GABELLI FUNDS LLC

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Gabelli Funds is based out of Rye. Gabelli Funds is a hedge fund with 34 clients and discretionary assets under management (AUM) of $22,038,613,472 (Form ADV from 2019-03-28). Their last reported 13F filing for Q4 2019 included $15,458,449,000 in managed 13F securities and a top 10 holdings concentration of 10.32%. Gabelli Funds's largest holding is NextEra Energy Inc. with shares held of 852,900. Whalewisdom has at least 47 13F filings

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12/31/2019

13F Sector Allocation Over Time

12/31/2019

13F Activity

  • Market Value $15.458 Billion
  • Prior Market Value $15.137 Billion
  • New Purchases79 stocks
  • Additional Purchases168 stocks
  • Sold out of94 stocks
  • Reduced holdings in513 stocks
  • Top 10 Holdings % 10.32 %
  • Turnover % [1]:15.70%
  • Turnover Alt % [2]: 9.66 %
  • Time Held Top20:12.70 quarters
  • Time Held Top10:12.80 quarters
  • Time Held All:24.71 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2020-02-14

Performance for Q4 2019: 5.82%
Performance Last 4 Quarters: 15.1%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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*Shares are split adjusted

View Last Form Adv Compilation Report on Record

GABELLI FUNDS, LLC
Classified as Hedge Fund
ONE CORPORATE CENTER
RYE NY    10580-1422
Country: United States

Business Phone: 914-921-5000
Fax: 914-921-5118
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm,Investment advisor to an investment company
Form of Organization: Limited Liability Company
Organized in: NY
Number of employees: 55
Other Business Activities: commodity pool operator or commodity trading advisor
Advisor Fees/Compensation: Percentage of assets under management,Performance-based fees
Amount of client funds and securities: 0
Total Number of Clients: 34
Amount of client funds and securities by related persons: 0
Total Number of clients from related persons: 0
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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GABELLI FUNDS, LLC

ownership team - last updated 2019-03-28
Name Title Start Date Direct/Indirect % Ownership
GAMCO INVESTORS, INC. SOLE MEMBER 02/01/1999 Direct 75% or more
Fund Name Position direct/indirect start date end date
QUANTUM/DARIEN, LP SOLE SHAREHOLDER indirect 1987-07-01
S. MUOIO & CO. LLC MEMBER direct 1997-04-01
GABELLI FIXED INCOME LLC SHAREHOLDER indirect 1999-02-01
GAMCO ASSET MANAGEMENT INC. SHAREHOLDER-100% OWNER OF APPLICANT direct 1999-02-01
GABELLI FUNDS, LLC SOLE MEMBER direct 1999-02-01
GAMCO ASSET MANAGEMENT INC. MANAGER AND MEMBER indirect 2010-05-01
GAMCO INVESTORS, INC. SHAREHOLDER OF CLASS B COMMON STOCK indirect 1999-02-01 2005-03-29
GABELLI ADVISERS, INC. SHAREHOLDER OF CLASS B STOCK direct 1999-02-01 2008-01-25
GAMCO ASSET MANAGEMENT INC. SHAREHOLDER OF CLASS B COMMON STOCK indirect 1999-02-01 2008-12-03
TETON ADVISORS, INC. SHAREHOLDER direct 1999-02-01 2009-03-24
VAN BIEMA VALUE PARTNERS, LLC SHAREHOLDER indirect 2004-07-01 2009-03-27
