GGZ · Gabelli Global Small & Mid Cap Value Trust · Insider Trading
Trades by corporate insiders — officers, directors and holders of more than 10% of the shares — disclosed to the SEC on Forms 4 and 5. Form 3 supplies initial ownership rather than a trade; Form 4 must be filed within two business days of the trade.
| Date | Insider | Role | Type | Security | Shares |
|---|---|---|---|---|---|
| 2025-09-26 | GABELLI MARIO J |
10% Owner |
Other↓
Filing footnotes — Series B Cumulative Preferred Shares (Indirect)
The shares being reported were redeemed in accordance with the mandatory redemption of the outstanding Series B Cumulative Preferred Shares on September 26, 2025. The shares reported reflect the total shares owned by Associated Capital Group, Inc. (ACG). Mario J. Gabelli is the Executive Chair and controlling shareholder of ACG. Mr. Gabelli has less than a 100% interest in ACG and disclaims beneficial ownership of the shares held by it which are in excess of his indirect pecuniary interest. |
Series B Cumulative Preferred Shares
(I)
|
70,600 |
| 2025-09-26 | GABELLI MARIO J |
10% Owner |
Buy↑
Filing footnotes — Series E Cumulative Preferred Shares (Indirect)
The shares reported reflect the total shares owned by Associated Capital Group, Inc. (ACG). Mario J. Gabelli is the Executive Chair and controlling shareholder of ACG. Mr. Gabelli has less than a 100% interest in ACG and disclaims beneficial ownership of the shares held by it which are in excess of his indirect pecuniary interest. |
Series E Cumulative Preferred Shares
(I)
|
200,000 |
| 2025-09-26 | GABELLI MARIO J |
10% Owner |
Other↓
Filing footnotes — Series B Cumulative Preferred Shares (Indirect)
The shares being reported were redeemed in accordance with the mandatory redemption of the outstanding Series B Cumulative Preferred Shares on September 26, 2025. 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. |
Series B Cumulative Preferred Shares
(I)
|
88,200 |
| 2025-09-26 | GABELLI MARIO J |
10% Owner |
Other↓
Filing footnotes — Series B Cumulative Preferred Shares (Direct)
The shares being reported were redeemed in accordance with the mandatory redemption of the outstanding Series B Cumulative Preferred Shares on September 26, 2025. |
Series B Cumulative Preferred Shares
|
473,596 |
| 2025-09-26 | GABELLI MARIO J |
10% Owner |
Buy↑
Filing footnotes — Series E Cumulative Preferred Shares (Indirect)
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. |
Series E Cumulative Preferred Shares
(I)
|
100,000 |
| 2025-09-26 | GABELLI MARIO J |
10% Owner |
Buy↑
Filing footnotes — Series E Cumulative Preferred Shares (Indirect)
The shares reported reflect the total shares owned by CIBL, Inc. (CIBL). Mario J. Gabelli is the Executive Chair and CEO of CIBL. Mr. Gabelli has less than a 100% interest in CIBL and disclaims beneficial ownership of the shares held by it which are in excess of his indirect pecuniary interest. |
Series E Cumulative Preferred Shares
(I)
|
100,000 |
| 2025-09-26 | Dreyer Kevin V. |
Director |
Other↓
Filing footnotes — Series B Cumulative Preferred Shares (Direct)
The shares being reported were redeemed in accordance with the mandatory redemption of the outstanding Series B Cumulative Preferred Shares on September 26, 2025. |
Series B Cumulative Preferred Shares
|
1,800 |
| 2025-09-26 | GABELLI MARIO J |
10% Owner |
Buy↑
|
Series E Cumulative Preferred Shares
|
750,000 |
| 2025-01-13 | GABELLI MARIO J |
10% Owner |
Buy↑
Filing footnotes — Common Shares, Par Value $0.001 (Indirect)
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. |
Common Shares, Par Value $0.001
(I)
|
6,300 |
| 2025-01-10 | GABELLI MARIO J |
10% Owner |
Buy↑
Filing footnotes — Common Shares, Par Value $0.001 (Indirect)
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. |
Common Shares, Par Value $0.001
(I)
|
7,700 |
| 2024-02-22 | Ball John Chester |
President & Treasurer |
Buy↑
|
Common Shares, Par Value $0.001
|
22 |
| 2023-09-26 | Dreyer Kevin V. |
Director |
Other↓
Filing footnotes — Series B Cumulative Preferred Shares (Direct)
Shares of the outstanding Series B Cumulative Preferred Shares were surrendered in a pro rata allocation pursuant to a holder put option. |
Series B Cumulative Preferred Shares
|
2,164 |
| 2023-09-26 | GABELLI MARIO J |
10% Owner |
Other↓
Filing footnotes — Series B Cumulative Preferred Shares (Indirect)
