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| CIK | 1585855 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to The Gabelli Global Small and Mid Cap Value Trust - Equity Right
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| March 20, 2025 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| March 20, 2025 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| August 16, 2024 |
August 16, 2024 VIA EDGAR Division of Investment Management U.S. Securities and Exchange Commission 100 F Street N.E. Washington, DC 20549 Attn: Deborah L. O’Neal Jeff Long RE: The Gabelli Global Small and Mid Cap Value Trust (File Nos.: 333-280666; 811-22884) Dear Ms. O’Neal and Mr. Long: Thank you for your oral comments regarding your review of the registration statement on Form N-2 filed on Jul |
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| April 3, 2024 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| March 21, 2024 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| March 21, 2024 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| March 14, 2024 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 8) The Gabelli Global Small and Mid Cap Value Trust (Name of Issuer) Common Shares (Title of Class of Securities) 36249W104 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number |
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| April 5, 2023 |
DEFA14A 1 ggz-html6197defa14a.htm THE GG SMALL AND MID CAP VALUE TRUST (GGZ) - DEFA14A SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Ru |
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| April 5, 2023 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| March 15, 2023 |
GGZ / Gabelli Global Small and Mid Cap Value Trust / GAMCO INVESTORS, INC. ET AL Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 7) The Gabelli Global Small and Mid Cap Value Trust (Name of Issuer) Common Shares (Title of Class of Securities) 36249W104 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number |
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| February 9, 2023 |
SC 13G/A 1 ggzpref13g01mjg1999.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934* (Amendment No. 1) The Gabelli Global Small and Mid Cap Value Trust (Name of Issuer) Preferred Shares (Title of Class of Securities) 36249W302 (CUSIP Number) December 31, 2022 (Date of Event which Requires Filing of this Statement) Check |
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| February 9, 2023 |
GGZ / Gabelli Global Small and Mid Cap Value Trust (The) / Pitaro Regina M. Passive Investment SC 13G/A 1 ggzpref13g01pitaro.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934* (Amendment No. 1) The Gabelli Global Small and Mid Cap Value Trust (Name of Issuer) Preferred Shares (Title of Class of Securities) 36249W302 (CUSIP Number) December 31, 2022 (Date of Event which Requires Filing of this Statement) Check t |
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| November 29, 2022 |
NPORT-EX 2 GB42GABELLI09302022.htm 1 The Gabelli Global Small and Mid Cap Value Trust Schedule of Investments — September 30, 2022 (Unaudited) Shares Market Value COMMON STOCKS — 92 .8 % Aerospace — 1 .9 % 32,000 Aerojet Rocketdyne Holdings Inc. † ..... $ 1,279,680 14,000 Allied Motion Technologies Inc. ....... 400,680 7,000 Avio SpA ....................... 63,047 15,100 Kaman Corp. ....... |
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| August 25, 2022 |
Statement of Preferences for Series B Cumulative Preferred Shares THE GABELLI GLOBAL SMALL AND MID CAP VALUE TRUST STATEMENT OF PREFERENCES OF 4.00% SERIES B CUMULATIVE PREFERRED SHARES The Gabelli Global Small and Mid Cap Value Trust, a Delaware statutory trust (the ?Trust?), hereby certifies that: FIRST: The Board of Trustees of the Trust (the ?Board of Trustees?), at a meeting duly convened and held on February 24, 2016, pursuant to authority expressly vested |
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| August 25, 2022 |
As filed with the Securities and Exchange Commission on August 24, 2022 As filed with the Securities and Exchange Commission on August 24, 2022 Securities Act File No. |
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| August 25, 2022 |
* * * * * * * Comments and Responses August 25, 2022 VIA EDGAR Mindy Rotter, Esq., CPA Division of Investment Management Disclosure Review and Accounting Office U.S. Securities and Exchange Commission New York Regional Office 100 Pearl Street, Suite 20-100 New York, NY 10004-2616 RE: Gabelli Funds Dear Ms. Rotter: Thank you for your oral comments on July 27, 2022 regarding your Sarbanes-Oxley review of the funds listed on Appendix A. |