GAMCO ASSET MANAGEMENT INC. SHAREHOLDER OF A MAJORITY OF THE CLASS B COMMON STOCK indirect 1999-02-01 2010-02-26
GABELLI SECURITIES, INC. SHAREHOLDER OF CLASS B COMMON STOCK indirect 1999-02-01 2010-03-22
GABELLI SECURITIES, INC. SOLE MEMBER indirect 2010-05-01 2010-05-27
GAMCO ASSET MANAGEMENT INC. SOLE MEMBER indirect 2010-05-01 2010-05-27
GABELLI SECURITIES, INC. MANAGER AND MEMBER indirect 2010-05-01 2012-04-12
GABELLI SECURITIES, INC SHAREHOLDER - MAJORITY OWNER OF APPLICANT direct 1999-02-01 2015-04-10
GABELLI, MARIO, JOSEPH CHIEF INVESTMENT OFFICER 02/01/1999 Direct less than 5%
Fund Name Position direct/indirect start date end date
TETON ADVISORS, INC. SHAREHOLDER OF COMMON STOCK indirect 1976-11-01
GAMCO ASSET MANAGEMENT INC. CEO, DIRECTOR AND THE MAJORITY SHAREHOLDER OF COMMON STOCK indirect 1976-11-01
GABELLI SECURITIES, INC. CEO, DIRECTOR AND MAJORITY SHAREHOLDER OF COMMON STOCK indirect 1976-11-01
GABELLI FUNDS, LLC CEO, DIRECTOR AND SHAREHOLDER OF COMMON STOCK indirect 1976-11-01
GAMCO ASSET MANAGEMENT INC. CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER - VALUE PORTFOLIO, MAJORITY SHAREHOLDER OF ULTIMATE PARENT COMPANY direct 1976-11-01
KEELEY-TETON ADVISORS, LLC SHAREHOLDER OF COMMON STOCK indirect 1976-11-01
RYAN LABS INC SHAREHOLDER direct 1988-09-01
GABELLI FIXED INCOME LLC CEO, DIRECTOR, AND MAJORITY SHAREHOLDER OF THE COMMON STOCK indirect 1997-04-01
GABELLI FUNDS, LLC CHIEF INVESTMENT OFFICER direct 1999-02-01
TETON ADVISORS, INC. SHAREHOLDER OF COMMON STOCK direct 2016-01-01
GAMCO INVESTORS INC CEO, CIO, MAJORITY SHAREHOLDER OF ULTIMATE PARENT COMPANY direct 1976-11-01 2004-10-15
GAMCO INVESTORS INC SHAREHOLDER OF COMMON STOCK indirect 1976-11-01 2005-03-29
GABELLI FUNDS, LLC SHAREHOLDER OF COMMON STOCK indirect 1976-11-01 2005-03-29
GABELLI FIXED INCOME LLC SHAREHOLDER OF GABELLI GROUP CAPITAL PARTNERS, INC. COMMON STOCK indirect 1997-04-01 2005-03-30
GAMCO INVESTORS, INC. CEO, CIO/VALUE, MAJORITY SHAREHOLDER OF ULTIMATE PARENT COMPANY direct 1976-11-01 2006-09-28
GABELLI ADVISERS, INC. SHAREHOLDER OF COMMON STOCK indirect 1976-11-01 2008-10-20
GABELLI ADVISERS, INC. GENERAL PARTNER indirect 1984-01-01 2009-02-20
GAMCO INVESTORS, INC. SHAREHOLDER OF COMMON STOCK indirect 1976-11-01 2010-02-26
GABELLI FUNDS, LLC SHAREHOLDER OF COMMON STOCK indirect 1976-11-01 2010-03-18
GABELLI SECURITIES, INC SHAREHOLDER, CEO indirect 1976-11-01 2010-03-22
GABELLI FIXED INCOME LLC SHAREHOLDER OF GGCP, INC. COMMON STOCK indirect 1997-04-01 2010-03-22
GAMCO ASSET MANAGEMENT INC. CIO/VALUE, MAJORITY SHAREHOLDER OF ULTIMATE PARENT COMPANY direct 1976-11-01 2010-06-07
TETON ADVISORS, INC. GENERAL PARTNER indirect 1984-01-01 2012-05-21
ALPERT, BRUCE, N EXECUTIVE VP AND COO 02/01/1999 Direct less than 5%
Fund Name Position direct/indirect start date end date
GABELLI FUNDS, LLC EXECUTIVE VP AND COO direct 1999-02-01
GABELLI ADVISERS, INC. PRESIDENT, DIRECTOR direct 1998-03-01 2008-05-20
TETON ADVISORS, INC. CHAIRMAN, PRESIDENT, DIRECTOR direct 1998-03-01 2008-05-28
TETON ADVISORS, INC. CHAIRMAN, DIRECTOR direct 1998-03-01 2009-02-20
TETON ADVISORS, INC. CHAIRMAN direct 1998-03-01 2010-03-18
TETON ADVISORS, INC. DIRECTOR direct 1998-03-01 2012-03-29
