a. How many Classes of shares of the Fund (if
any) are
authorized?
| 4 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | CLASS AAA |
ii. Class identification number, if any | C000002867 |
iii. Ticker symbol, if any | GICPX |
Shares Outstanding Record:
2 |
i. Full name of Class | CLASS I |
ii. Class identification number, if any | C000034309 |
iii. Ticker symbol, if any | GGGIX |
Shares Outstanding Record:
3 |
i. Full name of Class | CLASS A |
ii. Class identification number, if any | C000002866 |
iii. Ticker symbol, if any | GGGAX |
Shares Outstanding Record:
4 |
i. Full name of Class | CLASS C |
ii. Class identification number, if any | C000002869 |
iii. Ticker symbol, if any | GGGCX |
Pricing Services Record:
1 |
i. Full name | Intercontinental Exchange, Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000F4ZO33MV32P92 |
Description of other identifying number | |
iii. State, if applicable |
GEORGIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | DST Asset Manager Solutions, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 084-00896 |
Description of other identifying number | SEC FILE NUMBER |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | BNY Mellon Investment Servicing (US) Inc. |
ii. LEI, if any, or other identifying number | 549300CFZQLI9QMJ1Z03 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
Administrators Record:
2 |
i. Full name | Gabelli Funds, LLC |
ii. LEI, if any, or other identifying number | 549300JDTNRQK8NMTG03 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | INTL FCSTONE FINANCIAL INC. |
ii. SEC file number | 008-51269 |
iii. CRD number | 000045993 |
iv. LEI, if any | 549300LNKU6K5TJCRG93 |
v. State, if applicable |
FLORIDA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 3,607.000000000000 |
Brokers Record:
2 |
i. Full name of broker | GOLDMAN SACHS & CO. LLC |
ii. SEC file number | 008-00129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,269.000000000000 |
Brokers Record:
3 |
i. Full name of broker | Strategas Securities, LLC |
ii. SEC file number | 008-68138 |
iii. CRD number | 000149326 |
iv. LEI, if any | 254900D5NQ2O9DJLKH96 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 5,953.000000000000 |
Brokers Record:
4 |
i. Full name of broker | G.RESEARCH, LLC |
ii. SEC file number | 008-21373 |
iii. CRD number | 000007353 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 60.000000000000 |
Brokers Record:
5 |
i. Full name of broker | Cowen and Company, LLC |
ii. SEC file number | 008-22522 |
iii. CRD number | 000007616 |
iv. LEI, if any | 549300WR155U7DVMIW58 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 2,119.000000000000 |
Brokers Record:
6 |
i. Full name of broker | SANFORD C. BERNSTEIN & CO., LLC |
ii. SEC file number | 008-52942 |
iii. CRD number | 000104474 |
iv. LEI, if any | 549300I7JYZHT7D5CO04 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 6,838.000000000000 |
Brokers Record:
7 |
i. Full name of broker | CORNERSTONE MACRO LLC |
ii. SEC file number | 008-69293 |
iii. CRD number | 000168152 |
iv. LEI, if any | 25490003PASAH33YSQ08 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 5,717.000000000000 |
Brokers Record:
8 |
i. Full name of broker | MORGAN STANLEY & CO. LLC |
ii. SEC file number | 008-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 2,877.000000000000 |
Brokers Record:
9 |
i. Full name of broker | WEEDEN & CO. L.P. |
ii. SEC file number | 008-37267 |
iii. CRD number | 000016835 |
iv. LEI, if any | 549300OYBLKSN8M8EW67 |
v. State, if applicable |
CONNECTICUT
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 2,935.000000000000 |
Brokers Record:
10 |
i. Full name of broker | J.P. MORGAN SECURITIES LLC |
ii. SEC file number | 008-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 41,621.000000000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 73,059.000000000000 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | RBC DOMINION SECURITIES, INC. |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | 549300QJJX6CVVUXLE15 |
v. State, if applicable | |
vi. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 2,895,977.000000000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | NOMURA SECURITIES INTERNATIONAL, INC. |
