0001752724-22-052880.txt : 20220301 0001752724-22-052880.hdr.sgml : 20220301 20220301105336 ACCESSION NUMBER: 0001752724-22-052880 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: GABELLI EQUITY SERIES FUNDS INC CENTRAL INDEX KEY: 0000877670 IRS NUMBER: 000000000 STATE OF INCORPORATION: MD FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: NPORT-P SEC ACT: 1940 Act SEC FILE NUMBER: 811-06367 FILM NUMBER: 22695104 BUSINESS ADDRESS: STREET 1: ONE CORPORATE CENTER CITY: RYE STATE: NY ZIP: 10580 BUSINESS PHONE: 2123098448 MAIL ADDRESS: STREET 1: ONE CORPORATE CENTER CITY: RYE STATE: NY ZIP: 10580 0000877670 S000001063 THE GABELLI FOCUSED GROWTH AND INCOME FUND C000002858 CLASS A GWSAX C000002860 CLASS C GWSCX C000002861 CLASS AAA GWSVX C000061074 Class I GWSIX NPORT-P 1 primary_doc.xml NPORT-P false 0000877670 XXXXXXXX S000001063 C000061074 C000002860 C000002858 C000002861 Gabelli Equity Series Funds Inc 811-06367 0000877670 5493007J8TJQ0MSHWY40 One Corporate Center Rye 10580-1422 1-800-422-3554 The Gabelli Focused Growth and Income Fund S000001063 5493000HSUGR4K1WQT75 2022-09-30 2021-12-31 N 42878563.66 126069.41 42752494.25 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 72048.68000000 N Alphabet Inc 5493006MHB84DD0ZWV18 Alphabet Inc 02079K107 415.00000000 NS USD 1200839.85000000 2.808818224681 Long EC CORP US N 1 N N N Apollo Global Management Inc 54930054P2G7ZJB0KM79 Apollo Global Management Inc 03768E105 39000.00000000 NS USD 2824770.00000000 6.607263621817 Long EC CORP US N 1 N N N Maple Leaf Foods Inc 549300LX07S5J8F76F37 Maple Leaf Foods Inc 564905107 67500.00000000 NS 1561366.06000000 3.652105186821 Long EC CORP CA N 1 N N N VIACOMCBS INC 5KYC8KF17ROCY24M3H09 ViacomCBS Inc 92556H305 13000.00000000 NS USD 652860.00000000 1.527068797863 Long EP CORP US N 1 N N N Mondelez International Inc 549300DV9GIB88LZ5P30 Mondelez International Inc 609207105 16500.00000000 NS USD 1094115.00000000 2.559184017666 Long EC CORP US N 1 N N N Post Holdings Inc JM1I5YUAURL6DC8N1468 Post Holdings Inc 737446104 9000.00000000 NS USD 1014570.00000000 2.373124697864 Long EC CORP US N 1 N N N AbbVie Inc FR5LCKFTG8054YNNRU85 AbbVie Inc 00287Y109 14000.00000000 NS USD 1895600.00000000 4.433893351146 Long EC CORP US N 1 N N N STEEL PARTNERS HLDS LP 5493009U8Z59G5SIZ389 Steel Partners Holdings LP 85814R206 45000.00000000 NS USD 1099800.00000000 2.572481487439 Long EP CORP US N 1 N N N T-Mobile US Inc 549300QHIJYOHPACPG31 T-Mobile US Inc 872590104 5000.00000000 NS USD 579900.00000000 1.356412088167 Long EC CORP US N 1 N N N New York Community Bancorp Inc 529900HVXOTLY61GL030 New York Community Bancorp Inc 649445103 100000.00000000 NS USD 1221000.00000000 2.855973719007 Long EC CORP US N 1 N N N Atlantica Sustainable Infrastr 549300ITBBGKJ651R879 Atlantica Sustainable Infrastructure PLC 000000000 15000.00000000 NS USD 536400.00000000 1.254663638718 Long EC CORP GB N 1 N N N BABCOCK & WILCOX ENTERPR 5493006H661OZN2C0T54 Babcock & Wilcox Enterprises Inc 05614L308 17704.00000000 NS USD 465615.20000000 1.089094819304 Long EP CORP US N 1 N N N Aptiv PLC N/A Aptiv PLC 000000000 7750.00000000 NS USD 1278362.50000000 2.990147177202 Long EC CORP IE N 1 N N N Terminix Global Holdings Inc 549300GS10644JGL8R77 Terminix Global Holdings Inc 88087E100 10000.00000000 NS USD 452300.00000000 1.057949969784 Long EC CORP US N 1 N N N Roper Technologies Inc 54930003T4SXCIWVXY35 Roper Technologies Inc 776696106 775.00000000 NS USD 381191.50000000 0.891624001563 Long EC CORP US N 1 N N N Healthpeak Properties Inc PZ9HF5U52KPF0MH0QN75 Healthpeak Properties Inc 42250P103 30000.00000000 NS USD 1082700.00000000 2.532483821104 Long EC CORP US N 1 N N N Hannon