GABELLI FUNDS, LLC EXECUTIVE VP AND COO / CHIEF COMPLIANCE OFFICER direct 1999-02-01 2014-03-31
MULLADY, AGNES, NORA VICE PRESIDENT OF GABELLI FUNDS, LLC AND PRESIDENT AND COO OF THE FUND DIVISION 04/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
GABELLI FUNDS, LLC VICE PRESIDENT OF GABELLI FUNDS, LLC AND PRESIDENT AND COO OF THE OPEN-END FUND DIVISION direct 2007-04-01
RESERVE MANAGEMENT CO., INC. CONTROLLER direct 2000-08-01 2002-09-23
GABELLI FUNDS, LLC PRESIDENT & COO - CLOSED END FUND DIVISION AND VICE PRESIDENT OF GABELLI FUNDS, LLC direct 2007-04-01 2010-06-04
GOLDMAN, DAVID, MARC VICE PRESIDENT, CORPORATE DEVELOPMENT AND GENERAL COUNSEL 01/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
GABELLI FUNDS, LLC VICE PRESIDENT, CORPORATE DEVELOPMENT AND GENERAL COUNSEL direct 2011-01-01
GAMCO ASSET MANAGEMENT INC. CHIEF COMPLIANCE OFFICER direct 2011-12-01
GAMCO ASSET MANAGEMENT INC. GENERAL COUNSEL, SECRETARY & CHIEF COMPLIANCE OFFICER direct 2011-12-01
TETON ADVISORS, INC. CHIEF COMPLIANCE OFFICER direct 2011-12-01
TETON ADVISORS, INC. GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER direct 2011-12-01
GABELLI FIXED INCOME LLC CHIEF COMPLIANCE OFFICER direct 2011-12-01
GABELLI SECURITIES, INC. ASSISTANT SECRETARY direct 2012-06-01
GABELLI SECURITIES, INC. GENERAL COUNSEL AND ASSISTANT SECRETARY direct 2013-11-01
GABELLI SECURITIES, INC. GENERAL COUNSEL AND SECRETARY direct 2013-11-01
KEELEY-TETON ADVISORS, LLC SECRETARY direct 2016-10-01
WALZ, RICHARD, JOHN CHIEF COMPLIANCE OFFICER 03/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
GABELLI FUNDS, LLC CHIEF COMPLIANCE OFFICER direct 2015-03-01
MBIA CAPITAL MANAGEMENT CORP. CHIEF COMPLIANCE OFFICER direct 2004-10-01 2006-03-30
MBIA MUNICIPAL INVESTORS SERVICES CORP MANAGING DIRECTOR direct 2000-01-01 2010-11-09
CUTWATER COLORADO INVESTOR SERVICES CORP. DIRECTOR direct 1999-02-01 2011-03-30
COLORADO INVESTOR SERVICES CORP CHIEF COMPLIANCE OFFICER direct 2004-10-01 2011-03-30
MBIA CAPITAL MANAGEMENT CORP. FINANCIAL OPERATIONS PRINCIPAL direct 1995-08-01 2011-03-31
MBIA MUNICIPAL INVESTORS SERVICES CORP CHIEF COMPLIANCE OFFICER direct 2004-10-01 2011-03-31
AEGON USA INVESTMENT MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2011-10-01 2013-04-30
CATERINA, KIERAN, DOUGLAS CO-CHIEF ACCOUNTING OFFICER 03/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
TETON ADVISORS, INC. CO-TREASURER AND ACTING CO-CHIEF FINANCIAL OFFICER direct 2008-05-01
GABELLI SECURITIES, INC CHIEF FINANCIAL OFFICER direct 2006-10-01
GABELLI FUNDS, LLC CO-CHIEF ACCOUNTING OFFICER direct 2012-03-01
GAMCO ASSET MANAGEMENT INC. CO CHIEF ACCOUNTING OFFICER direct 2012-03-01
LAPOINTE, DIANE, MARIE CO-CHIEF ACCOUNTING OFFICER 03/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
GABELLI FUNDS, LLC CO-CHIEF ACCOUNTING OFFICER direct 2012-03-01
TETON ADVISORS, INC. CO-TREASURER AND ACTING CO-CHIEF FINANCIAL OFFICER direct 2008-05-01
GABELLI SECURITIES, INC. CONTROLLER direct 2012-06-01
GGCP, INC. MANAGER AND MEMBER GGCP HOLDINGS LLC 05/01/2010 Indirect 75% or more
Fund Name Position direct/indirect start date end date