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| August 25, 2022 |
Amendment No. 1 to By-Laws of Registrant ** AMENDMENT NO. 1 TO BY-LAWS OF THE GABELLI GLOBAL SMALL AND MID CAP VALUE TRUST Effective: August 17, 2022 On August 17, 2022, the Board of Trustees of The Gabelli Global Small and Mid Cap Value Trust (the ?Fund?), in accordance with the Fund?s By-Laws (the ?By-Laws?) and Agreement and Declaration of Trust, approved and adopted the following amendment to the By-Laws, to be effective immediately: Ar |
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| May 31, 2022 |
1 The Gabelli Global Small and Mid Cap Value Trust Schedule of Investments — March 31, 2022 (Unaudited) Shares Market Value COMMON STOCKS — 89. |
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| March 24, 2022 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| March 24, 2022 |
DEF 14A 1 app10030966x1def14a.htm DEF 14A SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy Sta |
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| February 28, 2022 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The New York Stock Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on March 11, 2022, pursuant to the provisions of Rule 12d2-2 (a). |
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| November 29, 2021 |
NPORT-EX 2 GB42GB093021.htm 1 The Gabelli Global Small and Mid Cap Value Trust Schedule of Investments — September 30, 2021 (Unaudited) Shares Market Value COMMON STOCKS — 90.3% Aerospace — 1.4% 22,000 Aerojet Rocketdyne Holdings Inc. ...... $ 958,100 9,000 Allied Motion Technologies Inc. ....... 281,520 9,000 Avio SpA ....................... 113,425 18,000 Kaman Corp. .................... |
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| November 12, 2021 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 The Gabelli Global Small and Mid Cap Value Trust (Name of Issuer) Preferred Shares (Title of Class of Securities) 36249W203 & 36249W302 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number of |
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| November 12, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934* The Gabelli Global Small and Mid Cap Value Trust (Name of Issuer) Preferred Shares (Title of Class of Securities) 36249W203 & 36249W302 (CUSIP Number) November 1, 2021 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule |
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| November 12, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934* The Gabelli Global Small and Mid Cap Value Trust (Name of Issuer) Preferred Shares (Title of Class of Securities) 36249W203 & 36249W302 (CUSIP Number) November 1, 2021 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule |
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| September 8, 2021 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 6) The Gabelli Global Small and Mid Cap Value Trust (Name of Issuer) Common Shares (Title of Class of Securities) 36249W104 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number |
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| August 11, 2021 |
TEL: (617) 573-4800 FAX: (617) 573-4822 SKADDEN, ARPS, SLATE, MEAGHER & FLOM LLP 500 BOYLSTON STREET BOSTON, MASSACHUSETTS 02116 DIRECT DIAL 617-573-4836 DIRECT FAX 617-305-4836 EMAIL ADDRESS KENNETH. |
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| May 28, 2021 |
The Gabelli Global Small and Mid Cap Value Trust Schedule of Investments ? March 31, 2021 (Unaudited) Shares Market Value COMMON STOCKS ? 92. |
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| March 29, 2021 |
- THE GABELLI GLOBAL SMALL AND MID CAP VALUE TRUST (GGZ)_DEFA14A SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| March 29, 2021 |
? SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| November 27, 2020 |
The Gabelli Global Small and Mid Cap Value Trust Schedule of Investments ? September 30, 2020 (Unaudited) Shares Market Value COMMON STOCKS ? 91. |
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| September 28, 2020 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 5) The Gabelli Global Small and Mid Cap Value Trust (Name of Issuer) Common Shares (Title of Class of Securities) 36249W104 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number |
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| May 22, 2020 |
HTML The Gabelli Global Small and Mid Cap Value Trust Schedule of Investments — March 31, 2020 (Unaudited) Shares Market Value COMMON STOCKS — 89. |
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| May 6, 2020 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| May 4, 2020 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| May 1, 2020 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| April 9, 2020 |
