0001752724-22-052856.txt : 20220301 0001752724-22-052856.hdr.sgml : 20220301 20220301105320 ACCESSION NUMBER: 0001752724-22-052856 CONFORMED SUBMISSION TYPE: NPORT-P PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20211231 FILED AS OF DATE: 20220301 PERIOD START: 20220930 FILER: COMPANY DATA: COMPANY CONFORMED NAME: TETON WESTWOOD FUNDS CENTRAL INDEX KEY: 0000796229 IRS NUMBER: 133625130 STATE OF INCORPORATION: MA FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: NPORT-P SEC ACT: 1940 Act SEC FILE NUMBER: 811-04719 FILM NUMBER: 22695080 BUSINESS ADDRESS: STREET 1: ONE CORPORATE CENTER CITY: RYE STATE: NY ZIP: 10580 BUSINESS PHONE: 8004223554 MAIL ADDRESS: STREET 1: ONE CORPORATE CENTER CITY: RYE STATE: NY ZIP: 10580 FORMER COMPANY: FORMER CONFORMED NAME: GAMCO WESTWOOD FUNDS DATE OF NAME CHANGE: 20091130 FORMER COMPANY: FORMER CONFORMED NAME: WESTWOOD FUNDS DATE OF NAME CHANGE: 20060621 FORMER COMPANY: FORMER CONFORMED NAME: GABELLI WESTWOOD FUNDS DATE OF NAME CHANGE: 19980304 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Ball John C. Ball Treasurer XXXX NPORT-EX 2 GB02GB123121.htm
TETON
Westwood
Balanced
Fund
Schedule
of
Investments—December
31,
2021
(Unaudited)
1
Shares
Market
Value
COMMON
STOCKS
—
67
.4
%
Aerospace
—
1
.3
%
3,401‌
L3Harris
Technologies
Inc.
...............................
$
725,229‌
Automotive
—
1
.1
%
10,191‌
General
Motors
Co.
†
..........................................
597,498‌
Automotive:
Parts
and
Accessories
—
1
.2
%
944‌
O'Reilly
Automotive
Inc.
†
.................................
666,681‌
Banking
—
1
.6
%
6,531‌
Bank
of
America
Corp.
......................................
290,564‌
5,593‌
Western
Alliance
Bancorp
.................................
602,087‌
892,651‌
Business
Services
—
1
.1
%
2,876‌
Visa
Inc.
,
Cl. A
....................................................
623,258‌
Computer
Software
and
Services
—
10
.5
%
1,833‌
Accenture
plc
,
Cl. A
...........................................
759,870‌
7,740‌
Activision
Blizzard
Inc.
.....................................
514,942‌
240‌
Alphabet
Inc.
,
Cl. A
†
.........................................
695,290‌
3,456‌
Cadence
Design
Systems
Inc.
†
.........................
644,026‌
16,727‌
Cisco
Systems
Inc.
.............................................
1,059,990‌
2,424‌
Meta
Platforms
Inc.
,
Cl. A
†
...............................
815,312‌
3,638‌
Microsoft
Corp.
..................................................
1,223,532‌
5,712,962‌
Consumer
Services
—
1
.9
%
301‌
Amazon.com
Inc.
†
.............................................
1,003,636‌
Diversified
Industrial
—
3
.8
%
5,659‌
Eaton
Corp.
plc
..................................................
977,989‌
1,683‌
Honeywell
International
Inc.
............................
350,922‌
20,702‌
Huntsman
Corp.
................................................
722,086‌
2,050,997‌
Electronics
—
2
.6
%
9,438‌
Microchip
Technology
Inc.
................................
821,672‌
1,155‌
Monolithic
Power
Systems
Inc.
........................
569,796‌
1,391,468‌
Energy
and
Energy
Services
—
2
.3
%
7,949‌
EOG
Resources
Inc.
...........................................
706,110‌
7,277‌
Valero
Energy
Corp.
..........................................
546,575‌
1,252,685‌
Energy:
Integrated
—
1
.3
%
2,697‌
DTE
Energy
Co.
.................................................
322,400‌
3,892‌
NextEra
Energy
Inc.
..........................................
363,357‌
685,757‌
Energy:
Oil
—
2
.2
%
4,269‌
Chevron
Corp.
...................................................
500,967‌
9,684‌
ConocoPhillips
...................................................
698,991‌
1,199,958‌
Entertainment
—
0
.8
%
2,693‌
The
Walt
Disney
Co.
†
........................................
417,119‌
Equipment
and
Supplies
—
3
.9
%
7,454‌
Amphenol
Corp.
,
Cl. A
.....................................
651,927‌
3,507‌
The
Middleby
Corp.
†
........................................
690,037‌
31,364‌
Vertiv
Holdings
Co.
...........................................
783,159‌
2,125,123‌
Shares
Market
Value
Financial
Services
—
10
.4
%
6,194‌
American
International
Group
Inc.
..................
$
352,191‌
2,331‌
Berkshire
Hathaway
Inc.
,
Cl. B
†
.......................
696,969‌
4,858‌
Blackstone
Inc.
...................................................