ii. SEC file number | 008-15255 |
iii. CRD number | 000004297 |
iv. LEI, if any | OXTKY6Q8X53C9ILVV871 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 23,604,421.000000000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | BMO CAPITAL MARKETS CORP. |
ii. SEC file number | 008-34344 |
iii. CRD number | 000016686 |
iv. LEI, if any | RUC0QBLBRPRCU4W1NE59 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 6,955,550.000000000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | BARCLAYS CAPITAL, INC. |
ii. SEC file number | 008-41342 |
iii. CRD number | 000019714 |
iv. LEI, if any | AC28XWWI3WIBK2824319 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 9,862,382.000000000000 |
|
If yes, for each line of credit, provide the information
requested below:
Line of Credit details Record:
1 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 75,000,000.000000000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | State Street Bank and Trust Company |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | The Gabelli Asset Fund |
SEC File number(
e.g., 811-
)
| 811-04494 |
Shared Credit Users Record:
2 |
Name of fund | The Gabelli U.S. Treasury Money Market Fund |
SEC File number(
e.g., 811-
)
| 811-06687 |
Shared Credit Users Record:
3 |
Name of fund | The Gabelli Focus Five Fund |
SEC File number(
e.g., 811-
)
| 811-06367 |
Shared Credit Users Record:
4 |
Name of fund | The Gabelli Small Cap Growth Fund |
SEC File number(
e.g., 811-
)
| 811-06367 |
Shared Credit Users Record:
5 |
Name of fund | The Gabelli Equity Income Fund |
SEC File number(
e.g., 811-
)
| 811-06367 |
Shared Credit Users Record:
6 |
Name of fund | Gabelli International Small Cap Fund |
SEC File number(
e.g., 811-
)
| 811-07896 |
Shared Credit Users Record:
7 |
Name of fund | The Gabelli Global Rising Income and Dividend Fund |
SEC File number(
e.g., 811-
)
| 811-07896 |
Shared Credit Users Record:
8 |
Name of fund | Keeley Mid Cap Dividend Value |
SEC File number(
e.g., 811-
)
| 811-21761 |
Shared Credit Users Record:
9 |
Name of fund | The Gabelli Global Financial Services Fund |
SEC File number(
e.g., 811-
)
| 811-06367 |
Shared Credit Users Record:
10 |
Name of fund | Keeley Small Cap Value Fund |
SEC File number(
e.g., 811-
)
| 811-21761 |
Shared Credit Users Record:
11 |
Name of fund | Gabelli Global Content & Connectivity Fund |
SEC File number(
e.g., 811-
)
| 811-07896 |
Shared Credit Users Record:
12 |
Name of fund | Keeley Small Cap Div Value |
SEC File number(
e.g., 811-
)
| 811-21761 |
Shared Credit Users Record:
13 |
Name of fund | Keeley Small-Mid Cap Value |
SEC File number(
e.g., 811-
)
| 811-21761 |
Shared Credit Users Record:
14 |
Name of fund | Gabelli Global Mini Mites Fund |
SEC File number(
e.g., 811-
)
| 811-07896 |
Shared Credit Users Record:
15 |
Name of fund | Gabelli Enterprise Mergers and Acquisitions Fund |
SEC File number(
e.g., 811-
)
| 811-22041 |
Shared Credit Users Record:
16 |
Name of fund | GAMCO International Growth Fund, Inc |
SEC File number(
e.g., 811-
)
| 811-08560 |
Shared Credit Users Record:
17 |
Name of fund | The GAMCO Growth Fund |
SEC File number(
e.g., 811-
)
| 811-04873 |
Shared Credit Users Record:
18 |
Name of fund | Gabelli Capital Asset Fund |
SEC File number(
e.g., 811-
)
| 811-07644 |
Shared Credit Users Record:
19 |
Name of fund | The Gabelli Utilities Fund |
SEC File number(
e.g., 811-
)
| 811-09397 |
Shared Credit Users Record:
20 |
Name of fund | The Gabelli ABC Fund |
SEC File number(
e.g., 811-
)
| 811-07326 |
Shared Credit Users Record:
21 |
Name of fund | The Gabelli Dividend Growth Fund |
SEC File number(
e.g., 811-
)
| 811-09377 |
Shared Credit Users Record:
22 |
Name of fund | Gabelli Gold Fund Inc |
SEC File number(
e.g., 811-
)
| 811-08518 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
vi. If the fund drew on the line of credit during this period, what was the average amount outstanding when the line of credit was in use?
| 29,584.000000000000 |
vii. If the fund drew on the line of credit during this period, what was the number of days that the line of credit was in use?