GABELLI FIXED INCOME LLC MANAGER AND MEMBER indirect 1999-02-01
TETON ADVISORS, INC. SHAREHOLDER OF THE CLASS B COMMON STOCK direct 2009-03-01
KEELEY-TETON ADVISORS, LLC SHAREHOLDER OF THE CLASS B COMMON STOCK indirect 2009-03-01
GABELLI FUNDS, LLC MANAGER AND MEMBER indirect 2010-05-01
GABELLI SECURITIES, INC. MANAGER AND MEMBER indirect 2010-05-01
GABELLI FUNDS, LLC SHAREHOLDER OF CLASS B COMMON STOCK indirect 1999-02-01 2005-03-29
GABELLI ADVISERS, INC. SHAREHOLDER OF CLASS B STOCK indirect 1999-02-01 2005-03-29
GABELLI FIXED INCOME LLC SHAREHOLDER OF GABELLI ASSET MANAGEMENT INC. CLASS B STOCK indirect 1999-02-01 2005-03-30
GABELLI FUNDS, LLC SHAREHOLDER OF CLASS B COMMON STOCK indirect 1999-02-01 2010-03-18
GABELLI FIXED INCOME LLC SHAREHOLDER OF GAMCO INVESTORS, INC. CLASS B STOCK indirect 1999-02-01 2010-03-22
GABELLI FIXED INCOME LLC SOLE MEMBER indirect 1999-02-01 2010-05-27
GABELLI FUNDS, LLC SOLE MEMBER indirect 2010-05-01 2010-05-28
TETON ADVISORS, INC. SHAREHOLDER OF CLASS B STOCK indirect 1999-02-01 2014-03-27
GABELLI, MARIO, JOSEPH CEO, DIRECTOR AND SHAREHOLDER OF COMMON STOCK GGCP, INC. 11/01/1976 Indirect 75% or more
Fund Name Position direct/indirect start date end date
TETON ADVISORS, INC. SHAREHOLDER OF COMMON STOCK indirect 1976-11-01
GAMCO ASSET MANAGEMENT INC. CEO, DIRECTOR AND THE MAJORITY SHAREHOLDER OF COMMON STOCK indirect 1976-11-01
GABELLI SECURITIES, INC. CEO, DIRECTOR AND MAJORITY SHAREHOLDER OF COMMON STOCK indirect 1976-11-01
GABELLI FUNDS, LLC CEO, DIRECTOR AND SHAREHOLDER OF COMMON STOCK indirect 1976-11-01
GAMCO ASSET MANAGEMENT INC. CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER - VALUE PORTFOLIO, MAJORITY SHAREHOLDER OF ULTIMATE PARENT COMPANY direct 1976-11-01
KEELEY-TETON ADVISORS, LLC SHAREHOLDER OF COMMON STOCK indirect 1976-11-01
RYAN LABS INC SHAREHOLDER direct 1988-09-01
GABELLI FIXED INCOME LLC CEO, DIRECTOR, AND MAJORITY SHAREHOLDER OF THE COMMON STOCK indirect 1997-04-01
GABELLI FUNDS, LLC CHIEF INVESTMENT OFFICER direct 1999-02-01
TETON ADVISORS, INC. SHAREHOLDER OF COMMON STOCK direct 2016-01-01
GAMCO INVESTORS INC CEO, CIO, MAJORITY SHAREHOLDER OF ULTIMATE PARENT COMPANY direct 1976-11-01 2004-10-15
GAMCO INVESTORS INC SHAREHOLDER OF COMMON STOCK indirect 1976-11-01 2005-03-29
GABELLI FUNDS, LLC SHAREHOLDER OF COMMON STOCK indirect 1976-11-01 2005-03-29
GABELLI FIXED INCOME LLC SHAREHOLDER OF GABELLI GROUP CAPITAL PARTNERS, INC. COMMON STOCK indirect 1997-04-01 2005-03-30
GAMCO INVESTORS, INC. CEO, CIO/VALUE, MAJORITY SHAREHOLDER OF ULTIMATE PARENT COMPANY direct 1976-11-01 2006-09-28
GABELLI ADVISERS, INC. SHAREHOLDER OF COMMON STOCK indirect 1976-11-01 2008-10-20
GABELLI ADVISERS, INC. GENERAL PARTNER indirect 1984-01-01 2009-02-20
GAMCO INVESTORS, INC. SHAREHOLDER OF COMMON STOCK indirect 1976-11-01 2010-02-26
GABELLI FUNDS, LLC SHAREHOLDER OF COMMON STOCK indirect 1976-11-01 2010-03-18
GABELLI SECURITIES, INC SHAREHOLDER, CEO indirect 1976-11-01 2010-03-22
GABELLI FIXED INCOME LLC SHAREHOLDER OF GGCP, INC. COMMON STOCK indirect 1997-04-01 2010-03-22
GAMCO ASSET MANAGEMENT INC. CIO/VALUE, MAJORITY SHAREHOLDER OF ULTIMATE PARENT COMPANY direct 1976-11-01 2010-06-07
