Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Associated Capital Group, Inc.AC · Entity 9826 | Executive Vice President | November 04, 2016 | November 14, 2016 |
| BANCROFT FUND LTDBCV · Entity 6580 | Director | February 17, 2022 | February 18, 2022 |
| GABELLI CONVERTIBLE & INCOME SECURITIES FUND INCGCV · Entity 6819 | Director | February 17, 2022 | February 18, 2022 |
| GABELLI DIVIDEND & INCOME TRUSTGDV.M · Entity 4315 | Director | October 11, 2024 | October 15, 2024 |
| GABELLI EQUITY TRUST INCGAB · Entity 8814 | Director | April 28, 2026 | April 30, 2026 |
| GAMCO Global Gold, Natural Resources & Income TrustGGN · Entity 8912 | Director | February 17, 2022 | February 23, 2022 |
| GAMCO INVESTORS, INC. ET ALGBL · Entity 16148 | Director | June 02, 2022 | June 07, 2022 |
| GAMCO Natural Resources, Gold & Income TrustGNT · Entity 6508 | Director | February 17, 2022 | February 23, 2022 |
| GDL FUNDGDL · Entity 8945 | Director | February 17, 2022 | February 18, 2022 |
| Gabelli Global Small & Mid Cap Value TrustGGZ · Entity 9007 | Director | February 17, 2022 | February 18, 2022 |
| Gabelli Go Anywhere TrustGGO.A · Entity 135007 | President | September 25, 2019 | September 27, 2019 |
| Gabelli Healthcare & WellnessRx TrustGRX · Entity 8957 | Director | February 17, 2022 | February 18, 2022 |
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.
Associated Capital Group, Inc.
Report date November 04, 2016 · Filed November 14, 2016
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | Direct | 29,226 |
Reported balance
Holding disclosure · report date 2016-11-04 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 29,226 |
BANCROFT FUND LTD
Report date February 17, 2022 · Filed February 18, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common SharesSEC Table I · non-derivative | Direct | 150 |
Reported balance
After 2022-02-17 transaction · row 1
1 source rowRow 1 · 2022-02-17 · Purchase · Acquired 150 · Balance 150 |
GABELLI CONVERTIBLE & INCOME SECURITIES FUND INC
Report date February 17, 2022 · Filed February 18, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, Par Value $0.001SEC Table I · non-derivative | Direct | 150 |
Reported balance
After 2022-02-17 transaction · row 1
1 source rowRow 1 · 2022-02-17 · Purchase · Acquired 150 · Balance 150 |
GABELLI DIVIDEND & INCOME TRUST
Report date October 11, 2024 · Filed October 15, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Series M Cumulative Preferred SharesSEC Table I · non-derivative | Direct | 10,000 |
Reported balance
After 2024-10-11 transaction · row 1
1 source rowRow 1 · 2024-10-11 · Purchase · Acquired 10,000 · Balance 10,000 |
GABELLI EQUITY TRUST INC
Report date April 28, 2026 · Filed April 30, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, Par Value $0.001SEC Table I · non-derivative | Direct | 351 |
Reported balance
After 2026-04-28 transaction · row 1
1 source rowRow 1 · 2026-04-28 · Other · Acquired 186 · Balance 351 F1: The reporting person acquired these common stock through an oversubscription allocation based on the exercise of common stock purchase rights. |
Filing footnotes · ownership attribution and instrument terms
F1: The reporting person acquired these common stock through an oversubscription allocation based on the exercise of common stock purchase rights.