| 15 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 4 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 1 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | CLASS C |
ii. Class identification number, if any | C000002877 |
iii. Ticker symbol, if any | GTCCX |
Shares Outstanding Record:
2 |
i. Full name of Class | CLASS AAA |
ii. Class identification number, if any | C000002875 |
iii. Ticker symbol, if any | GABTX |
Shares Outstanding Record:
3 |
i. Full name of Class | CLASS I |
ii. Class identification number, if any | C000034311 |
iii. Ticker symbol, if any | GTTIX |
Shares Outstanding Record:
4 |
i. Full name of Class | CLASS A |
ii. Class identification number, if any | C000002874 |
iii. Ticker symbol, if any | GTCAX |
Pricing Services Record:
1 |
i. Full name | Bloomberg Finance L.P. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493001KJTIIGC8Y1R12 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | Intercontinental Exchange, Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000F4ZO33MV32P92 |
Description of other identifying number | |
iii. State, if applicable |
GEORGIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | DST Asset Manager Solutions, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 084-00896 |
Description of other identifying number | SEC FILE NUMBER |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | BNY Mellon Investment Servicing (US) Inc. |
ii. LEI, if any, or other identifying number | 549300CFZQLI9QMJ1Z03 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
Administrators Record:
2 |
i. Full name | Gabelli Funds, LLC |
ii. LEI, if any, or other identifying number | 549300JDTNRQK8NMTG03 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | BMO Nesbitt Burns Securities Ltd. |
ii. SEC file number | 008-50538 |
iii. CRD number | 000044057 |
iv. LEI, if any | 54JEJPF5RL5INKZRDO43 |
v. State, if applicable | |
vi. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,853.000000000000 |
Brokers Record:
2 |
i. Full name of broker | VIRTU AMERICAS LLC |
ii. SEC file number | 008-68193 |
iii. CRD number | 000149823 |
iv. LEI, if any | 549300RA02N3BNSWBV74 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,669.000000000000 |
Brokers Record:
3 |
i. Full name of broker | DAIWA CAPITAL MARKETS AMERICA INC. |
ii. SEC file number | 008-12242 |
iii. CRD number | 000001576 |
iv. LEI, if any | M67H5PRC0NQKM73ZAS82 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 2,143.000000000000 |
Brokers Record:
4 |
i. Full name of broker | G.RESEARCH, LLC |
ii. SEC file number | 008-21373 |
iii. CRD number | 000007353 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 16,247.000000000000 |
Brokers Record:
5 |
i. Full name of broker | Cowen and Company, LLC |
ii. SEC file number | 008-22522 |
iii. CRD number | 000007616 |
iv. LEI, if any | 549300WR155U7DVMIW58 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,265.000000000000 |
Brokers Record:
6 |
i. Full name of broker | Needham & Company, LLC |
ii. SEC file number | 008-33772 |
iii. CRD number | 000016360 |
iv. LEI, if any | 254900J2GFQ4J4NK1J89 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,095.000000000000 |
Brokers Record:
7 |
i. Full name of broker | MACQUARIE CAPITAL (USA), INC. |
ii. SEC file number | 008-47198 |
iii. CRD number | 000036368 |
iv. LEI, if any | 549300670K07JRB5UQ40 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 4,958.000000000000 |
Brokers Record:
8 |
i. Full name of broker | BGC FINANCIAL, L.P. |
ii. SEC file number | 008-39012 |
iii. CRD number | 000019801 |
iv. LEI, if any | 549300NP4MIDUNET0550 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 4,736.000000000000 |
Brokers Record:
9 |
i. Full name of broker | Piper Jaffray & Co. |
ii. SEC file number | 008-15204 |
iii. CRD number | 000000665 |
iv. LEI, if any | 549300GRQCWQ3XGH0H10 |
v. State, if applicable |
MINNESOTA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,441.000000000000 |
Brokers Record:
10 |
i. Full name of broker | J.P. MORGAN SECURITIES LLC |
ii. SEC file number | 008-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,295.000000000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 43,591.000000000000 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | RLJ ENTERTAINMENT INC. |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | 549300N9A2J0ELDKE604 |
v. State, if applicable |
MARYLAND
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 15,744.000000000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | RBC DOMINION SECURITIES, INC. |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | 549300QJJX6CVVUXLE15 |