Armstrong Sustainable I N/A Hannon Armstrong Sustainable Infrastructure Capital Inc 41068X100 8000.00000000 NS USD 424960.00000000 0.994000484544 Long EC CORP US N 1 N N N Energy Transfer LP MTLVN9N7JE8MIBIJ1H73 Energy Transfer LP 29273V100 135000.00000000 NS USD 1111050.00000000 2.598795741607 Long EC CORP US N 1 N N N ENERGY TRANSFER LP MTLVN9N7JE8MIBIJ1H73 Energy Transfer LP 29273V506 75000.00000000 NS USD 1880250.00000000 4.397989013237 Long EP CORP US N 1 N N N Option Care Health Inc 549300DI3Q5ACSYJRI17 Option Care Health Inc 68404L201 40000.00000000 NS USD 1137600.00000000 2.660897381443 Long EC CORP US N 1 N N N Sirius XM Holdings Inc 54930055RWDMVXAGZK98 Sirius XM Holdings Inc 82968B103 175000.00000000 NS USD 1111250.00000000 2.599263550570 Long EC CORP US N 1 N N N Morgan Stanley IGJSJL3JD5P30I6NJZ34 Morgan Stanley 617446448 12500.00000000 NS USD 1227000.00000000 2.870007987896 Long EC CORP US N 1 N N N Herc Holdings Inc 549300TP80QLITMSBP82 Herc Holdings Inc 42704L104 8000.00000000 NS USD 1252400.00000000 2.929419726195 Long EC CORP US N 1 N N N Blackstone Mortgage Trust Inc 549300OLDJ20R2Y2UW20 Blackstone Mortgage Trust Inc 09257W100 50000.00000000 NS USD 1531000.00000000 3.581077611629 Long EC CORP US N 1 N N N Liberty Media Corp-Liberty For N/A Liberty Media Corp-Liberty Formula One 531229870 9000.00000000 NS USD 534060.00000000 1.249190273851 Long EC CORP US N 1 N N N Lumen Technologies Inc 8M3THTGWLTYZVE6BBY25 Lumen Technologies Inc 550241103 42500.00000000 NS USD 533375.00000000 1.247588028153 Long EC CORP US N 1 N N N WI TREASURY BILL 254900HROIFWPRGM1V77 United States Treasury Bill- When Issued 912796F38 300000.00000000 PA USD 299966.00000000 0.701633916949 Long DBT UST US N 2 2022-03-24 None 0.00000000 N N N N N N TREASURY BILL 254900HROIFWPRGM1V77 United States Treasury Bill 912796L72 215000.00000000 PA USD 214993.76000000 0.502880039566 Long DBT UST US N 2 2022-02-10 None 0.00000000 N N N N N N ARGO BLOCKCHAIN PLC 213800WPCCYSDYY26J54 Argo Blockchain PLC 040126203 39113.00000000 NS USD 973913.70000000 2.278027790156 Long EP CORP GB N 1 N N N Kinder Morgan Inc 549300WR7IX8XE0TBO16 Kinder Morgan Inc 49456B101 105000.00000000 NS USD 1665300.00000000 3.895211330272 Long EC CORP US N 1 N N N PayPal Holdings Inc 5493005X2GO78EFZ3E94 PayPal Holdings Inc 70450Y103 1650.00000000 NS USD 311157.00000000 0.727810167473 Long EC CORP US N 1 N N N QURATE RETAIL INC 549300PSXEKU4PHLCR04 Qurate Retail Inc 74915M308 17000.00000000 NS USD 1754740.00000000 4.104415498517 Long EP CORP US N 1 N N N NextEra Energy Partners LP 5493008F4ZOQFNG3WN54 NextEra Energy Partners LP 65341B106 35000.00000000 NS USD 2954000.00000000 6.909538383248 Long EC CORP US N 1 N N N Enterprise Products Partners L K4CDIF4M54DJZ6TB4Q48 Enterprise Products Partners LP 293792107 100000.00000000 NS USD 2196000.00000000 5.136542413545 Long EC CORP US N 1 N N N GREENIDGE GEN HLD INC N/A Greenidge Generation Holdings Inc 39531G209 13500.00000000 NS USD 321300.00000000 0.751535099031 Long EP CORP US N 1 N N N MGM Growth Properties LLC 549300E2UGIBHWE12262 MGM Growth Properties LLC 55303A105 88000.00000000 NS USD 3594800.00000000 8.408398300644 Long EC CORP US N 1 N N N ONTRAK INC 549300OQ36UO20X0DB40 Ontrak Inc 683373203 27700.00000000 NS USD 291681.00000000 0.682254930658 Long EP CORP US N 1 N N N 2022-02-28 Gabelli Equity Series Funds Inc John C. Ball John C. Ball Treasurer XXXX NPORT-EX 2 GB35GB123121.htm
1
The
Gabelli
Focused
Growth
and
Income
Fund
Schedule
of
Investments
December
31,
2021
(Unaudited)
Shares
Market
Value
COMMON
STOCKS
 —
81.4%
Automotive:
Parts
and
Accessories
 —
3.0%
7,750‌
Aptiv
plc†
.................................................