GGZ / Gabelli Global Small and Mid Cap Value Trust (The) DEF 14A - - DEF 14A SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| April 9, 2020 |
GGZ / Gabelli Global Small and Mid Cap Value Trust (The) DEFR14A - - DEFR 14A SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| March 10, 2020 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 4) The Gabelli Global Small and Mid Cap Value Trust (Name of Issuer) Common Shares (Title of Class of Securities) 36249W104 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number |
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| November 26, 2019 |
GGZ / Gabelli Global Small and Mid Cap Value Trust (The) NPORT-EX - - FOR VALIDATION PURPOSES ONLY - [821071.TX] The Gabelli Global Small and Mid Cap Value Trust Schedule of Investments — September 30, 2019 (Unaudited) Shares Market Value COMMON STOCKS — 88.3% Aerospace — 2.4% 12,500 Aerojet Rocketdyne Holdings Inc.† $ 631,375 6,000 Allied Motion Technologies Inc. 211,860 7,000 Avio SpA 90,793 128,000 BBA Aviation plc 491,345 16,500 Kaman Corp. 981,090 1,000 L3Harri |
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| May 24, 2019 |
GGZ / Gabelli Global Small and Mid Cap Value Trust (The) NPORT-EX - - Gabelli Global Small & Mid Cap Value Trust The Gabelli Global Small and Mid Cap Value Trust Schedule of Investments — March 31, 2019 (Unaudited) Shares Market Value COMMON STOCKS — 89. |
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| April 16, 2019 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3) The Gabelli Global Small and Mid Cap Value Trust (Name of Issuer) Common Shares (Title of Class of Securities) 36249W104 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number |
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| March 28, 2019 |
GGZ / Gabelli Global Small and Mid Cap Value Trust (The) DEFA14A SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| March 28, 2019 |
GGZ / Gabelli Global Small and Mid Cap Value Trust (The) DEF 14A SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| November 21, 2018 |
Gabelli Global Small & Mid Cap Value Trust UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| November 21, 2018 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act EX-99.CERT 2 d607949dex99cert.htm 302 CERTIFICATIONS Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Bruce N. Alpert, certify that: 1. I have reviewed this report on Form N-Q of The Gabelli Global Small and Mid Cap Value Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a ma |
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| May 25, 2018 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act EX-99.CERT 2 d563880dex99cert.htm 302 CERTIFICATIONS Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Bruce N. Alpert, certify that: 1. I have reviewed this report on Form N-Q of The Gabelli Global Small and Mid Cap Value Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a ma |
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| May 25, 2018 |
Gabelli Global Small & Mid Cap Value Trust - GABELLI GLOBAL SMALL & MID CAP VALUE TRUST Gabelli Global Small & Mid Cap Value Trust UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 28, 2018 |
GGZ / Gabelli Global Small and Mid Cap Value Trust (The) DEFA14A SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| March 28, 2018 |
GGZ / Gabelli Global Small and Mid Cap Value Trust (The) DEF 14A SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| December 14, 2017 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2) The Gabelli Global Small and Mid Cap Value Trust (Name of Issuer) Common Shares (Title of Class of Securities) 36249W104 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number |
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| November 29, 2017 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act EX-99.CERT 2 d446318dex99cert.htm 302 CERTIFICATIONS Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Bruce N. Alpert, certify that: 1. I have reviewed this report on Form N-Q of The Gabelli Global Small and Mid Cap Value Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a ma |
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| November 29, 2017 |
Gabelli Global Small & Mid Cap Value Trust - GABELLI GLOBAL SMALL & MID CAP VALUE TRUST N-Q 1 d446318dnq.htm GABELLI GLOBAL SMALL & MID CAP VALUE TRUST UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22884 The Gabelli Global Small and Mid Cap Value Trust (Exact name of registrant as specified in charter) One Corporate Center Rye, |