v. State, if applicable | |
vi. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 911,108.000000000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | J.P. Morgan Securities LLC |
ii. SEC file number | 008-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 10,500.000000000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | NOMURA SECURITIES INTERNATIONAL, INC. |
ii. SEC file number | 008-15255 |
iii. CRD number | 000004297 |
iv. LEI, if any | OXTKY6Q8X53C9ILVV871 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 7,277,159.000000000000 |
Principal Transactions Record:
5 |
i. Full name of dealer | BMO CAPITAL MARKETS CORP. |
ii. SEC file number | 008-34344 |
iii. CRD number | 000016686 |
iv. LEI, if any | RUC0QBLBRPRCU4W1NE59 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 3,219,120.000000000000 |
Principal Transactions Record:
6 |
i. Full name of dealer | BARCLAYS CAPITAL, INC. |
ii. SEC file number | 008-41342 |
iii. CRD number | 000019714 |
iv. LEI, if any | AC28XWWI3WIBK2824319 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 3,796,004.000000000000 |
|
If yes, for each line of credit, provide the information
requested below:
Line of Credit details Record:
1 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 75,000,000.000000000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | State Street Bank and Trust Company |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | The Gabelli Asset Fund |
SEC File number(
e.g., 811-
)
| 811-04494 |
Shared Credit Users Record:
2 |
Name of fund | The Gabelli U.S. Treasury Money Market Fund |
SEC File number(
e.g., 811-
)
| 811-06687 |
Shared Credit Users Record:
3 |
Name of fund | The Gabelli Focus Five Fund |
SEC File number(
e.g., 811-
)
| 811-06367 |
Shared Credit Users Record:
4 |
Name of fund | The Gabelli Small Cap Growth Fund |
SEC File number(
e.g., 811-
)
| 811-06367 |
Shared Credit Users Record:
5 |
Name of fund | The Gabelli Equity Income Fund |
SEC File number(
e.g., 811-
)
| 811-06367 |
Shared Credit Users Record:
6 |
Name of fund | Gabelli International Small Cap Fund |
SEC File number(
e.g., 811-
)
| 811-07896 |
Shared Credit Users Record:
7 |
Name of fund | The Gabelli Global Rising Income and Dividend Fund |
SEC File number(
e.g., 811-
)
| 811-07896 |
Shared Credit Users Record:
8 |
Name of fund | Keeley Mid Cap Dividend Value |
SEC File number(
e.g., 811-
)
| 811-21761 |
Shared Credit Users Record:
9 |
Name of fund | The Gabelli Global Financial Services Fund |
SEC File number(
e.g., 811-
)
| 811-06367 |
Shared Credit Users Record:
10 |
Name of fund | Keeley Small Cap Value Fund |
SEC File number(
e.g., 811-
)
| 811-21761 |
Shared Credit Users Record:
11 |
Name of fund | GAMCO Global Growth Fund |
SEC File number(
e.g., 811-
)
| 811-07896 |
Shared Credit Users Record:
12 |
Name of fund | Keeley Small Cap Div Value |
SEC File number(
e.g., 811-
)
| 811-21761 |
Shared Credit Users Record:
13 |
Name of fund | Keeley Small-Mid Cap Value |
SEC File number(
e.g., 811-
)
| 811-21761 |
Shared Credit Users Record:
14 |
Name of fund | Gabelli Global Mini Mites Fund |
SEC File number(
e.g., 811-
)
| 811-07896 |
Shared Credit Users Record:
15 |
Name of fund | Gabelli Enterprise Mergers and Acquisitions Fund |
SEC File number(
e.g., 811-
)
| 811-22041 |
Shared Credit Users Record:
16 |
Name of fund | GAMCO International Growth Fund, Inc |
SEC File number(
e.g., 811-
)
| 811-08560 |
Shared Credit Users Record:
17 |
Name of fund | The GAMCO Growth Fund |
SEC File number(
e.g., 811-
)
| 811-04873 |
Shared Credit Users Record:
18 |
Name of fund | Gabelli Capital Asset Fund |
SEC File number(
e.g., 811-
)
| 811-07644 |
Shared Credit Users Record:
19 |
Name of fund | The Gabelli Utilities Fund |
SEC File number(
e.g., 811-
)
| 811-09397 |
Shared Credit Users Record:
20 |
Name of fund | The Gabelli ABC Fund |
SEC File number(
e.g., 811-
)
| 811-07326 |
Shared Credit Users Record:
21 |
Name of fund | The Gabelli Dividend Growth Fund |
SEC File number(
e.g., 811-
)
| 811-09377 |
Shared Credit Users Record:
22 |
Name of fund | Gabelli Gold Fund Inc |
SEC File number(
e.g., 811-
)
| 811-08518 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
vi. If the fund drew on the line of credit during this period, what was the average amount outstanding when the line of credit was in use?
| 38,668.000000000000 |
vii. If the fund drew on the line of credit during this period, what was the number of days that the line of credit was in use?