Shares of the outstanding Series B Cumulative Preferred Shares were surrendered in a pro rata allocation pursuant to a holder put option. The shares reported reflect the total shares owned by Associated Capital Group, Inc. (ACG). Mario J. Gabelli is the Executive Chair and controlling shareholder of ACG. Mr. Gabelli has less than a 100% interest in ACG and disclaims beneficial ownership of the shares held by it which are in excess of his indirect pecuniary interest. |
Series B Cumulative Preferred Shares
(I)
|
87,954 |
| 2023-09-26 | GABELLI MARIO J |
10% Owner |
Other↓
Filing footnotes — Series B Cumulative Preferred Shares (Direct)
Shares of the outstanding Series B Cumulative Preferred Shares were surrendered in a pro rata allocation pursuant to a holder put option. |
Series B Cumulative Preferred Shares
|
329,901 |
| 2023-09-26 | GABELLI MARIO J |
10% Owner |
Other↓
Filing footnotes — Series B Cumulative Preferred Shares (Indirect)
Shares of the outstanding Series B Cumulative Preferred Shares were surrendered in a pro rata allocation pursuant to a holder put option. 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. |
Series B Cumulative Preferred Shares
(I)
|
109,993 |
| 2022-10-17 | GABELLI MARIO J |
10% Owner |
Sell↓
Filing footnotes — Series B Cumulative Preferred Shares (Indirect)
Shares traded in a private transaction between related accounts The shares being reported are held at E3M 2018, LLC, in which Mr. Gabelli has less than a 100% interest and disclaims beneficial ownership of the shares held by it which are in excess of his indirect pecuniary interest. |
Series B Cumulative Preferred Shares
(I)
|
158,554 |
| 2022-10-17 | GABELLI MARIO J |
10% Owner |
Buy↑
Filing footnotes — Series B Cumulative Preferred Shares (Direct)
Shares traded in a private transaction between related accounts |
Series B Cumulative Preferred Shares
|
158,554 |
| 2022-09-26 | GABELLI MARIO J |
10% Owner |
Other↓
Filing footnotes — Series B Cumulative Preferred Shares (Indirect)
Shares of the outstanding Series B Cumulative Preferred Shares were surrendered in a pro rata allocation pursuant to a holder put option. 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. |
Series B Cumulative Preferred Shares
(I)
|
51,807 |
| 2022-09-26 | GABELLI MARIO J |
10% Owner |
Other↓
Filing footnotes — Series B Cumulative Preferred Shares (Indirect)
Shares of the outstanding Series B Cumulative Preferred Shares were surrendered in a pro rata allocation pursuant to a holder put option. The shares being reported are held at E3M Investors, LLC, in which Mr. Gabelli has less than a 100% interest and disclaims beneficial ownership of the shares held by it which are in excess of his indirect pecuniary interest. |
Series B Cumulative Preferred Shares
(I)
|
72,530 |
| 2022-09-26 | Dreyer Kevin V. |
Director |
Other↓
Filing footnotes — Series B Cumulative Preferred Shares (Direct)
Shares of the outstanding Series B Cumulative Preferred Shares were surrendered in a pro rata allocation pursuant to a holder put option. |
Series B Cumulative Preferred Shares
|
1,036 |
| 2022-09-26 | GABELLI MARIO J |
10% Owner |
Other↓
Filing footnotes — Series B Cumulative Preferred Shares (Indirect)
Shares of the outstanding Series B Cumulative Preferred Shares were surrendered in a pro rata allocation pursuant to a holder put option. The shares being reported are held at E3M 2018, LLC, in which Mr. Gabelli has less than a 100% interest and disclaims beneficial ownership of the shares held by it which are in excess of his indirect pecuniary interest. |
Series B Cumulative Preferred Shares
(I)
|
41,446 |
| 2022-09-26 | GABELLI MARIO J |
10% Owner |
Other↓
Filing footnotes — Series B Cumulative Preferred Shares (Indirect)
Shares of the outstanding Series B Cumulative Preferred Shares were surrendered in a pro rata allocation pursuant to a holder put option. The shares reported reflect the total shares owned by GPJ Retirement Partners, LLC, a limited liability company. Mr. Gabelli has less than a 100% interest in the entity and disclaims beneficial ownership of the shares held by this entity which are in excess of his indirect pecuniary interest. |
Series B Cumulative Preferred Shares
(I)
|
20,722 |
| 2022-09-26 | GABELLI MARIO J |
10% Owner |
Other↓
Filing footnotes — Series B Cumulative Preferred Shares (Direct)
Shares of the outstanding Series B Cumulative Preferred Shares were surrendered in a pro rata allocation pursuant to a holder put option. |
Series B Cumulative Preferred Shares
|
33,880 |
| 2022-09-26 | GABELLI MARIO J |
10% Owner |
Other↓
Filing footnotes — Series B Cumulative Preferred Shares (Indirect)