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| October 23, 2017 |
Form of Administrative Agent Agreement MORROW SODALI September 27, 2017 The Gabelli Global Small and Mid Cap Value Trust One Corporate Center Rye, NY 10580-1422 This letter will serve as the agreement under which you will retain Morrow Sodali LLC (?Morrow? or ?us?) to perform search and distribution services in connection with the Rights Offering by The Gabelli Global Small and Mid Cap Value Trust to holders of the Fund?s existing Common Shares (?the Offer?). |
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| October 23, 2017 |
Opinion and Consent of Skadden, Arps, Slate, Meagher & Flom LLP October 23, 2017 The Gabelli Global Small and Mid Cap Value Trust One Corporate Center Rye, New York 10580-1422 Re: The Gabelli Global Small and Mid Cap Value Trust ? Rights Offering Shelf Takedown Ladies and Gentlemen: We have acted as special counsel to The Gabelli Global Small and Mid Cap Value Trust, a statutory trust (the ?Trust?) created under the Delaware Statutory Trust Act (the ?DSTA?), in connection with the the issuance by the Trust to the holders of the Trust?s common shares of beneficial interest, par value $0. |
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| October 23, 2017 |
Gabelli Global Small and Mid Cap Value Trust GABELLI GLOBAL SMALL & MID CAP VALUE TRUST Gabelli Global Small & Mid Cap Value Trust As filed with the Securities and Exchange Commission on October 23, 2017 Securities Act File No. |
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| October 23, 2017 |
Form of Subscription Agent Agreement Subscription Agent Agreement Between The Gabelli Global Small and Mid Cap Value Trust and Computershare Trust Company, N. |
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| October 23, 2017 |
Form of Dealer Manager Agreement The Gabelli Global Small and Mid Cap Value Trust Common Shares of Beneficial Interest Issuable Upon Exercise of Rights to Subscribe for such Shares DEALER MANAGER AGREEMENT October 19, 2017 G. |
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| October 23, 2017 |
Form of Subscription Certificate for Common Shares . NNNNNNNNNNNN + THE GABELLI GLOBAL SMALL 250 Royall Street, Suite V AND MID CAP VALUE TRUST Canton MA 02021 For information call the Fund 1 800 GABELLI (422 3554) MR A SAMPLE DESIGNATION (IF ANY) ADD 1 ADD 2 ADD 3 ADD 4 NNNNNN ADD 5 NNNNNNNNN ADD 6 C 1234567890 J N T NNNNNN Account: 12345678901234 Subscription Rights: 12345678901234 THE GABELLI G |
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| October 23, 2017 |
Form of Notice of Guaranteed Delivery Notice of Guaranteed Delivery For Common Shares of The Gabelli Global Small and Mid Cap Value Trust Subscribed for Via Primary Subscription and the Over-Subscription Privilege As set forth in the Prospectus Supplement, dated October 20, 2017, and the accompanying Prospectus, dated October 3, 2017 (collectively, the ?Prospectus?), for this offering, this form or one substantially equivalent hereto may be used as a means of effecting subscription and payment for all shares of the Fund?s common shares of beneficial interest, par value $0. |
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| September 29, 2017 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the incorporation by reference in this Registration Statement on Form N-2 of The Gabelli Global Small and Mid Cap Value Trust of our report dated February 28, 2017, relating to the financial statements and financial highlights, which appears in The Gabelli Global Small and Mid Cap Value Trust?s Annual Report on Form N-CSR for the year ended December 31, 2016. |
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| September 29, 2017 |
As filed with the Securities and Exchange Commission on September 29, 2017 The Gabelli Global Small and Mid Cap Value Trust Table of Contents As filed with the Securities and Exchange Commission on September 29, 2017 Securities Act File No. |
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| September 20, 2017 |
GGZ / Gabelli Global Small and Mid Cap Value Trust (The) CORRESP The Gabelli Global Small and Mid Cap Value Trust [Letterhead of Skadden, Arps, Slate, Meagher & Flom LLP] September 20, 2017 VIA EDGAR David L. |
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| September 14, 2017 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1) The Gabelli Global Small and Mid Cap Value Trust (Name of Issuer) Common Shares (Title of Class of Securities) 36249W104 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number |
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| July 13, 2017 |
