · Balance 150 F1: The reporting person acquired these preferred shares through the exercise of common share purchase rights. |
| Series B Cumulative Puttable and Callable Preferred SharesSEC Table I · non-derivative | IndirectBy spouse | 207 |
Reported balance
After 2018-12-20 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2018-12-20 · Other · Acquired 207 · Balance 207 F1: The reporting person acquired these preferred shares through the exercise of common share purchase rights. |
Filing footnotes · ownership attribution and instrument terms
F1: The reporting person acquired these preferred shares through the exercise of common share purchase rights.
GDL FUND
Report date March 29, 2018 · Filed April 03, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Series B Cumulative Puttable and Callable Preferred SharesSEC Table I · non-derivative | IndirectBy Spouse | 0 |
Reported balance
After 2018-03-29 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2018-03-29 · Other · Disposed 188 · Balance 0 F1: The reporting person surrendered these Series B preferred shares at a liquidation value of $50.00 in accordance with the rights offering to acquire new shares of the Series C preferred. |
Filing footnotes · ownership attribution and instrument terms
F1: The reporting person surrendered these Series B preferred shares at a liquidation value of $50.00 in accordance with the rights offering to acquire new shares of the Series C preferred.
Gabelli Global Small & Mid Cap Value Trust
Report date December 14, 2017 · Filed December 14, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Shares, Par Value $0.001SEC Table I · non-derivative | Direct | 134 |
Reported balance
After 2017-12-14 transaction · row 1
1 source rowRow 1 · 2017-12-14 · Other · Acquired 34 · Balance 134 F1: The reporting person acquired these common shares through a primary and pro-rata oversubscription allocation based on the exercise of common share purchase rights. |
| Common Shares, Par Value $0.001SEC Table I · non-derivative | IndirectBy Spouse | 67 |
Reported balance
After 2017-12-14 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2017-12-14 · Other · Acquired 17 · Balance 67 F1: The reporting person acquired these common shares through a primary and pro-rata oversubscription allocation based on the exercise of common share purchase rights. |
Filing footnotes · ownership attribution and instrument terms
F1: The reporting person acquired these common shares through a primary and pro-rata oversubscription allocation based on the exercise of common share purchase rights.
Transaction history
JSON APIPurchases/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 date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| November 21, 2019 Filed Nov 21, 2019 17:05 UTC | GABELLI DIVIDEND & INCOME TRUST GDV · Entity 4315 | OtherCommon Shares, Par Value $0.001 | 50 | $20.00 | $1,000.00 |
DisclosureSEC source: 0001271163-19-000066 · primary_doc.xml · nonDerivative · entry 2 COLAVITA ANTHONY J · CIK 0001247188 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 550 F1 · kind: The reporting person acquired these common shares through the exercise of common share purchase rights. Read SEC document |
| November 21, 2019 Filed Nov 21, 2019 17:05 UTC | GABELLI DIVIDEND & INCOME TRUST GDV · Entity 4315 | OtherCommon Shares, Par Value $0.001 | 100 | $20.00 | $2,000.00 |
DisclosureSEC source: 0001271163-19-000066 · primary_doc.xml · nonDerivative · entry 1 COLAVITA ANTHONY J · CIK 0001247188 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,100 F1 · kind: The reporting person acquired these common shares through the exercise of common share purchase rights. Read SEC document |
| December 20, 2018 Filed Dec 26, 2018 17:09 UTC | GABELLI GLOBAL UTILITY & INCOME TRUST GLU.B · Entity 8903 | OtherSeries B Cumulative Puttable and Callable Preferred Shares | 207 | $50.00 | $10,350.00 |
DisclosureSEC source: 0001271163-18-000079 · primary_doc.xml · nonDerivative · entry 2 COLAVITA ANTHONY J · CIK 0001247188 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 207 F1 · shares: The reporting person acquired these preferred shares through the exercise of common share purchase rights. Read SEC document |