628,577‌
5,005‌
Intercontinental
Exchange
Inc.
.........................
684,534‌
12,583‌
The
Charles
Schwab
Corp.
................................
1,058,230‌
2,502‌
The
Goldman
Sachs
Group
Inc.
........................
957,140‌
3,111‌
The
PNC
Financial
Services
Group
Inc.
...........
623,818‌
6,345‌
The
Progressive
Corp.
.......................................
651,314‌
5,652,773‌
Food
and
Beverage
—
0
.7
%
2,045‌
PepsiCo
Inc.
........................................................
355,237‌
Health
Care
—
7
.8
%
3,380‌
Becton,
Dickinson
and
Co.
................................
850,003‌
8,794‌
Gilead
Sciences
Inc.
...........................................
638,532‌
3,224‌
McKesson
Corp.
.................................................
801,390‌
6,967‌
Medtronic
plc
.....................................................
720,736‌
2,386‌
UnitedHealth
Group
Inc.
..................................
1,198,106‌
4,208,767‌
Real
Estate
—
2
.1
%
3,216‌
Alexandria
Real
Estate
Equities
Inc.
,
REIT
......
717,039‌
2,549‌
Prologis
Inc.
,
REIT
.............................................
429,150‌
1,146,189‌
Retail
—
6
.2
%
10,510‌
CVS
Health
Corp.
..............................................
1,084,212‌
2,815‌
Dollar
General
Corp.
.........................................
663,861‌
1,603‌
The
Home
Depot
Inc.
........................................
665,261‌
6,448‌
Walmart
Inc.
.......................................................
932,961‌
3,346,295‌
Semiconductors
—
2
.1
%
739‌
ASML
Holding
NV
............................................
588,348‌
1,956‌
NVIDIA
Corp.
....................................................
575,279‌
1,163,627‌
Telecommunications
—
0
.9
%
4,238‌
T-Mobile
US
Inc.
†
..............................................
491,523‌
Transportation
—
1
.6
%
3,338‌
Union
Pacific
Corp.
............................................
840,942‌
TOTAL
COMMON
STOCKS
.........................
36,550,375‌
MANDATORY
CONVERTIBLE
SECURITIES
(a)
—
1
.1
%
Health
Care
—
1
.1
%
5,090‌
Boston
Scientific
Corp.
,
Ser.
A
,
5.500
%
,
06/01/23
..............................................
583,619‌
Principal
Amount
CORPORATE
BONDS
—
19
.6
%
Aerospace
—
0
.5
%
$
255,000‌
AerCap
Ireland
Capital
DAC
/
AerCap
Global
Aviation
Trust
,
4.450
%
,
10/01/25
..............................................
274,799‌
Banking
—
2
.6
%
750,000‌
Fifth
Third
Bancorp
,
2.375
%
,
01/28/25
..............................................
770,780‌
TETON
Westwood
Balanced
Fund
Schedule
of
Investments
(Continued)—December
31,
2021
(Unaudited)
2
Principal
Amount
Market
Value
CORPORATE
BONDS
(Continued)
Banking
(Continued)
$
600,000‌
The
Goldman
Sachs
Group
Inc.
,
MTN
,
3.850
%
,
07/08/24
..............................................
$
634,609‌
1,405,389‌
Diversified
Industrial
—
1
.4
%
510,000‌
Cabot
Corp.
,
4.000
%
,
07/01/29
..............................................
558,028‌
191,000‌
Jabil
Inc.
,
1.700
%
,
04/15/26
..............................................
190,760‌
748,788‌
Energy
and
Energy
Services
—
1
.1
%
235,000‌
Energy
Transfer
LP
,
6.250
%
,
04/15/49
..............................................
308,486‌
260,000‌
Plains
All
American
Pipeline
LP
/
PAA
Finance
Corp.
,
3.800
%
,
09/15/30
..............................................
272,082‌
580,568‌
Energy:
Oil
—
1
.3
%
55,000‌
Diamondback
Energy
Inc.
,
3.125
%
,
03/24/31
..............................................
56,804‌
275,000‌
MPLX
LP
,
2.650
%
,
08/15/30
..............................................
274,354‌
395,000‌
Petroleos
Mexicanos
,
6.700
%
,
02/16/32
..............................................
399,730‌
730,888‌
Financial
Services
—
2
.6
%
138,000‌
American
Honda
Finance
Corp.
,
MTN
,
1.000
%
,
09/10/25
..............................................
135,965‌
140,000‌
Berkshire
Hathaway
Finance
Corp.
,
2.850
%
,
10/15/50
..............................................
138,883‌
600,000‌
Capital
One
Financial
Corp.
,
3.750
%
,
04/24/24
..............................................
632,890‌
405,000‌
Owl
Rock
Capital
Corp.
,
3.400
%
,
07/15/26
..............................................
412,174‌
118,000‌
Schlumberger
Finance
Canada
Ltd.
,
1.400
%
,
09/17/25
..............................................
117,720‌
1,437,632‌
Food
and
Beverage
—
0
.8
%
380,000‌
The
J.M.
Smucker
Co.