SKADDEN, ARPS, SLATE, MEAGHER & FLOM LLP 500 BOYLSTON STREET BOSTON, MASSACHUSETTS 02116 TEL: (617) 573-4800 FAX: (617) 573-4822 www. |
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| July 13, 2017 |
Exhibit (r)(i) SECTION S Code of Ethics Gabelli Funds, LLC GAMCO Asset Management Inc. |
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| July 13, 2017 |
As filed with the Securities and Exchange Commission on July 13, 2017 Table of Contents As filed with the Securities and Exchange Commission on July 13, 2017 Securities Act File No. |
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| May 25, 2017 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act 302 Certifications Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Bruce N. |
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| May 25, 2017 |
Gabelli Global Small & Mid Cap Value Trust - GABELLI GLOBAL SMALL & MID CAP VALUE TRUST N-Q 1 d368137dnq.htm GABELLI GLOBAL SMALL & MID CAP VALUE TRUST UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22884 The Gabelli Global Small and Mid Cap Value Trust (Exact name of registrant as specified in charter) One Corporate Center Rye, |
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| April 3, 2017 |
Gabelli Global Small and Mid Cap Value Trust DEFA14A SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| April 3, 2017 |
Gabelli Global Small and Mid Cap Value Trust DEF 14A SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| November 23, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22884 The Gabelli Global Small and Mid Cap Value Trust (Exact name of registrant as specified in charter) One Corporate Center Rye, New York 10580-1422 (Address of principal executive offices) (Z |
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| November 23, 2016 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act EX-99.CERT 2 d23444dex99cert.htm 302 CERTIFICATIONS Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Bruce N. Alpert, certify that: 1. I have reviewed this report on Form N-Q of The Gabelli Global Small and Mid Cap Value Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a mat |
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| May 27, 2016 |
Gabelli Global Small & Mid Cap Value Trust UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 27, 2016 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act EX-99.CERT 2 d173672dex99cert.htm 302 CERTIFICATIONS Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Bruce N. Alpert, certify that: 1. I have reviewed this report on Form N-Q of The Gabelli Global Small and Mid Cap Value Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a ma |
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| May 9, 2016 |
[Letterhead of Skadden, Arps, Slate, Meagher & Flom LLP] Opinion and Consent of Skadden, Arps, Slate, Meagher & Flom LLP [Letterhead of Skadden, Arps, Slate, Meagher & Flom LLP] Exhibit 99(l)(ii) May 6, 2016 The Gabelli Global Small and Mid Cap Value Trust One Corporate Center Rye, New York 10580-1422 Re: The Gabelli Global Small and Mid Cap Value Trust Preferred Shares Shelf Takedown Ladies and Gentlemen: We have acted as special counsel to The Gabelli Global Small and Mid Cap Value Trust, a statutory trust (the ?Trust? or ?Our Client?) created under the Delaware Statutory Trust Act (the ?DSTA?), in connection with the issuance and sale by the Trust of up to 1,200,000 shares (the ?Shares?) of the Trust?s 5. |
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| May 9, 2016 |
SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 THE GABELLI GLOBAL SMALL AND MID CAP VALUE TRUST (Exact Name of Registrant as Specified in its Charter) Delaware 45-4510162 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) One Cor |
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| May 9, 2016 |
Seventh Amendment to Transfer Agency and Service Agreement EX-99.(K)(I)(G) 4 d184530dex99kig.htm AMENDMENT NO. 7 TO TRANSFER AGENCY AND SERVICE AGREEMENT Ex. 99(k)(i)(g) Seventh Amendment to Transfer Agency and Service Agreement This Seventh Amendment (“Amendment’’), effective as of May 10, 2016 (‘‘Effective Date’’), is to the Transfer Agency and Service Agreement, as amended (the “Agreement’’) dated January 1, 2011, by and among Computershare Inc., and i |
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| May 9, 2016 |
Gabelli Global Small and Mid Cap Value Trust GABELLI GLOBAL SMALL & MID CAP VALUE TRUST Gabelli Global Small & Mid Cap Value Trust As filed with the Securities and Exchange Commission on May 9, 2016 Securities Act File No. |
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| May 9, 2016 |