TETON ADVISORS, INC. GENERAL PARTNER indirect 1984-01-01 2012-05-21
GGCP HOLDINGS LLC MAJORITY SHAREHOLDER OF THE CLASS B COMMON STOCK GAMCO INVESTORS, INC. 05/01/2010 Indirect 75% or more
Fund Name Position direct/indirect start date end date
GABELLI FUNDS, LLC MAJORITY SHAREHOLDER OF THE CLASS B COMMON STOCK indirect 2010-05-01
GAMCO ASSET MANAGEMENT INC. MAJORITY SHAREHOLDER OF THE CLASS B COMMON STOCK indirect 2010-05-01
GABELLI FIXED INCOME LLC MAJORITY SHAREHOLDER OF THE CLASS B COMMON STOCK indirect 2010-05-01
GABELLI SECURITIES, INC. MAJORITY SHAREHOLDERS OF THE CLASS B COMMON STOCK indirect 2010-05-01
GABELLI & COMPANY INVESTMENT ADVISERS, INC. MAJORITY SHAREHOLDERS OF THE CLASS B COMMON STOCK indirect 2010-05-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
GABELLI VALUE PLUS TRUST+ PLC United Kingdom 805-2583326492 Hedge Fund 157,537,843 1,000
GABELLI MERGER PLUS+ TRUST PLC United Kingdom 805-8817463012 Hedge Fund 108,511,000 1,000
GAMCO MERGER ARBITRAGE Luxembourg 805-2278533639 Hedge Fund 493,875,320 1,000
GAMCO ALL CAP VALUE Luxembourg 805-6589162798 Hedge Fund 29,843,372 1,000

GABELLI FUNDS, LLC

ownership team - last updated 2017-03-29
Name Title Start Date Direct/Indirect % Ownership
GAMCO INVESTORS, INC. SOLE MEMBER 02/01/1999 Direct 75% or more
Fund Name Position direct/indirect start date end date
QUANTUM/DARIEN, LP SOLE SHAREHOLDER indirect 1987-07-01
S. MUOIO & CO. LLC MEMBER direct 1997-04-01
GABELLI FIXED INCOME LLC SHAREHOLDER indirect 1999-02-01
GAMCO ASSET MANAGEMENT INC. SHAREHOLDER-100% OWNER OF APPLICANT direct 1999-02-01
GABELLI FUNDS, LLC SOLE MEMBER direct 1999-02-01
GAMCO ASSET MANAGEMENT INC. MANAGER AND MEMBER indirect 2010-05-01
GAMCO INVESTORS, INC. SHAREHOLDER OF CLASS B COMMON STOCK indirect 1999-02-01 2005-03-29
GABELLI ADVISERS, INC. SHAREHOLDER OF CLASS B STOCK direct 1999-02-01 2008-01-25
GAMCO ASSET MANAGEMENT INC. SHAREHOLDER OF CLASS B COMMON STOCK indirect 1999-02-01 2008-12-03
TETON ADVISORS, INC. SHAREHOLDER direct 1999-02-01 2009-03-24
VAN BIEMA VALUE PARTNERS, LLC SHAREHOLDER indirect 2004-07-01 2009-03-27
GAMCO ASSET MANAGEMENT INC. SHAREHOLDER OF A MAJORITY OF THE CLASS B COMMON STOCK indirect 1999-02-01 2010-02-26
GABELLI SECURITIES, INC. SHAREHOLDER OF CLASS B COMMON STOCK indirect 1999-02-01 2010-03-22
GABELLI SECURITIES, INC. SOLE MEMBER indirect 2010-05-01 2010-05-27
GAMCO ASSET MANAGEMENT INC. SOLE MEMBER indirect 2010-05-01 2010-05-27
GABELLI SECURITIES, INC. MANAGER AND MEMBER indirect 2010-05-01 2012-04-12
GABELLI SECURITIES, INC SHAREHOLDER - MAJORITY OWNER OF APPLICANT direct 1999-02-01 2015-04-10
GABELLI, MARIO, JOSEPH CHIEF INVESTMENT OFFICER 02/01/1999 Direct less than 5%
Fund Name Position direct/indirect start date end date
TETON ADVISORS, INC. SHAREHOLDER OF COMMON STOCK indirect 1976-11-01
GAMCO ASSET MANAGEMENT INC. CEO, DIRECTOR AND THE MAJORITY SHAREHOLDER OF COMMON STOCK indirect 1976-11-01
GABELLI SECURITIES, INC. CEO, DIRECTOR AND MAJORITY SHAREHOLDER OF COMMON STOCK indirect 1976-11-01
GABELLI FUNDS, LLC CEO, DIRECTOR AND SHAREHOLDER OF COMMON STOCK indirect 1976-11-01