| 84 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 4 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | CLASS AAA |
ii. Class identification number, if any | C000002873 |
iii. Ticker symbol, if any | GABOX |
Shares Outstanding Record:
2 |
i. Full name of Class | CLASS A |
ii. Class identification number, if any | C000002872 |
iii. Ticker symbol, if any | GOCAX |
Shares Outstanding Record:
3 |
i. Full name of Class | CLASS C |
ii. Class identification number, if any | C000002871 |
iii. Ticker symbol, if any | GGLCX |
Shares Outstanding Record:
4 |
i. Full name of Class | CLASS I |
ii. Class identification number, if any | C000034310 |
iii. Ticker symbol, if any | GLOIX |
Pricing Services Record:
1 |
i. Full name | Bloomberg Finance L.P. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493001KJTIIGC8Y1R12 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | Intercontinental Exchange, Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000F4ZO33MV32P92 |
Description of other identifying number | |
iii. State, if applicable |
GEORGIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | DST Asset Manager Solutions, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 084-00896 |
Description of other identifying number | SEC FILE NUMBER |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | BNY Mellon Investment Servicing (US) Inc. |
ii. LEI, if any, or other identifying number | 549300CFZQLI9QMJ1Z03 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
Administrators Record:
2 |
i. Full name | Gabelli Funds, LLC |
ii. LEI, if any, or other identifying number | 549300JDTNRQK8NMTG03 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | UOB KAY HIAN (U.S.) INC. |
ii. SEC file number | 008-65981 |
iii. CRD number | 000127314 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW JERSEY
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,004.000000000000 |
Brokers Record:
2 |
i. Full name of broker | RBC CAPITAL MARKETS, LLC |
ii. SEC file number | 008-45411 |
iii. CRD number | 000031194 |
iv. LEI, if any | 549300LCO2FLSSVFFR64 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 321.000000000000 |
Brokers Record:
3 |
i. Full name of broker | BRYAN GARNIER SECURITIES, LLC |
ii. SEC file number | 008-68463 |
iii. CRD number | 000152528 |
iv. LEI, if any | 213800J8FTTBR3PU5V70 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 2,591.000000000000 |
Brokers Record:
4 |
i. Full name of broker | LIBERUM CAPITAL LIMITED |
ii. SEC file number | 008-67976 |
iii. CRD number | 000148135 |
iv. LEI, if any | 213800U6KUF87S1KCC03 |
v. State, if applicable | |
vi. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
vii. Gross commissions paid by the Fund for
the
reporting period | 3,931.000000000000 |
Brokers Record:
5 |
i. Full name of broker | DAIWA CAPITAL MARKETS AMERICA INC. |
ii. SEC file number | 008-12242 |
iii. CRD number | 000001576 |
iv. LEI, if any | M67H5PRC0NQKM73ZAS82 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,549.000000000000 |
Brokers Record:
6 |
i. Full name of broker | Cowen and Company, LLC |
ii. SEC file number | 008-22522 |
iii. CRD number | 000007616 |
iv. LEI, if any | 549300WR155U7DVMIW58 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 77.000000000000 |
Brokers Record:
7 |
i. Full name of broker | GMP SECURITIES LLC |
ii. SEC file number | 008-49291 |
iii. CRD number | 000041025 |
iv. LEI, if any | 549300QXVHD3G589TO05 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 80.000000000000 |
Brokers Record:
8 |
i. Full name of broker | DANSKE MARKETS INC |
ii. SEC file number | 008-53341 |
iii. CRD number | 000113404 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 576.000000000000 |
Brokers Record:
9 |
i. Full name of broker | ABG SUNDAL COLLIER, INC. |
ii. SEC file number | 008-44768 |
iii. CRD number | 000030605 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 177.000000000000 |
Brokers Record:
10 |
i. Full name of broker | J.P. MORGAN SECURITIES LLC |
ii. SEC file number | 008-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 408.000000000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 10,861.000000000000 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | NetEnt AB (publ) |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | 549300KMAL1H1YLMWP02 |
v. State, if applicable | |
vi. Foreign country, if applicable |
SWEDEN
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,541.000000000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | AURICO METALS INC |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | 549300X8DKQY1Q22UT43 |
v. State, if applicable | |
vi. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 36,098.000000000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | RBC DOMINION SECURITIES, INC. |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | 549300QJJX6CVVUXLE15 |
v. State, if applicable | |
vi. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 289,306.000000000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | NOMURA SECURITIES INTERNATIONAL, INC. |