| December 20, 2018 Filed Dec 26, 2018 17:09 UTC | GABELLI GLOBAL UTILITY & INCOME TRUST GLU.B · Entity 8903 | OtherSeries B Cumulative Puttable and Callable Preferred Shares | 150 | $50.00 | $7,500.00 |
DisclosureSEC source: 0001271163-18-000079 · primary_doc.xml · nonDerivative · entry 1 COLAVITA ANTHONY J · CIK 0001247188 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150 F1 · shares: The reporting person acquired these preferred shares through the exercise of common share purchase rights. Read SEC document |
| December 20, 2018 Filed Dec 26, 2018 16:54 UTC | GABELLI GLOBAL UTILITY & INCOME TRUST GLU · Entity 8903 | OtherCommon Shares, Par Value $0.001 | 207 | $17.50 | $3,622.50 |
DisclosureSEC source: 0001271163-18-000078 · primary_doc.xml · nonDerivative · entry 2 COLAVITA ANTHONY J · CIK 0001247188 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 827 F1 · shares: The reporting person acquired these common shares through the exercise of common share purchase rights. Read SEC document |
| December 20, 2018 Filed Dec 26, 2018 16:54 UTC | GABELLI GLOBAL UTILITY & INCOME TRUST GLU · Entity 8903 | OtherCommon Shares, Par Value $0.001 | 150 | $17.50 | $2,625.00 |
DisclosureSEC source: 0001271163-18-000078 · primary_doc.xml · nonDerivative · entry 1 COLAVITA ANTHONY J · CIK 0001247188 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,273 F1 · shares: The reporting person acquired these common shares through the exercise of common share purchase rights. Read SEC document |
| December 06, 2018 Filed Dec 10, 2018 18:34 UTC | GABELLI GLOBAL UTILITY & INCOME TRUST GLU.RT · Entity 8903 | SaleRights for Common Shares and Series B Preferred Shares | 675 | $0.19 | $125.28 |
DisclosureSEC source: 0001271163-18-000070 · primary_doc.xml · nonDerivative · entry 1 COLAVITA ANTHONY J · CIK 0001247188 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 450 Read SEC document |
| March 29, 2018 Filed Apr 3, 2018 16:35 UTC | GDL FUND GDL.B · Entity 8945 | OtherSeries B Cumulative Puttable and Callable Preferred Shares | 188 | $50.00 | $9,400.00 |
DisclosureSEC source: 0001271163-18-000016 · primary_doc.xml · nonDerivative · entry 1 COLAVITA ANTHONY J · CIK 0001247188 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 0 F1 · kind: The reporting person surrendered these Series B preferred shares at a liquidation value of $50.00 in accordance with the rights offering to acquire new shares of the Series C preferred. Read SEC document |
| March 29, 2018 Filed Apr 3, 2018 15:42 UTC | GDL FUND GDL.C · Entity 8945 | OtherSeries C Cumulative Puttable and Callable Preferred Shares | 500 | $50.00 | $25,000.00 |
DisclosureSEC source: 0001271163-18-000013 · primary_doc.xml · nonDerivative · entry 1 COLAVITA ANTHONY J · CIK 0001247188 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 500 F1 · kind: The reporting person acquired these Series C preferred shares through a primary and pro-rata oversubscription allocation based on the exercise of preferred share purchase rights and also surrendering his Series B preferred shares. Read SEC document |
| December 21, 2017 Filed Dec 21, 2017 21:08 UTC | GABELLI EQUITY TRUST INC GAB · Entity 8814 | OtherCommon Stock, Par Value $0.001 | 463 | $5.50 | $2,546.50 |
DisclosureSEC source: 0001271163-17-000066 · primary_doc.xml · nonDerivative · entry 1 COLAVITA ANTHONY J · CIK 0001247188 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 3,703 F1 · kind: The reporting person acquired these common shares through the exercise of common share purchase rights. Read SEC document |
| December 14, 2017 Filed Dec 14, 2017 16:02 UTC | Gabelli Global Small & Mid Cap Value Trust GGZ · Entity 9007 | OtherCommon Shares, Par Value $0.001 | 17 | $11.50 | $195.50 |
DisclosureSEC source: 0001271163-17-000058 · primary_doc.xml · nonDerivative · entry 2 COLAVITA ANTHONY J · CIK 0001247188 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 67 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 |
| December 14, 2017 Filed Dec 14, 2017 16:02 UTC | Gabelli Global Small & Mid Cap Value Trust GGZ · Entity 9007 | OtherCommon Shares, Par Value $0.001 | 34 | $11.50 | $391.00 |
DisclosureSEC source: 0001271163-17-000058 · primary_doc.xml · nonDerivative · entry 1 COLAVITA ANTHONY J · CIK 0001247188 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 134 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.