GAMCO ASSET MANAGEMENT INC. CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER - VALUE PORTFOLIO, MAJORITY SHAREHOLDER OF ULTIMATE PARENT COMPANY direct 1976-11-01
KEELEY-TETON ADVISORS, LLC SHAREHOLDER OF COMMON STOCK indirect 1976-11-01
RYAN LABS INC SHAREHOLDER direct 1988-09-01
GABELLI FIXED INCOME LLC CEO, DIRECTOR, AND MAJORITY SHAREHOLDER OF THE COMMON STOCK indirect 1997-04-01
GABELLI FUNDS, LLC CHIEF INVESTMENT OFFICER direct 1999-02-01
TETON ADVISORS, INC. SHAREHOLDER OF COMMON STOCK direct 2016-01-01
GAMCO INVESTORS INC CEO, CIO, MAJORITY SHAREHOLDER OF ULTIMATE PARENT COMPANY direct 1976-11-01 2004-10-15
GAMCO INVESTORS INC SHAREHOLDER OF COMMON STOCK indirect 1976-11-01 2005-03-29
GABELLI FUNDS, LLC SHAREHOLDER OF COMMON STOCK indirect 1976-11-01 2005-03-29
GABELLI FIXED INCOME LLC SHAREHOLDER OF GABELLI GROUP CAPITAL PARTNERS, INC. COMMON STOCK indirect 1997-04-01 2005-03-30
GAMCO INVESTORS, INC. CEO, CIO/VALUE, MAJORITY SHAREHOLDER OF ULTIMATE PARENT COMPANY direct 1976-11-01 2006-09-28
GABELLI ADVISERS, INC. SHAREHOLDER OF COMMON STOCK indirect 1976-11-01 2008-10-20
GABELLI ADVISERS, INC. GENERAL PARTNER indirect 1984-01-01 2009-02-20
GAMCO INVESTORS, INC. SHAREHOLDER OF COMMON STOCK indirect 1976-11-01 2010-02-26
GABELLI FUNDS, LLC SHAREHOLDER OF COMMON STOCK indirect 1976-11-01 2010-03-18
GABELLI SECURITIES, INC SHAREHOLDER, CEO indirect 1976-11-01 2010-03-22
GABELLI FIXED INCOME LLC SHAREHOLDER OF GGCP, INC. COMMON STOCK indirect 1997-04-01 2010-03-22
GAMCO ASSET MANAGEMENT INC. CIO/VALUE, MAJORITY SHAREHOLDER OF ULTIMATE PARENT COMPANY direct 1976-11-01 2010-06-07
TETON ADVISORS, INC. GENERAL PARTNER indirect 1984-01-01 2012-05-21
ALPERT, BRUCE, N EXECUTIVE VP AND COO 02/01/1999 Direct less than 5%
Fund Name Position direct/indirect start date end date
GABELLI FUNDS, LLC EXECUTIVE VP AND COO direct 1999-02-01
GABELLI ADVISERS, INC. PRESIDENT, DIRECTOR direct 1998-03-01 2008-05-20
TETON ADVISORS, INC. CHAIRMAN, PRESIDENT, DIRECTOR direct 1998-03-01 2008-05-28
TETON ADVISORS, INC. CHAIRMAN, DIRECTOR direct 1998-03-01 2009-02-20
TETON ADVISORS, INC. CHAIRMAN direct 1998-03-01 2010-03-18
TETON ADVISORS, INC. DIRECTOR direct 1998-03-01 2012-03-29
GABELLI FUNDS, LLC EXECUTIVE VP AND COO / CHIEF COMPLIANCE OFFICER direct 1999-02-01 2014-03-31
MULLADY, AGNES, NORA VICE PRESIDENT OF GABELLI FUNDS, LLC AND PRESIDENT AND COO OF THE OPEN-END FUND DIVISION 04/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
GABELLI FUNDS, LLC VICE PRESIDENT OF GABELLI FUNDS, LLC AND PRESIDENT AND COO OF THE OPEN-END FUND DIVISION direct 2007-04-01
RESERVE MANAGEMENT CO., INC. CONTROLLER direct 2000-08-01 2002-09-23
GABELLI FUNDS, LLC PRESIDENT & COO - CLOSED END FUND DIVISION AND VICE PRESIDENT OF GABELLI FUNDS, LLC direct 2007-04-01 2010-06-04
GOLDMAN, DAVID, MARC VICE PRESIDENT, CORPORATE DEVELOPMENT AND GENERAL COUNSEL 01/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
GABELLI FUNDS, LLC VICE PRESIDENT, CORPORATE DEVELOPMENT AND GENERAL COUNSEL direct 2011-01-01
GAMCO ASSET MANAGEMENT INC. CHIEF COMPLIANCE OFFICER direct 2011-12-01
GAMCO ASSET MANAGEMENT INC. GENERAL COUNSEL, SECRETARY & CHIEF COMPLIANCE OFFICER direct 2011-12-01