ii. SEC file number | 008-15255 |
iii. CRD number | 000004297 |
iv. LEI, if any | OXTKY6Q8X53C9ILVV871 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 2,427,871.000000000000 |
Principal Transactions Record:
5 |
i. Full name of dealer | BARCLAYS CAPITAL, INC. |
ii. SEC file number | 008-41342 |
iii. CRD number | 000019714 |
iv. LEI, if any | AC28XWWI3WIBK2824319 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 956,896.000000000000 |
|
If yes, for each line of credit, provide the information
requested below:
Line of Credit details Record:
1 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 75,000,000.000000000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | State Street Bank and Trust Company |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | The Gabelli Asset Fund |
SEC File number(
e.g., 811-
)
| 811-04494 |
Shared Credit Users Record:
2 |
Name of fund | The Gabelli U.S. Treasury Money Market Fund |
SEC File number(
e.g., 811-
)
| 811-06687 |
Shared Credit Users Record:
3 |
Name of fund | The Gabelli Focus Five Fund |
SEC File number(
e.g., 811-
)
| 811-06367 |
Shared Credit Users Record:
4 |
Name of fund | The Gabelli Small Cap Growth Fund |
SEC File number(
e.g., 811-
)
| 811-06367 |
Shared Credit Users Record:
5 |
Name of fund | The Gabelli Equity Income Fund |
SEC File number(
e.g., 811-
)
| 811-06367 |
Shared Credit Users Record:
6 |
Name of fund | The Gabelli Global Rising Income and Dividend Fund |
SEC File number(
e.g., 811-
)
| 811-07896 |
Shared Credit Users Record:
7 |
Name of fund | GAMCO Global Growth Fund |
SEC File number(
e.g., 811-
)
| 811-07896 |
Shared Credit Users Record:
8 |
Name of fund | Keeley Mid Cap Dividend Value |
SEC File number(
e.g., 811-
)
| 811-21761 |
Shared Credit Users Record:
9 |
Name of fund | The Gabelli Global Financial Services Fund |
SEC File number(
e.g., 811-
)
| 811-06367 |
Shared Credit Users Record:
10 |
Name of fund | Keeley Small Cap Value Fund |
SEC File number(
e.g., 811-
)
| 811-21761 |
Shared Credit Users Record:
11 |
Name of fund | Gabelli Global Content & Connectivity Fund |
SEC File number(
e.g., 811-
)
| 811-07896 |
Shared Credit Users Record:
12 |
Name of fund | Keeley Small Cap Div Value |
SEC File number(
e.g., 811-
)
| 811-21761 |
Shared Credit Users Record:
13 |
Name of fund | Keeley Small-Mid Cap Value |
SEC File number(
e.g., 811-
)
| 811-21761 |
Shared Credit Users Record:
14 |
Name of fund | Gabelli Global Mini Mites Fund |
SEC File number(
e.g., 811-
)
| 811-07896 |
Shared Credit Users Record:
15 |
Name of fund | Gabelli Enterprise Mergers and Acquisitions Fund |
SEC File number(
e.g., 811-
)
| 811-22041 |
Shared Credit Users Record:
16 |
Name of fund | GAMCO International Growth Fund, Inc |
SEC File number(
e.g., 811-
)
| 811-08560 |
Shared Credit Users Record:
17 |
Name of fund | The GAMCO Growth Fund |
SEC File number(
e.g., 811-
)
| 811-04873 |
Shared Credit Users Record:
18 |
Name of fund | Gabelli Capital Asset Fund |
SEC File number(
e.g., 811-
)
| 811-07644 |
Shared Credit Users Record:
19 |
Name of fund | The Gabelli Utilities Fund |
SEC File number(
e.g., 811-
)
| 811-09397 |
Shared Credit Users Record:
20 |
Name of fund | The Gabelli ABC Fund |
SEC File number(
e.g., 811-
)
| 811-07326 |
Shared Credit Users Record:
21 |
Name of fund | The Gabelli Dividend Growth Fund |
SEC File number(
e.g., 811-
)
| 811-09377 |
Shared Credit Users Record:
22 |
Name of fund | Gabelli Gold Fund Inc |
SEC File number(
e.g., 811-
)
| 811-08518 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
vi. If the fund drew on the line of credit during this period, what was the average amount outstanding when the line of credit was in use?
| 4,156.000000000000 |
vii. If the fund drew on the line of credit during this period, what was the number of days that the line of credit was in use?
| 3 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 4 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | CLASS A |
ii. Class identification number, if any | C000002862 |
iii. Ticker symbol, if any | GAGAX |
Shares Outstanding Record:
2 |
i. Full name of Class | CLASS C |
ii. Class identification number, if any | C000002864 |
iii. Ticker symbol, if any | GACCX |
Shares Outstanding Record:
3 |
i. Full name of Class | CLASS I |
ii. Class identification number, if any | C000034308 |
iii. Ticker symbol, if any | GAGIX |
Shares Outstanding Record:
4 |
i. Full name of Class | CLASS AAA |
ii. Class identification number, if any | C000002865 |
iii. Ticker symbol, if any | GAGCX |
Pricing Services Record:
1 |
i. Full name | Bloomberg Finance L.P. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493001KJTIIGC8Y1R12 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | Intercontinental Exchange, Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000F4ZO33MV32P92 |
Description of other identifying number | |
iii. State, if applicable |
GEORGIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | DST Asset Manager Solutions, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 084-00896 |
Description of other identifying number | SEC FILE NUMBER |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | BNY Mellon Investment Servicing (US) Inc. |
ii. LEI, if any, or other identifying number | 549300CFZQLI9QMJ1Z03 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
Administrators Record:
2 |
i. Full name | Gabelli Funds, LLC |
ii. LEI, if any, or other identifying number | 549300JDTNRQK8NMTG03 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | BMO Nesbitt Burns Securities Ltd. |
ii. SEC file number | 008-50538 |
iii. CRD number | 000044057 |
iv. LEI, if any | 54JEJPF5RL5INKZRDO43 |
v. State, if applicable | |
vi. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
vii. Gross commissions paid by the Fund for
the
reporting period | 137.000000000000 |
Brokers Record:
2 |
i. Full name of broker | RBC CAPITAL MARKETS, LLC |
ii. SEC file number | 008-45411 |
iii. CRD number | 000031194 |
iv. LEI, if any | 549300LCO2FLSSVFFR64 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 177.000000000000 |
Brokers Record:
3 |
i. Full name of broker | G.RESEARCH, LLC |
ii. SEC file number | 008-21373 |
iii. CRD number | 000007353 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 7,125.000000000000 |
Brokers Record:
4 |
i. Full name of broker | Cowen and Company, LLC |
ii. SEC file number | 008-22522 |
iii. CRD number | 000007616 |
iv. LEI, if any | 549300WR155U7DVMIW58 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 2,397.000000000000 |
Brokers Record:
5 |
i. Full name of broker | SANFORD C. BERNSTEIN & CO., LLC |
ii. SEC file number | 008-52942 |
iii. CRD number | 000104474 |
iv. LEI, if any | 549300I7JYZHT7D5CO04 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 410.000000000000 |
Brokers Record:
6 |
i. Full name of broker | MACQUARIE CAPITAL (USA), INC. |
ii. SEC file number | 008-47198 |
iii. CRD number | 000036368 |
iv. LEI, if any | 549300670K07JRB5UQ40 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 774.000000000000 |
Brokers Record:
7 |
i. Full name of broker | GMP SECURITIES LLC |
ii. SEC file number | 008-49291 |
iii. CRD number | 000041025 |
iv. LEI, if any | 549300QXVHD3G589TO05 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 607.000000000000 |
Brokers Record:
8 |
i. Full name of broker | BGC FINANCIAL, L.P. |
ii. SEC file number | 008-39012 |
iii. CRD number | 000019801 |
iv. LEI, if any | 549300NP4MIDUNET0550 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 3,054.000000000000 |
Brokers Record:
9 |
i. Full name of broker | WEEDEN & CO. L.P. |
ii. SEC file number | 008-37267 |
iii. CRD number | 000016835 |
iv. LEI, if any | 549300OYBLKSN8M8EW67 |
v. State, if applicable |
CONNECTICUT
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,636.000000000000 |
Brokers Record:
10 |
i. Full name of broker | UBS Securities LLC |
ii. SEC file number | 008-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 140.000000000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 17,190.000000000000 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | ORBITAL ATK INC |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | FWKWX3B14WBY9DM0DR18 |
v. State, if applicable |
VIRGINIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 443,850.000000000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | BARCLAYS CAPITAL, INC. |
ii. SEC file number | 008-41342 |
iii. CRD number | 000019714 |
iv. LEI, if any | AC28XWWI3WIBK2824319 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 5,481,145.000000000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | NETS A/S |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | 2138001VO8L6MTIDB405 |
v. State, if applicable | |
vi. Foreign country, if applicable |
DENMARK
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 816,852.000000000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | ADVANCED ACCELERATOR APPLICATIONS SA |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | 969500QB0M6HE4RU3071 |
v. State, if applicable | |
vi. Foreign country, if applicable |
FRANCE
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,394,000.000000000000 |
Principal Transactions Record:
5 |
i. Full name of dealer | Daiwa Capital Markets America, Inc. |
ii. SEC file number | 008-12242 |
iii. CRD number | 000001576 |
iv. LEI, if any | M67H5PRC0NQKM73ZAS82 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 14,401,992.000000000000 |
Principal Transactions Record:
6 |
i. Full name of dealer | Robert W. Baird & Co. Incorporated |
ii. SEC file number | 008-00497 |
iii. CRD number | 000008158 |
iv. LEI, if any | 549300772UJAHRD6LO53 |
v. State, if applicable |
WISCONSIN
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 585,000.000000000000 |
Principal Transactions Record:
7 |
i. Full name of dealer | RBC DOMINION SECURITIES, INC. |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | 549300QJJX6CVVUXLE15 |
v. State, if applicable | |