GAMCO Global Gold, Natural Resources & Income Trust
Report date February 17, 2022 · Filed February 23, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Shares, Par Value $0.001SEC Table I · non-derivative | Direct | 150 |
Reported balance
After 2022-02-17 transaction · row 1
1 source rowRow 1 · 2022-02-17 · Purchase · Acquired 150 · Balance 150 |
GAMCO INVESTORS, INC. ET AL
Report date June 02, 2022 · Filed June 07, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | Direct | 31,678 |
Reported balance
Holding disclosure · report date 2022-06-02 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 31,678 |
GAMCO Natural Resources, Gold & Income Trust
Report date February 17, 2022 · Filed February 23, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Shares, Par Value $0.001SEC Table I · non-derivative | Direct | 150 |
Reported balance
After 2022-02-17 transaction · row 1
1 source rowRow 1 · 2022-02-17 · Purchase · Acquired 150 · Balance 150 |
GDL FUND
Report date February 17, 2022 · Filed February 18, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Shares, Par Value $0.001SEC Table I · non-derivative | Direct | 150 |
Reported balance
After 2022-02-17 transaction · row 1
1 source rowRow 1 · 2022-02-17 · Purchase · Acquired 150 · Balance 150 |
Gabelli Global Small & Mid Cap Value Trust
Report date February 17, 2022 · Filed February 18, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Shares, Par Value $0.001SEC Table I · non-derivative | Direct | 150 |
Reported balance
After 2022-02-17 transaction · row 1
1 source rowRow 1 · 2022-02-17 · Purchase · Acquired 150 · Balance 150 |
Gabelli Go Anywhere Trust
Report date September 25, 2019 · Filed September 27, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Series A Cumulative Puttable and Callable Preferred SharesSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2019-09-25 transaction · row 1
1 source rowRow 1 · 2019-09-25 · Other · Disposed 515 · Balance 0 F1: Shares were surrendered in accordance with Right to Put to the Fund up to 100% of Outstanding Series A Cumulative Puttable and Callable Preferred Shares. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares were surrendered in accordance with Right to Put to the Fund up to 100% of Outstanding Series A Cumulative Puttable and Callable Preferred Shares.
Gabelli Healthcare & WellnessRx Trust
Report date February 17, 2022 · Filed February 18, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Shares, Par Value $0.001SEC Table I · non-derivative | Direct | 150 |
Reported balance
After 2022-02-17 transaction · row 1
1 source rowRow 1 · 2022-02-17 · Purchase · Acquired 150 · Balance 150 |
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 |
|---|---|---|---|---|---|---|
| April 28, 2026 Filed Apr 29, 2026 16:15 UTC | GABELLI EQUITY TRUST INC GAB · Entity 8814 | OtherCommon Stock, Par Value $0.001 | 15 | $5.00 | $75.00 |
DisclosureSEC source: 0001387823-26-000001 · primary_doc.xml · nonDerivative · entry 1 Mullady Agnes · CIK 0001387823 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 165 F1 · kind: The reporting person acquired these common shares through the exercise of common stock purchase rights. Read SEC document |
| April 28, 2026 Filed Apr 30, 2026 18:53 UTC | GABELLI EQUITY TRUST INC GAB · Entity 8814 | OtherCommon Stock, Par Value $0.001 | 186 | $5.00 | $930.00 |
DisclosureSEC source: 0001387823-26-000002 · primary_doc.xml · nonDerivative · entry 1 Mullady Agnes · CIK 0001387823 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 351 F1 · kind: The reporting person acquired these common stock through an oversubscription allocation based on the exercise of common stock purchase rights. Read SEC document |
| October 11, 2024 Filed Oct 15, 2024 16:31 UTC | GABELLI DIVIDEND & INCOME TRUST GDV.M · Entity 4315 | PurchaseSeries M Cumulative Preferred Shares | 10,000 | $10.00 | $100,000.00 |
DisclosureSEC 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 Read SEC document |
| February 17, 2022 Filed Feb 18, 2022 19:06 UTC | BANCROFT FUND LTD BCV · Entity 6580 | PurchaseCommon Shares | 150 | $23.00 | $3,449.25 |
DisclosureSEC source: 0001271163-22-000010 · primary_doc.xml · nonDerivative · entry 1 Mullady Agnes · CIK 0001387823 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150 Read SEC document |