TETON ADVISORS, INC. CHIEF COMPLIANCE OFFICER direct 2011-12-01
TETON ADVISORS, INC. GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER direct 2011-12-01
GABELLI FIXED INCOME LLC CHIEF COMPLIANCE OFFICER direct 2011-12-01
GABELLI SECURITIES, INC. ASSISTANT SECRETARY direct 2012-06-01
GABELLI SECURITIES, INC. GENERAL COUNSEL AND ASSISTANT SECRETARY direct 2013-11-01
GABELLI SECURITIES, INC. GENERAL COUNSEL AND SECRETARY direct 2013-11-01
KEELEY-TETON ADVISORS, LLC SECRETARY direct 2016-10-01
WALZ, RICHARD, JOHN CHIEF COMPLIANCE OFFICER 03/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
GABELLI FUNDS, LLC CHIEF COMPLIANCE OFFICER direct 2015-03-01
MBIA CAPITAL MANAGEMENT CORP. CHIEF COMPLIANCE OFFICER direct 2004-10-01 2006-03-30
MBIA MUNICIPAL INVESTORS SERVICES CORP MANAGING DIRECTOR direct 2000-01-01 2010-11-09
CUTWATER COLORADO INVESTOR SERVICES CORP. DIRECTOR direct 1999-02-01 2011-03-30
COLORADO INVESTOR SERVICES CORP CHIEF COMPLIANCE OFFICER direct 2004-10-01 2011-03-30
MBIA CAPITAL MANAGEMENT CORP. FINANCIAL OPERATIONS PRINCIPAL direct 1995-08-01 2011-03-31
MBIA MUNICIPAL INVESTORS SERVICES CORP CHIEF COMPLIANCE OFFICER direct 2004-10-01 2011-03-31
AEGON USA INVESTMENT MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2011-10-01 2013-04-30
CATERINA, KIERAN, DOUGLAS CO-CHIEF ACCOUNTING OFFICER 03/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
TETON ADVISORS, INC. CO-TREASURER AND ACTING CO-CHIEF FINANCIAL OFFICER direct 2008-05-01
GABELLI SECURITIES, INC CHIEF FINANCIAL OFFICER direct 2006-10-01
GABELLI FUNDS, LLC CO-CHIEF ACCOUNTING OFFICER direct 2012-03-01
GAMCO ASSET MANAGEMENT INC. CO CHIEF ACCOUNTING OFFICER direct 2012-03-01
LAPOINTE, DIANE, MARIE CO-CHIEF ACCOUNTING OFFICER 03/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
GABELLI FUNDS, LLC CO-CHIEF ACCOUNTING OFFICER direct 2012-03-01
TETON ADVISORS, INC. CO-TREASURER AND ACTING CO-CHIEF FINANCIAL OFFICER direct 2008-05-01
GABELLI SECURITIES, INC. CONTROLLER direct 2012-06-01
GGCP, INC. MANAGER AND MEMBER GGCP HOLDINGS LLC 05/01/2010 Indirect 75% or more
Fund Name Position direct/indirect start date end date
GABELLI FIXED INCOME LLC MANAGER AND MEMBER indirect 1999-02-01
TETON ADVISORS, INC. SHAREHOLDER OF THE CLASS B COMMON STOCK direct 2009-03-01
KEELEY-TETON ADVISORS, LLC SHAREHOLDER OF THE CLASS B COMMON STOCK indirect 2009-03-01
GABELLI FUNDS, LLC MANAGER AND MEMBER indirect 2010-05-01
GABELLI SECURITIES, INC. MANAGER AND MEMBER indirect 2010-05-01
GABELLI FUNDS, LLC SHAREHOLDER OF CLASS B COMMON STOCK indirect 1999-02-01 2005-03-29
GABELLI ADVISERS, INC. SHAREHOLDER OF CLASS B STOCK indirect 1999-02-01 2005-03-29
GABELLI FIXED INCOME LLC SHAREHOLDER OF GABELLI ASSET MANAGEMENT INC. CLASS B STOCK indirect 1999-02-01 2005-03-30
GABELLI FUNDS, LLC SHAREHOLDER OF CLASS B COMMON STOCK indirect 1999-02-01 2010-03-18
GABELLI FIXED INCOME LLC SHAREHOLDER OF GAMCO INVESTORS, INC. CLASS B STOCK indirect 1999-02-01 2010-03-22
GABELLI FIXED INCOME LLC SOLE MEMBER indirect 1999-02-01 2010-05-27
GABELLI FUNDS, LLC SOLE MEMBER indirect 2010-05-01 2010-05-28
TETON ADVISORS, INC. SHAREHOLDER OF CLASS B STOCK indirect 1999-02-01 2014-03-27