Statement of Preferences for 5.450% Series A Cumulative Preferred Shares (2) Statement of Preferences for the 5.450 Series A Cumulative Preferred Shares Exhibit 99(a)(ii) THE GABELLI GLOBAL SMALL AND MID CAP VALUE TRUST STATEMENT OF PREFERENCES OF 5.450% SERIES A CUMULATIVE PREFERRED SHARES The Gabelli Global Small and Mid Cap Value Trust, a Delaware statutory trust (the ?Trust?), hereby certifies that: FIRST: The Board of Trustees of the Trust (the ?Board of Trustees?), a |
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| May 9, 2016 |
Form of Underwriting Agreement Exhibit 99(h)(i) EXECUTION VERSION THE GABELLI GLOBAL SMALL AND MID CAP VALUE TRUST (a Delaware Statutory Trust) 1,200,000 Shares of 5. |
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| April 15, 2016 |
Gabelli Global Small and Mid Cap Value Trust ESP The Gabelli Global Small and Mid Cap Value Trust DIRECT DIAL 617-573-4836 DIRECT FAX 617-305-4836 EMAIL ADDRESS KENNETH. |
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| April 15, 2016 |
Gabelli Global Small and Mid Cap Value Trust ESP CORRESP 1 filename1.htm The Gabelli Global Small and Mid Cap Value Trust One Corporate Center Rye, New York 10580-1422 April 15, 2016 VIA EDGAR Patrick Scott Senior Counsel – Office of Disclosure and Review Division of Investment Management U.S. Securities and Exchange Commission 100 F Street N.E. Washington, DC 20549 RE: The Gabelli Global Small and Mid Cap Value Trust (File Nos. 333-207415 & 811 |
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| March 29, 2016 |
Gabelli Global Small and Mid Cap Value Trust DEF 14A SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| March 29, 2016 |
Gabelli Global Small and Mid Cap Value Trust DEFA 14A DEFA14A 1 e435117defa14a.htm DEFA 14A SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive Proxy Statement x De |
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| December 10, 2015 |
SC 13G/A 1 ggz13GA3.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 3) Gabelli Global Small & Mid Cap Value Trust(GGZ) (Name of Issuer) Common Stock (Title of Class of Securities) 36249W104 (CUSIP Number) November 30, 2015 (Date of Event which Requires Filing of this Statement) Check the appropriate |
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| November 25, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22884 The Gabelli Global Small and Mid Cap Value Trust (Exact name of registrant as specified in charter) One Corporate Center Rye, New York 10580-1422 (Address of principal executive offices) (Z |
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| November 25, 2015 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act EX-99.CERT 2 d26083dex99cert.htm 302 CERTIFICATIONS Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Bruce N. Alpert, certify that: 1. I have reviewed this report on Form N-Q of The Gabelli Global Small and Mid Cap Value Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a mat |
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| November 19, 2015 |
SC 13D 1 ggz00.htm SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 The Gabelli Global Small and Mid Cap Value Trust (Name of Issuer) Common Shares (Title of Class of Securities) 36249W104 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number |
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| May 18, 2015 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act EX-99.CERT 2 d926548dex99cert.htm 302 CERTIFICATIONS Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Bruce N. Alpert, certify that: 1. I have reviewed this report on Form N-Q of The Gabelli Global Small and Mid Cap Value Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a ma |
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| May 18, 2015 |
Gabelli Global Small & Mid Cap Value Trust UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 8, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 2) Gabelli Global Small & Mid Cap Value Trust(GGZ) (Name of Issuer) Common Stock (Title of Class of Securities) 36249W104 (CUSIP Number) April 30, 2015 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule |
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| March 31, 2015 |
Gabelli Global Small and Mid Cap Value Trust DEF 14A SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| March 31, 2015 |
Gabelli Global Small and Mid Cap Value Trust DEFA14A SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| February 13, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1) Gabelli Global Small & Mid Cap Value Trust(GGZ) (Name of Issuer) Common Stock (Title of Class of Securities) 36249W104 (CUSIP Number) December 31, 2014 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the ru |
