Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Associated Capital Group, Inc.AC · Entity 9826 | Chief Legal Officer | June 25, 2024 | August 13, 2024 |
| BANCROFT FUND LTDBCV · Entity 6580 | Secretary | August 19, 2020 | August 27, 2020 |
| ELLSWORTH GROWTH & INCOME FUND LTDECF · Entity 6444 | Secretary | August 19, 2020 | August 27, 2020 |
| GABELLI CONVERTIBLE & INCOME SECURITIES FUND INCGCV · Entity 6819 | Secretary | August 19, 2020 | August 26, 2020 |
| GABELLI DIVIDEND & INCOME TRUSTGDV · Entity 4315 | Secretary | August 19, 2020 | August 26, 2020 |
| GABELLI EQUITY TRUST INCGAB · Entity 8814 | Secretary | August 18, 2020 | August 26, 2020 |
| GABELLI GLOBAL UTILITY & INCOME TRUSTGLU · Entity 8903 | Secretary | August 19, 2020 | August 26, 2020 |
| GABELLI MULTIMEDIA TRUST INC.GGT · Entity 6433 | Secretary | August 18, 2020 | August 26, 2020 |
| GABELLI UTILITY TRUSTGUT · Entity 8864 | Secretary | August 18, 2020 | August 26, 2020 |
| GAMCO Global Gold, Natural Resources & Income TrustGGN · Entity 8912 | Secretary | August 19, 2020 | August 27, 2020 |
| GAMCO INVESTORS, INC. ET ALGBL · Entity 16148 | General Counsel | June 15, 2021 | June 17, 2021 |
| GAMCO Natural Resources, Gold & Income TrustGNT · Entity 6508 | Secretary | August 19, 2020 | August 27, 2020 |
| GDL FUNDGDL · Entity 8945 | Secretary | August 19, 2020 | August 26, 2020 |
| Gabelli Global Small & Mid Cap Value TrustGGZ · Entity 9007 | Secretary | August 19, 2020 | August 26, 2020 |
| Gabelli Go Anywhere TrustGGO · Entity 135007 | Secretary | August 19, 2020 | August 26, 2020 |
| Gabelli Healthcare & WellnessRx TrustGRX · Entity 8957 | Secretary | August 18, 2020 | August 26, 2020 |
| PMV Consumer Acquisition Corp.PMVC · Entity 7072 | Executive VP and Secretary | September 21, 2020 | September 21, 2020 |
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 June 25, 2024 · Filed August 13, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Phantom RSASEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 9,900 |
Reported balance
After 2024-06-25 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2024-06-25 · Grant · Acquired 2,500 · Balance 9,900 F1: Each phantom RSA represents the right to receive the cash value of one share of Associated Capital Group, Inc. Class A common stock. |
| Class A Common StockSEC Table I · non-derivative | Direct | 1,694 |
Reported balance
Holding disclosure · report date 2024-06-25 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 1,694 |
Filing footnotes · ownership attribution and instrument terms
F1: Each phantom RSA represents the right to receive the cash value of one share of Associated Capital Group, Inc. Class A common stock.
BANCROFT FUND LTD
Report date August 19, 2020 · Filed August 27, 2020
This filing explicitly reported no securities owned.
ELLSWORTH GROWTH & INCOME FUND LTD
Report date August 19, 2020 · Filed August 27, 2020
This filing explicitly reported no securities owned.
GABELLI CONVERTIBLE & INCOME SECURITIES FUND INC
Report date August 19, 2020 · Filed August 26, 2020
This filing explicitly reported no securities owned.
GABELLI DIVIDEND & INCOME TRUST
Report date August 19, 2020 · Filed August 26, 2020
This filing explicitly reported no securities owned.
GABELLI EQUITY TRUST INC
Report date August 18, 2020 · Filed August 26, 2020
This filing explicitly reported no securities owned.
GABELLI GLOBAL UTILITY & INCOME TRUST
Report date August 19, 2020 · Filed August 26, 2020
This filing explicitly reported no securities owned.
GABELLI MULTIMEDIA TRUST INC.
Report date August 18, 2020 · Filed August 26, 2020
This filing explicitly reported no securities owned.
GABELLI UTILITY TRUST
Report date August 18, 2020 · Filed August 26, 2020
This filing explicitly reported no securities owned.
GAMCO Global Gold, Natural Resources & Income Trust
Report date August 19, 2020 · Filed August 27, 2020
This filing explicitly reported no securities owned.
GAMCO INVESTORS, INC. ET AL
Report date June 15, 2021 · Filed June 17, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Phantom RSASEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 4,000 |
Reported balance
After 2021-06-15 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2021-06-15 · Grant · Acquired 4,000 · Balance 4,000 F2: Each phantom RSA represents the right to receive the cash value of one share of GAMCO Investors, Inc. Class A common stock. F3: Phantom RSAs are awarded pursuant to the Issuer's Stock Award and Incentive Plan and are payable in cash upon vesting. Thirty percent of these phantom RSAs 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. |
| Class A Common StockSEC Table I · non-derivative | Direct | 9,694 |
Reported balance
Holding disclosure · report date 2021-06-15 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 9,694 F1: This total includes the 1,694 shares reported in the Reporting Persons Form 3 filed on 4/27/2021 plus 8,000 shares of restricted stock that the Reporting Person received prior to becoming an officer of the Issuer. The 8,000 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 (12/28/20) and the remaining seventy percent vest after five years from the date of the award. |
Filing footnotes · ownership attribution and instrument terms
F1: This total includes the 1,694 shares reported in the Reporting Persons Form 3 filed on 4/27/2021 plus 8,000 shares of restricted stock that the Reporting Person received prior to becoming an officer of the Issuer. The 8,000 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 (12/28/20) and the remaining seventy percent vest after five years from the date of the award.