GABELLI, MARIO, JOSEPH CEO, DIRECTOR AND SHAREHOLDER OF COMMON STOCK GGCP, INC. 11/01/1976 Indirect 75% or more
Fund Name Position direct/indirect start date end date
TETON ADVISORS, INC. SHAREHOLDER OF COMMON STOCK indirect 1976-11-01
GAMCO ASSET MANAGEMENT INC. CEO, DIRECTOR AND THE MAJORITY SHAREHOLDER OF COMMON STOCK indirect 1976-11-01
GABELLI SECURITIES, INC. CEO, DIRECTOR AND MAJORITY SHAREHOLDER OF COMMON STOCK indirect 1976-11-01
GABELLI FUNDS, LLC CEO, DIRECTOR AND SHAREHOLDER OF COMMON STOCK indirect 1976-11-01
GAMCO ASSET MANAGEMENT INC. CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER - VALUE PORTFOLIO, MAJORITY SHAREHOLDER OF ULTIMATE PARENT COMPANY direct 1976-11-01
KEELEY-TETON ADVISORS, LLC SHAREHOLDER OF COMMON STOCK indirect 1976-11-01
RYAN LABS INC SHAREHOLDER direct 1988-09-01
GABELLI FIXED INCOME LLC CEO, DIRECTOR, AND MAJORITY SHAREHOLDER OF THE COMMON STOCK indirect 1997-04-01
GABELLI FUNDS, LLC CHIEF INVESTMENT OFFICER direct 1999-02-01
TETON ADVISORS, INC. SHAREHOLDER OF COMMON STOCK direct 2016-01-01
GAMCO INVESTORS INC CEO, CIO, MAJORITY SHAREHOLDER OF ULTIMATE PARENT COMPANY direct 1976-11-01 2004-10-15
GAMCO INVESTORS INC SHAREHOLDER OF COMMON STOCK indirect 1976-11-01 2005-03-29
GABELLI FUNDS, LLC SHAREHOLDER OF COMMON STOCK indirect 1976-11-01 2005-03-29
GABELLI FIXED INCOME LLC SHAREHOLDER OF GABELLI GROUP CAPITAL PARTNERS, INC. COMMON STOCK indirect 1997-04-01 2005-03-30
GAMCO INVESTORS, INC. CEO, CIO/VALUE, MAJORITY SHAREHOLDER OF ULTIMATE PARENT COMPANY direct 1976-11-01 2006-09-28
GABELLI ADVISERS, INC. SHAREHOLDER OF COMMON STOCK indirect 1976-11-01 2008-10-20
GABELLI ADVISERS, INC. GENERAL PARTNER indirect 1984-01-01 2009-02-20
GAMCO INVESTORS, INC. SHAREHOLDER OF COMMON STOCK indirect 1976-11-01 2010-02-26
GABELLI FUNDS, LLC SHAREHOLDER OF COMMON STOCK indirect 1976-11-01 2010-03-18
GABELLI SECURITIES, INC SHAREHOLDER, CEO indirect 1976-11-01 2010-03-22
GABELLI FIXED INCOME LLC SHAREHOLDER OF GGCP, INC. COMMON STOCK indirect 1997-04-01 2010-03-22
GAMCO ASSET MANAGEMENT INC. CIO/VALUE, MAJORITY SHAREHOLDER OF ULTIMATE PARENT COMPANY direct 1976-11-01 2010-06-07
TETON ADVISORS, INC. GENERAL PARTNER indirect 1984-01-01 2012-05-21
GGCP HOLDINGS LLC MAJORITY SHAREHOLDER OF THE CLASS B COMMON STOCK GAMCO INVESTORS, INC. 05/01/2010 Indirect 75% or more
Fund Name Position direct/indirect start date end date
GABELLI FUNDS, LLC MAJORITY SHAREHOLDER OF THE CLASS B COMMON STOCK indirect 2010-05-01
GAMCO ASSET MANAGEMENT INC. MAJORITY SHAREHOLDER OF THE CLASS B COMMON STOCK indirect 2010-05-01
GABELLI FIXED INCOME LLC MAJORITY SHAREHOLDER OF THE CLASS B COMMON STOCK indirect 2010-05-01
GABELLI SECURITIES, INC. MAJORITY SHAREHOLDERS OF THE CLASS B COMMON STOCK indirect 2010-05-01
GABELLI & COMPANY INVESTMENT ADVISERS, INC. MAJORITY SHAREHOLDERS OF THE CLASS B COMMON STOCK indirect 2010-05-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
GAMCO MERGER ARBITRAGE Luxembourg 805-2278533639 Hedge Fund 408,275,883 1,000
GAMCO ALL CAP VALUE Luxembourg 805-6589162798 Hedge Fund 50,772,263 1,000

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