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| December 10, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Gabelli Small and Mid Cap Value Trust (GGZ) (Name of Issuer) Common Stock (Title of Class of Securities) 36249W104 (CUSIP Number) November 30, 2014 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which thi |
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| November 20, 2014 |
Gabelli Global Small & Mid Cap Value Trust - GABELLI GLOBAL SMALL & MID CAP VALUE TRUST Gabelli Global Small & Mid Cap Value Trust UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| November 20, 2014 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act EX-99.CERT 2 d821266dex99cert.htm 302 CERTIFICATIONS Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Bruce N. Alpert, certify that: 1. I have reviewed this report on Form N-Q of The Gabelli Global Small and Mid Cap Value Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a ma |
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| May 23, 2014 |
Gabelli Global Small & Mid Cap Value Trust SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| March 26, 2014 |
Merger Prospectus - THE GABELLI GLOBAL SMALL AND MID CAP VALUE TRUST The Gabelli Global Small and Mid Cap Value Trust Filed by The Gabelli Global Small & Mid Cap Value Trust pursuant to Rule 425 of the Securities Act of 1933, as amended Subject Company: The Gabelli Global Small & Mid Cap Value Trust Commission File No. |
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| March 26, 2014 |
Merger Prospectus - THE GABELLI DIVIDEND AND INCOME TRUST The Gabelli Dividend and Income Trust Filed by The Gabelli Dividend & Income Trust pursuant to Rule 425 of the Securities Act of 1933, as amended Subject Company: The Gabelli Global Small & Mid Cap Value Trust Commission File No. |
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| March 14, 2014 |
- THE GABELLI GLOBAL SMALL AND MID CAP VALUE TRUST The Gabelli Global Small and Mid Cap Value Trust The Gabelli Global Small and Mid Cap Value Trust One Corporate Center Rye, New York 10580-1422 March 14, 2014 Public Filing Desk U. |
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| February 7, 2014 |
[Letterhead of Skadden, Arps, Slate, Meagher & Flom LLP] February 7, 2014 Tax Opinion of Counsel [Letterhead of Skadden, Arps, Slate, Meagher & Flom LLP] February 7, 2014 The Gabelli Global Small and Mid Cap Value Trust One Corporate Center Rye, New York 10580 Re: The Gabelli Global Small and Mid Cap Value Trust— Registration Statement on Form N-14 (File No. |
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| February 7, 2014 |
[Letterhead of Skadden, Arps, Slate, Meagher & Flom LLP] February 7, 2014 Opinion of Counsel [Letterhead of Skadden, Arps, Slate, Meagher & Flom LLP] February 7, 2014 The Gabelli Global Small and Mid Cap Value Trust One Corporate Center Rye, New York 10580 RE: The Gabelli Global Small and Mid Cap Value Trust - Registration Statement on Form N-14 (File No. |
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| February 7, 2014 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Consent of PricewaterhouseCoopers LLP. CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the incorporation by reference in this Registration Statement on Form N-14 of our report dated February 28, 2013, relating to the financial statements and financial highlights which appear in the December 31, 2012 Annual Report to Shareholders of The Gabelli Dividend & Income Trust, |
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| February 7, 2014 |
[Letterhead of Skadden, Arps, Slate, Meagher & Flom LLP] February 7, 2014 VIA EDGAR Laura Hatch Securities and Exchange Commission Division of Investment Management 100 F Street, N. |
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| February 7, 2014 |
Initial Purchase Agreement between Registrant and the Gabelli Dividend Trust Inc. (9) Initial Purchase Agreement INITIAL PURCHASE AGREEMENT The Gabelli Global Small and Mid Cap Value Trust (the “Fund”), a Delaware statutory trust, and The Gabelli Dividend & Income Trust (“Dividend Trust”), a Delaware statutory trust, hereby agree as follows: 1. |
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| February 7, 2014 |
- THE GABELLI GLOBAL SMALL AND MID CAP VALUE TRUST The Gabelli Global Small and Mid Cap Value Trust Table of Contents As filed with the Securities and Exchange Commission on February 7, 2014 Registration No. |
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| February 7, 2014 |
The Gabelli Global Small and Mid Cap Value Trust February 7, 2014 VIA EDGAR Laura Hatch Securities and Exchange Commission Division of Investment Management 100 F Street, N. |