,
3.550
%
,
03/15/50
..............................................
413,965‌
Health
Care
—
2
.6
%
600,000‌
Aetna
Inc.
,
3.500
%
,
11/15/24
..............................................
633,388‌
750,000‌
Amgen
Inc.
,
2.200
%
,
02/21/27
..............................................
768,672‌
1,402,060‌
Hotels
and
Gaming
—
0
.5
%
235,000‌
Marriott
International
Inc.
,
4.625
%
,
06/15/30
..............................................
264,893‌
Real
Estate
—
1
.2
%
132,000‌
Boston
Properties
LP
,
2.450
%
,
10/01/33
..............................................
128,176‌
150,000‌
Brixmor
Operating
Partnership
LP
,
2.250
%
,
04/01/28
..............................................
149,571‌
265,000‌
Realty
Income
Corp.
,
2.850
%
,
12/15/32
..............................................
275,675‌
Principal
Amount
Market
Value
$
113,000‌
Vornado
Realty
LP
,
3.400
%
,
06/01/31
..............................................
$
115,808‌
669,230‌
Retail
—
2
.2
%
151,000‌
7-Eleven
Inc.
,
0.950
%
,
02/10/26
..............................................
146,428‌
200,000‌
AutoZone
Inc.
,
1.650
%
,
01/15/31
..............................................
188,675‌
800,000‌
CVS
Health
Corp.
,
3.250
%
,
08/15/29
..............................................
854,585‌
1,189,688‌
Semiconductors
—
0
.5
%
235,000‌
Broadcom
Inc.
,
4.150
%
,
11/15/30
..............................................
261,101‌
Telecommunications
—
0
.5
%
270,000‌
Charter
Communications
Operating
LLC
/
Charter
Communications
Operating
Capital
Corp.
,
3.700
%
,
04/01/51
..............................................
262,683‌
Transportation
—
1
.8
%
875,000‌
AP
Moller
-
Maersk
A/S
,
4.500
%
,
06/20/29
..............................................
997,560‌
TOTAL
CORPORATE
BONDS
.......................
10,639,244‌
CONVERTIBLE
CORPORATE
BONDS
—
1
.2
%
Computer
Software
and
Services
—
0
.6
%
350,000‌
Splunk
Inc.
,
1.125
%
,
06/15/27
..............................................
328,125‌
Health
Care
—
0
.6
%
325,000‌
Exact
Sciences
Corp.
,
0.375
%
,
03/15/27
..............................................
332,313‌
TOTAL
CONVERTIBLE
CORPORATE
BONDS
...........................................................
660,438‌
U.S.
GOVERNMENT
AGENCY
OBLIGATIONS
—
2
.5
%
Federal
Home
Loan
Mortgage
Corp.
—
0.2%
94,458‌
3.500
%
,
08/01/49
..............................................
99,646‌
Federal
National
Mortgage
Association
—
2.3%
1,100,000‌
2.625
%
,
09/06/24
..............................................
1,151,241‌
88,474‌
3.500
%
,
07/01/49
..............................................
93,333‌
TOTAL
U.S.
GOVERNMENT
AGENCY
OBLIGATIONS
.............................................
1,344,220‌
U.S.
GOVERNMENT
OBLIGATIONS
—
7
.8
%
U.S.
Treasury
Bonds
—
4.0%
450,000‌
2.500
%
,
02/15/45
..............................................
496,881‌
700,000‌
2.500
%
,
05/15/46
..............................................
776,891‌
350,000‌
2.250
%
,
08/15/46
..............................................
371,670‌
550,000‌
1.875
%
,
02/15/51
..............................................
546,820‌
2,192,262‌
U.S.
Treasury
Notes
—
3.8%
900,000‌
0.750
%
,
05/31/26
..............................................
882,105‌
330,000‌
2.250
%
,
11/15/27
..............................................
346,809‌
545,000‌
2.625
%
,
02/15/29
..............................................
589,814‌
TETON
Westwood
Balanced
Fund
Schedule
of
Investments
(Continued)—December
31,
2021
(Unaudited)
3
__________
Principal
Amount
Market
Value
U.S.
GOVERNMENT
OBLIGATIONS
(Continued)
$
225,000‌
2.375
%
,
05/15/29
..............................................
$
240,073‌
2,058,801‌
TOTAL
U.S.
GOVERNMENT
OBLIGATIONS
.............................................
4,251,063‌
Shares
SHORT
TERM
INVESTMENT
—
0
.4
%
Other
Investment
Companies
—
0
.4
%
200,615‌
Dreyfus
Treasury
Securities
Cash
Management
,
0.010
%
*
....................................
200,615‌
TOTAL
INVESTMENTS
—
100.0%
(Cost
$
45,004,297
)
...........................................
$
54,229,574‌
†
Non-income
producing
security.
(a)
Mandatory
convertible
securities
are
required
to
be
converted
on
the
dates
listed;
they
generally
may
be
converted
prior
to
these
dates
at
the
option
of
the
holder.
*
1
day
yield
as
of
December
31,
2021.
MTN
Medium
Term
Note
REIT
Real
Estate
Investment
Trust