| February 17, 2022 Filed Feb 18, 2022 19:52 UTC | GABELLI EQUITY TRUST INC GAB · Entity 8814 | PurchaseCommon Stock, Par Value $0.001 | 150 | $6.95 | $1,041.75 |
DisclosureSEC source: 0001271163-22-000012 · primary_doc.xml · nonDerivative · entry 1 Mullady Agnes · CIK 0001387823 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150 Read SEC document |
| February 17, 2022 Filed Feb 18, 2022 20:02 UTC | GABELLI CONVERTIBLE & INCOME SECURITIES FUND INC GCV · Entity 6819 | PurchaseCommon Stock, Par Value $0.001 | 150 | $6.08 | $911.85 |
DisclosureSEC source: 0001271163-22-000013 · primary_doc.xml · nonDerivative · entry 1 Mullady Agnes · CIK 0001387823 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150 Read SEC document |
| February 17, 2022 Filed Feb 18, 2022 20:54 UTC | GDL FUND GDL · Entity 8945 | PurchaseCommon Shares, Par Value $0.001 | 150 | $8.67 | $1,300.35 |
DisclosureSEC source: 0001271163-22-000015 · primary_doc.xml · nonDerivative · entry 1 Mullady Agnes · CIK 0001387823 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150 Read SEC document |
| February 17, 2022 Filed Feb 18, 2022 20:30 UTC | Gabelli Healthcare & WellnessRx Trust GRX · Entity 8957 | PurchaseCommon Shares, Par Value $0.001 | 150 | $12.75 | $1,912.35 |
DisclosureSEC source: 0001271163-22-000014 · primary_doc.xml · nonDerivative · entry 1 Mullady Agnes · CIK 0001387823 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150 Read SEC document |
| February 17, 2022 Filed Feb 18, 2022 19:29 UTC | GABELLI DIVIDEND & INCOME TRUST GDV · Entity 4315 | PurchaseCommon Shares, Par Value $0.001 | 150 | $24.60 | $3,690.00 |
DisclosureSEC 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 Read SEC document |
| February 17, 2022 Filed Feb 18, 2022 18:48 UTC | Gabelli Global Small & Mid Cap Value Trust GGZ · Entity 9007 | PurchaseCommon Shares, Par Value $0.001 | 150 | $14.49 | $2,173.35 |
DisclosureSEC source: 0001271163-22-000009 · primary_doc.xml · nonDerivative · entry 1 Mullady Agnes · CIK 0001387823 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150 Read SEC document |
| February 17, 2022 Filed Feb 23, 2022 00:29 UTC | GAMCO Natural Resources, Gold & Income Trust GNT · Entity 6508 | PurchaseCommon Shares, Par Value $0.001 | 150 | $5.37 | $805.35 |
DisclosureSEC source: 0001271163-22-000017 · primary_doc.xml · nonDerivative · entry 1 Mullady Agnes · CIK 0001387823 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150 Read SEC document |
| February 17, 2022 Filed Feb 23, 2022 00:25 UTC | GAMCO Global Gold, Natural Resources & Income Trust GGN · Entity 8912 | PurchaseCommon Shares, Par Value $0.001 | 150 | $3.83 | $574.50 |
DisclosureSEC source: 0001271163-22-000016 · primary_doc.xml · nonDerivative · entry 1 Mullady Agnes · CIK 0001387823 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150 Read SEC document |
| March 05, 2020 Filed Mar 5, 2020 17:59 UTC | GAMCO INVESTORS, INC. ET AL GBL · Entity 16148 | GrantClass A Common Stock | 4,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000807249-20-000049 · form4.xml · nonDerivative · entry 1 Mullady Agnes · CIK 0001387823 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,939 F1 · price: These shares represent restricted stock that was awarded to the Reporting Person pursuant to the Issuer's Stock Award and Incentive Plan. Thirty percent of these shares vest after three years from the date of the award and the remaining seventy percent vest after five years from the date of the award. Read SEC document |
| September 25, 2019 Filed Sep 27, 2019 14:58 UTC | Gabelli Go Anywhere Trust GGO.A · Entity 135007 | OtherSeries A Cumulative Puttable and Callable Preferred Shares | 515 | $40.00 | $20,600.00 |
DisclosureSEC source: 0001271163-19-000056 · primary_doc.xml · nonDerivative · entry 1 Mullady Agnes · CIK 0001387823 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · shares: Shares were surrendered in accordance with Right to Put to the Fund up to 100% of Outstanding Series A Cumulative Puttable and Callable Preferred Shares. Read SEC document |
| July 01, 2019 Filed Jul 1, 2019 15:37 UTC | GAMCO INVESTORS, INC. ET AL GBL · Entity 16148 | GrantClass A Common Stock | 6,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000807249-19-000104 · form4.xml · nonDerivative · entry 1 Mullady Agnes · CIK 0001387823 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,939 F1 · price: These shares represent restricted stock that was awarded to the Reporting Person pursuant to the Issuer's Stock Award and Incentive Plan. Thirty percent of these shares vest after three years from the date of the award and the remaining seventy percent vest after five years from the date of the award. Read SEC document |