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| September 11, 2013 |
Form of Custodian Fee Schedule between Registrant and State Street Bank and Trust Company (4) EX-99.(9)(B) 3 d594745dex999b.htm FORM OF CUSTODIAN FEE SCHEDULE STATE STREET BANK and TRUST COMPANY. CUSTODIAN FEE SCHEDULE THE GABELLI GLOBAL SMALL AND MID CAP VALUE TRUST Custody Service - Maintain custody of fund assets. Settle portfolio purchases and sales. Report buy and sell fails. Determine and collect portfolio income. Make cash disbursements and report cash transactions. Monitor corporat |
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| September 11, 2013 |
CORRESP 11 filename11.htm SKADDEN, ARPS, SLATE, MEAGHER & FLOM LLP FOUR TIMES SQUARE NEW YORK 10036-6522 TEL: (212) 735-3000 FAX: (212) 735-2000 www.skadden.com FIRM/AFFILIATE OFFICES BOSTON CHICAGO HOUSTON LOS ANGELES PALO ALTO WASHINGTON, D.C. WILMINGTON BEIJING BRUSSELS FRANKFURT HONG KONG LONDON MOSCOW MUNICH PARIS SÃO PAULO SHANGHAI SINGAPORE SYDNEY TOKYO TORONTO VIENNA September 11, 2013 VIA |
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| September 11, 2013 |
Form of Investment Advisory Agreement between Registrant and Gabelli Funds, LLC (4) Form of Investment Advisory Agreement between Registrant and Gabelli Funds, LLC INVESTMENT ADVISORY AGREEMENT , 2013 Gabelli Funds, LLC One Corporate Center Rye, New York 10580-1434 Dear Sir: The Gabelli Global Small and Mid Cap Value Trust (the “Fund”), a statutory trust organized under the laws of the state of Delaware, confirms its investment advisory agreement with Gabelli Funds, LLC (the “Adviser”), as follows: 1. |
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| September 11, 2013 |
Fourth Amendment to Transfer Agency and Service Agreement EX-99.(13)(E) 5 d594745dex9913e.htm FORM OF REGISTRAR, TRANSFER AGENCY AND SERVICE AGREEMENT Fourth Amendment to Transfer Agency and Service Agreement This Fourth Amendment (“Amendment”), effective as of , 2013 (“Effective Date”), is to the Transfer Agency and Service Agreement, as amended (the “Agreement”) dated January 1, 2011, by and among Computershare Inc., and its fully owned subsidiary Comp |
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| September 11, 2013 |
Form of Proxy Cards PROXY TABULATOR P.O. BOX 9112 FARMINGDALE, NY 11735 To vote by Internet 1) Read the Proxy Statement and have the proxy card below at hand. 2) Go to website www.[ ].com 3) Follow the instructions provided on the website. To vote by Telephone 1) Read the Proxy Statement and have the proxy card below at hand. 2) Call [ ] 3) Follow the instructions. To vote by Mail 1) Read the Prox |
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| September 11, 2013 |
- THE GABELLI GLOBAL SMALL AND MID CAP VALUE TRUST N-14 8C 1 d594745dn148c.htm THE GABELLI GLOBAL SMALL AND MID CAP VALUE TRUST Table of Contents As filed with the Securities and Exchange Commission on September 11, 2013 Registration No. 333- U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form N-14 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ¨ Pre-Effective Amendment No. ¨ Post-Effective Amendment No. The Gabelli Global |
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| September 11, 2013 |
Third Amendment to Transfer Agency and Service Agreement Third Amendment to Transfer Agency and Service Agreement Third Amendment to Transfer Agency and Service Agreement This Third Amendment (“Amendment”), effective as of June 19, 2013 (“Effective Date”), is to the Transfer Agency and Service Agreement, as amended (the “Agreement”) dated January 1, 2011, by and among Computershare Inc. |
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| September 11, 2013 |
- THE GABELLI GLOBAL SMALL AND MID CAP VALUE TRUST N-8A 1 d595770dn8a.htm THE GABELLI GLOBAL SMALL AND MID CAP VALUE TRUST As filed with the Securities and Exchange Commission on September 11, 2013 811- SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-8A NOTIFICATION OF REGISTRATION FILED PURSUANT TO SECTION 8(a) OF THE INVESTMENT COMPANY ACT OF 1940 The undersigned investment company hereby notifies the Securities and Exchange Com |
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| September 11, 2013 |
EX-99.(16) 6 d594745dex9916.htm POWER OF ATTORNEY Powers of Attorney KNOW ALL MEN BY THESE PRESENTS, that each person whose name appears below nominates, constitutes and appoints Bruce N. Alpert or Agnes Mullady (with power of substitution) as his true and lawful attorney-in-fact to make, execute and sign any Registration Statement on Form N-14 under the Securities Act of 1933 and the Investment C |