F2: Each phantom RSA represents the right to receive the cash value of one share of GAMCO Investors, Inc. Class A common stock.
F3: Phantom RSAs are awarded pursuant to the Issuer's Stock Award and Incentive Plan and are payable in cash upon vesting. Thirty percent of these phantom RSAs 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.
GAMCO Natural Resources, Gold & Income Trust
Report date August 19, 2020 · Filed August 27, 2020
This filing explicitly reported no securities owned.
GDL FUND
Report date August 19, 2020 · Filed August 26, 2020
This filing explicitly reported no securities owned.
Gabelli Global Small & Mid Cap Value Trust
Report date August 19, 2020 · Filed August 26, 2020
This filing explicitly reported no securities owned.
Gabelli Go Anywhere Trust
Report date August 19, 2020 · Filed August 26, 2020
This filing explicitly reported no securities owned.
Gabelli Healthcare & WellnessRx Trust
Report date August 18, 2020 · Filed August 26, 2020
This filing explicitly reported no securities owned.
PMV Consumer Acquisition Corp.
Report date September 21, 2020 · Filed September 21, 2020
This filing explicitly reported no securities owned.
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 |
|---|---|---|---|---|---|---|
| June 25, 2024 Filed Aug 13, 2024 20:02 UTC | Associated Capital Group, Inc. AC · Entity 9826 | GrantPhantom RSA · Derivative | 2,500 | $34.28 Strike: $0.00 | $85,700.00 |
DisclosureSEC source: 0000807249-24-000082 · form4.xml · derivative · entry 2 Goldstein Peter D. · CIK 0001821090 · Chief Legal Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 9,900 Underlying: Class A Common Stock · 2,500 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom RSA represents the right to receive the cash value of one share of Associated Capital Group, Inc. Class A common stock. F1 · derivative.exercise_date: Each phantom RSA represents the right to receive the cash value of one share of Associated Capital Group, Inc. Class A common stock. F1 · derivative.expiration_date: Each phantom RSA represents the right to receive the cash value of one share of Associated Capital Group, Inc. Class A common stock. Read SEC document |
| May 30, 2023 Filed Jun 13, 2023 20:10 UTC | Associated Capital Group, Inc. AC · Entity 9826 | GrantPhantom RSA · Derivative | 2,500 | $39.61 Strike: $0.00 | $99,025.00 |
DisclosureSEC source: 0000807249-23-000060 · form4.xml · derivative · entry 2 Goldstein Peter D. · CIK 0001821090 · Chief Legal Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 9,500 Underlying: Class A Common Stock · 2,500 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom RSA represents the right to receive the cash value of one share of Associated Capital Group, Inc. Class A common stock. F2 · derivative.exercise_date: Phantom RSAs are awarded pursuant to the Issuer's Stock Award and Incentive Plan and are payable in cash upon vesting. Thirty percent of these phantom RSAs 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. F2 · derivative.expiration_date: Phantom RSAs are awarded pursuant to the Issuer's Stock Award and Incentive Plan and are payable in cash upon vesting. Thirty percent of these phantom RSAs 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 |
| June 15, 2021 Filed Jun 17, 2021 16:09 UTC | GAMCO INVESTORS, INC. ET AL GBL · Entity 16148 | GrantPhantom RSA · Derivative | 4,000 | $25.02 Strike: $0.00 | $100,080.00 |
DisclosureSEC source: 0000807249-21-000110 · form4.xml · derivative · entry 2 Goldstein Peter D. · CIK 0001821090 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,000 Underlying: Class A Common Stock · 4,000 shares Expires not disclosed F2 · derivative.exercise_price: Each phantom RSA represents the right to receive the cash value of one share of GAMCO Investors, Inc. Class A common stock. F3 · derivative.exercise_date: Phantom RSAs are awarded pursuant to the Issuer's Stock Award and Incentive Plan and are payable in cash upon vesting. Thirty percent of these phantom RSAs 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. F3 · derivative.expiration_date: Phantom RSAs are awarded pursuant to the Issuer's Stock Award and Incentive Plan and are payable in cash upon vesting. Thirty percent of these phantom RSAs 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 |
| May 20, 2021 Filed Jun 17, 2021 20:52 UTC | Associated Capital Group, Inc. AC · Entity 9826 | GrantPhantom RSA · Derivative | 7,000 | $36.32 Strike: $0.00 | $254,240.00 |
DisclosureSEC source: 0000807249-21-000113 · form4.xml · derivative · entry 2 Goldstein Peter D. · CIK 0001821090 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,000 Underlying: Class A Common Stock · 7,000 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom RSA represents the right to receive the cash value of one share of Associated Capital Group, Inc. Class A common stock. F2 · derivative.exercise_date: Phantom RSAs are awarded pursuant to the Issuer's Stock Award and Incentive Plan and are payable in cash upon vesting. Thirty percent of these phantom RSAs 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. F2 · derivative.expiration_date: Phantom RSAs are awarded pursuant to the Issuer's Stock Award and Incentive Plan and are payable in cash upon vesting. Thirty percent of these phantom RSAs 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.