Shares of the outstanding Series B Cumulative Preferred Shares were surrendered in a pro rata allocation pursuant to a holder put option. The shares reported reflect the total shares owned by Associated Capital Group, Inc. (ACG). Mario J. Gabelli is the Executive Chair and controlling shareholder of ACG. Mr. Gabelli has less than a 100% interest in ACG and disclaims beneficial ownership of the shares held by it which are in excess of his indirect pecuniary interest. |
Series B Cumulative Preferred Shares
(I)
|
41,446 |
| 2022-02-28 | ALPERT BRUCE N |
President |
Other↓
Filing footnotes — Series A Cumulative Preferred Shares (Indirect)
The shares being reported were redeemed in accordance with the redemption of the outstanding Series A Cumulative Preferred Shares on February 28, 2022. |
Series A Cumulative Preferred Shares
(I)
|
1,000 |
| 2022-02-28 | ALPERT BRUCE N |
President |
Other↓
Filing footnotes — Series A Cumulative Preferred Shares (Direct)
The shares being reported were redeemed in accordance with the redemption of the outstanding Series A Cumulative Preferred Shares on February 28, 2022. |
Series A Cumulative Preferred Shares
|
3,170 |
| 2022-02-17 | Mullady Agnes |
Director |
Buy↑
|
Common Shares, Par Value $0.001
|
150 |
| 2021-11-01 | GABELLI MARIO J |
10% Owner |
Buy↑
Filing footnotes — Series B Cumulative Preferred Shares (Indirect)
The shares reported reflect the total shares owned by GPJ Retirement Partners, LLC, a limited liability company. Mr. Gabelli has less than a 100% interest in the entity and disclaims beneficial ownership of the shares held by this entity which are in excess of his indirect pecuniary interest. |
Series B Cumulative Preferred Shares
(I)
|
100,000 |
| 2021-11-01 | GABELLI MARIO J |
10% Owner |
Buy↑
Filing footnotes — Series B Cumulative Preferred Shares (Indirect)
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. |
Series B Cumulative Preferred Shares
(I)
|
250,000 |
| 2021-11-01 | GABELLI MARIO J |
10% Owner |
Buy↑
|
Series B Cumulative Preferred Shares
|
163,500 |
| 2021-11-01 | GABELLI MARIO J |
10% Owner |
Buy↑
Filing footnotes — Series B Cumulative Preferred Shares (Indirect)
The shares being reported are held at E3M Investors, LLC, in which Mr. Gabelli has less than a 100% interest and disclaims beneficial ownership of the shares held by it which are in excess of his indirect pecuniary interest. |
Series B Cumulative Preferred Shares
(I)
|
350,000 |
| 2021-11-01 | GABELLI MARIO J |
10% Owner |
Buy↑
Filing footnotes — Series B Cumulative Preferred Shares (Indirect)
The shares being reported are held at E3M 2018, LLC, in which Mr. Gabelli has less than a 100% interest and disclaims beneficial ownership of the shares held by it which are in excess of his indirect pecuniary interest. |
Series B Cumulative Preferred Shares
(I)
|
200,000 |
| 2021-11-01 | GABELLI MARIO J |
10% Owner |
Buy↑
Filing footnotes — Series B Cumulative Preferred Shares (Indirect)
The shares reported reflect the total shares owned by Associated Capital Group, Inc. (AC). Mario J. Gabelli is the Executive Chairman and controlling shareholder of AC. Mr. Gabelli has less than a 100% interest in AC and disclaims beneficial ownership of the shares held by it which are in excess of his indirect pecuniary interest. |
Series B Cumulative Preferred Shares
(I)
|
200,000 |
| 2021-11-01 | Dreyer Kevin V. |
Director |
Buy↑
|
Series B Cumulative Preferred Shares
|
5,000 |
| 2021-09-02 | Dreyer Kevin V. |
Director |
Buy↑
|
Common Shares, Par Value $0.001
|
1,333 |
| 2021-05-20 | ALPERT BRUCE N |
President |
Inheritance↑
Filing footnotes — Series A Cumulative Preferred Shares (Direct)
The shares being reported were acquired from an estate inheritance. 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. |
Series A Cumulative Preferred Shares
|
104 |
| 2021-02-08 | ALPERT BRUCE N |
President |
Inheritance↑
Filing footnotes — Series A Cumulative Preferred Shares (Direct)
The shares being reported were acquired from an estate inheritance. |
Series A Cumulative Preferred Shares
|
66 |
| 2020-11-11 | Birch John |
Director |
Buy↑
|
Common Shares, Par Value $0.001
|
1,820 |
| 2020-04-17 | Birch John |
Director |
Buy↑
|
Common Shares, Par Value $0.001
|
1,000 |
| 2020-03-10 | GABELLI MARIO J |
10% Owner |
Buy↑
|
Common Shares, Par Value $0.001
|
280 |
| 2020-01-15 | GABELLI MARIO J |
10% Owner |
Buy↑
Filing footnotes — Common Shares, Par Value $0.001 (Direct)
Total includes shares acquired through dividend reinvestment subsequent to the initial purchase. |
Common Shares, Par Value $0.001
|
500 |