| August 07, 2018 Filed Aug 9, 2018 16:22 UTC | GAMCO INVESTORS, INC. ET AL GBL · Entity 16148 | GrantClass A Common Stock | 6,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000807249-18-000155 · primary_doc.xml · nonDerivative · entry 1 Mullady Agnes · CIK 0001387823 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,939 F1 · price: These shares represent restricted stock that was awarded to the Reporting Person pursuant to the Issuer's Stock Award and Incentive Plan. Thirty percent of these shares vest after three years from the date of the award and the remaining seventy percent vest after five years from the date of the award. Read SEC document |
| April 04, 2018 Filed Apr 5, 2018 13:45 UTC | GAMCO INVESTORS, INC. ET AL GBL · Entity 16148 | GrantClass A Common Stock | 4,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000807249-18-000068 · primary_doc.xml · nonDerivative · entry 1 Mullady Agnes · CIK 0001387823 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,939 F1 · price: These shares represent restricted stock that was awarded to the Reporting Person pursuant to the Issuer's Stock Award and Incentive Plan. Thirty percent of these shares vest after three years from the date of the award and the remaining seventy percent vest after five years from the date of the award. Read SEC document |
| January 12, 2018 Filed Jan 16, 2018 15:14 UTC | GAMCO INVESTORS, INC. ET AL GBL · Entity 16148 | Tax withholdingClass A Common Stock | 5,825 | $29.94 | $174,400.50 |
DisclosureSEC source: 0000807249-18-000009 · primary_doc.xml · nonDerivative · entry 1 Mullady Agnes · CIK 0001387823 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,939 Read SEC document |
| September 15, 2017 Filed Sep 18, 2017 11:21 UTC | GAMCO INVESTORS, INC. ET AL GBL · Entity 16148 | Tax withholdingClass A Common Stock | 670 | $28.79 | $19,289.30 |
DisclosureSEC source: 0000807249-17-000155 · primary_doc.xml · nonDerivative · entry 1 Mullady Agnes · CIK 0001387823 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,764 Read SEC document |
| August 07, 2017 Filed Aug 9, 2017 10:47 UTC | GAMCO INVESTORS, INC. ET AL GBL · Entity 16148 | Tax withholdingClass A Common Stock | 782 | $29.77 | $23,280.14 |
DisclosureSEC source: 0000807249-17-000124 · primary_doc.xml · nonDerivative · entry 1 Mullady Agnes · CIK 0001387823 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,434 Read SEC document |
| September 06, 2016 Filed Sep 8, 2016 19:59 UTC | Gabelli Go Anywhere Trust GGO/GGO.A · Entity 135007 | PurchaseSeries A Cumulative Puttable and Callable Preferred Shares | 515 | $40.00 | $20,600.00 |
DisclosureSEC source: 0001271163-16-000092 · primary_doc.xml · nonDerivative · entry 2 Mullady Agnes · CIK 0001387823 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 515 F1 · shares: Until November 1, 2016, the common shares and Series A Preferred Shares will trade only as Combinations on the NYSE MKT. Each Combination consists of 3 common shares and 1 Series A Preferred Share, and trades under the symbol GGO.C. The reported beneficial ownership of common shares and Series A Preferred Shares therefore represents 515 combinations. The common and Series A Preferred Share will begin trading separately on November 2, 2016. Read SEC document |
| September 06, 2016 Filed Sep 8, 2016 19:59 UTC | Gabelli Go Anywhere Trust GGO/GGO.A · Entity 135007 | PurchaseCommon Shares | 1,545 | $19.00 | $29,355.00 |
DisclosureSEC source: 0001271163-16-000092 · primary_doc.xml · nonDerivative · entry 1 Mullady Agnes · CIK 0001387823 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,545 F1 · shares: Until November 1, 2016, the common shares and Series A Preferred Shares will trade only as Combinations on the NYSE MKT. Each Combination consists of 3 common shares and 1 Series A Preferred Share, and trades under the symbol GGO.C. The reported beneficial ownership of common shares and Series A Preferred Shares therefore represents 515 combinations. The common and Series A Preferred Share will begin trading separately on November 2, 2016. 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.