$
1,278,362‌
Building
and
Construction
 —
2.9%
8,000‌
Herc
Holdings
Inc.
....................................
1,252,400‌
Cable
and
Satellite
 —
1.3%
9,000‌
Liberty
Media
Corp.
-
Liberty
Formula
One,
Cl. A†
...................................................
534,060‌
Computer
Software
and
Services
 —
2.8%
415‌
Alphabet
Inc.,
Cl. C†
.................................
1,200,840‌
Consumer
Products
 —
1.1%
10,000‌
Terminix
Global
Holdings
Inc.†
.................
452,300‌
Diversified
Industrial
 —
0.9%
775‌
Roper
Technologies
Inc.
...........................
381,192‌
Energy
and
Utilities
 —
19.8%
15,000‌
Atlantica
Sustainable
Infrastructure
plc
.....
536,400‌
135,000‌
Energy
Transfer
LP
...................................
1,111,050‌
100,000‌
Enterprise
Products
Partners
LP
...............
2,196,000‌
105,000‌
Kinder
Morgan
Inc.
...................................
1,665,300‌
35,000‌
NextEra
Energy
Partners
LP
......................
2,954,000‌
8,462,750‌
Entertainment
 —
2.6%
175,000‌
Sirius
XM
Holdings
Inc.
............................
1,111,250‌
Financial
Services
 —
13.1%
39,000‌
Apollo
Global
Management
Inc.
................
2,824,770‌
12,500‌
Morgan
Stanley
........................................
1,227,000‌
100,000‌
New
York
Community
Bancorp
Inc.
...........
1,221,000‌
1,650‌
PayPal
Holdings
Inc.†
...............................
311,157‌
5,583,927‌
Food
and
Beverage
 —
8.6%
67,500‌
Maple
Leaf
Foods
Inc.
..............................
1,561,366‌
16,500‌
Mondelēz
International
Inc.,
Cl. A
..............
1,094,115‌
9,000‌
Post
Holdings
Inc.†
..................................
1,014,570‌
3,670,051‌
Health
Care
 —
7.1%
14,000‌
AbbVie
Inc.
..............................................
1,895,600‌
40,000‌
Option
Care
Health
Inc.†
...........................
1,137,600‌
3,033,200‌
Real
Estate
Investment
Trusts
 —
15.6%
50,000‌
Blackstone
Mortgage
Trust
Inc.,
Cl. A
........
1,531,000‌
8,000‌
Hannon
Armstrong
Sustainable
Infrastructure
Capital
Inc.
......................
424,960‌
30,000‌
Healthpeak
Properties
Inc.
........................
1,082,700‌
88,000‌
MGM
Growth
Properties
LLC,
Cl. A
...........
3,594,800‌
6,633,460‌
Telecommunications
 —
2.6%
42,500‌
Lumen
Technologies
Inc.
..........................
533,375‌
Shares
Market
Value
5,000‌
T-Mobile
US
Inc.†
.....................................
$
579,900‌
1,113,275‌
TOTAL
COMMON
STOCKS
..................
34,707,067‌
PREFERRED
STOCKS
 —
15.9%
Diversified
Industrial
 —
3.7%
17,704‌
Babcock
&
Wilcox
Enterprises
Inc.,
8.125%,
02/28/26
.................................
465,615‌
45,000‌
Steel
Partners
Holdings
LP,
Ser.
A,
6.000%,
02/07/26
.................................
1,099,800‌
1,565,415‌
Energy
and
Utilities
 —
4.4%
75,000‌
Energy
Transfer
LP,
Ser.
D,
7.625%
...........
1,880,250‌
Financial
Services
 —
3.0%
39,113‌
Argo
Blockchain
plc,
Ser.
A,
8.750%,
11/30/26
...............................................
973,914‌
13,500‌
Greenidge
Generation
Holdings
Inc.,
8.500%,
10/31/26
.................................
321,300‌
1,295,214‌
Health
Care
 —
0.7%
27,700‌
Ontrak
Inc.,
9.500%
.................................
291,681‌
Retail
 —
4.1%
17,000‌
Qurate
Retail
Inc.,
8.000%,
03/15/31
........
1,754,740‌
TOTAL
PREFERRED
STOCKS
...............
6,787,300‌
MANDATORY
CONVERTIBLE
SECURITIES(a)
 —
1.5%
Entertainment
 —
1.5%
13,000‌
ViacomCBS
Inc.,
Ser.
A,
5.750%,
04/01/24
.................................
652,860‌
Principal
Amount
U.S.
GOVERNMENT
OBLIGATIONS
 —
1.2%
$
515,000‌
U.S.
Treasury
Bills,
0.035%
to
0.060%††,
02/10/22
to
03/24/22
............................
514,960‌
TOTAL
INVESTMENTS
100.0%
(Cost
$27,746,879)
...............................
$
42,662,187‌
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.
††
Represents
annualized
yields
at
dates
of
purchase.