vi. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 7,504,321.000000000000 |
Principal Transactions Record:
8 |
i. Full name of dealer | Merrill Lynch, Pierce, Fenner & Smith Incorporated |
ii. SEC file number | 008-07221 |
iii. CRD number | 000007691 |
iv. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 327,000.000000000000 |
Principal Transactions Record:
9 |
i. Full name of dealer | NOMURA SECURITIES INTERNATIONAL, INC. |
ii. SEC file number | 008-15255 |
iii. CRD number | 000004297 |
iv. LEI, if any | OXTKY6Q8X53C9ILVV871 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 20,366,295.000000000000 |
Principal Transactions Record:
10 |
i. Full name of dealer | BMO CAPITAL MARKETS CORP. |
ii. SEC file number | 008-34344 |
iii. CRD number | 000016686 |
iv. LEI, if any | RUC0QBLBRPRCU4W1NE59 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 5,635,514.000000000000 |
|
If yes, for each line of credit, provide the information
requested below:
Line of Credit details Record:
1 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 75,000,000.000000000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | State Street Bank and Trust Company |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | The Gabelli Asset Fund |
SEC File number(
e.g., 811-
)
| 811-04494 |
Shared Credit Users Record:
2 |
Name of fund | The Gabelli U.S. Treasury Money Market Fund |
SEC File number(
e.g., 811-
)
| 811-06687 |
Shared Credit Users Record:
3 |
Name of fund | The Gabelli Focus Five Fund |
SEC File number(
e.g., 811-
)
| 811-06367 |
Shared Credit Users Record:
4 |
Name of fund | The Gabelli Small Cap Growth Fund |
SEC File number(
e.g., 811-
)
| 811-06367 |
Shared Credit Users Record:
5 |
Name of fund | The Gabelli Equity Income Fund |
SEC File number(
e.g., 811-
)
| 811-06367 |
Shared Credit Users Record:
6 |
Name of fund | Gabelli International Small Cap Fund |
SEC File number(
e.g., 811-
)
| 811-07896 |
Shared Credit Users Record:
7 |
Name of fund | GAMCO Global Growth Fund |
SEC File number(
e.g., 811-
)
| 811-07896 |
Shared Credit Users Record:
8 |
Name of fund | Keeley Mid Cap Dividend Value |
SEC File number(
e.g., 811-
)
| 811-21761 |
Shared Credit Users Record:
9 |
Name of fund | The Gabelli Global Financial Services Fund |
SEC File number(
e.g., 811-
)
| 811-06367 |
Shared Credit Users Record:
10 |
Name of fund | Keeley Small Cap Value Fund |
SEC File number(
e.g., 811-
)
| 811-21761 |
Shared Credit Users Record:
11 |
Name of fund | Gabelli Global Content & Connectivity Fund |
SEC File number(
e.g., 811-
)
| 811-07896 |
Shared Credit Users Record:
12 |
Name of fund | Keeley Small Cap Div Value |
SEC File number(
e.g., 811-
)
| 811-21761 |
Shared Credit Users Record:
13 |
Name of fund | Keeley Small-Mid Cap Value |
SEC File number(
e.g., 811-
)
| 811-21761 |
Shared Credit Users Record:
14 |
Name of fund | Gabelli Global Mini Mites Fund |
SEC File number(
e.g., 811-
)
| 811-07896 |
Shared Credit Users Record:
15 |
Name of fund | Gabelli Enterprise Mergers and Acquisitions Fund |
SEC File number(
e.g., 811-
)
| 811-22041 |
Shared Credit Users Record:
16 |
Name of fund | GAMCO International Growth Fund, Inc |
SEC File number(
e.g., 811-
)
| 811-08560 |
Shared Credit Users Record:
17 |
Name of fund | The GAMCO Growth Fund |
SEC File number(
e.g., 811-
)
| 811-04873 |
Shared Credit Users Record:
18 |
Name of fund | Gabelli Capital Asset Fund |
SEC File number(
e.g., 811-
)
| 811-07644 |
Shared Credit Users Record:
19 |
Name of fund | The Gabelli Utilities Fund |
SEC File number(
e.g., 811-
)
| 811-09397 |
Shared Credit Users Record:
20 |
Name of fund | The Gabelli ABC Fund |
SEC File number(
e.g., 811-
)
| 811-07326 |
Shared Credit Users Record:
21 |
Name of fund | The Gabelli Dividend Growth Fund |
SEC File number(
e.g., 811-
)
| 811-09377 |
Shared Credit Users Record:
22 |
Name of fund | Gabelli Gold Fund Inc |
SEC File number(
e.g., 811-
)
| 811-08518 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
vi. If the fund drew on the line of credit during this period, what was the average amount outstanding when the line of credit was in use?
| 56,770.000000000000 |
vii. If the fund drew on the line of credit during this period, what was the number of days that the line of credit was in use?
| 18 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 4 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 4 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | CLASS AAA |
ii. Class identification number, if any | C000204773 |
iii. Ticker symbol, if any | GAMNX |
Shares Outstanding Record:
2 |
i. Full name of Class | CLASS A |
ii. Class identification number, if any | C000204772 |
iii. Ticker symbol, if any | GMNAX |
Shares Outstanding Record:
3 |
i. Full name of Class | CLASS I |
ii. Class identification number, if any | C000204771 |
iii. Ticker symbol, if any | GGMMX |
Shares Outstanding Record:
4 |
i. Full name of Class | CLASS C |
ii. Class identification number, if any | C000204774 |
iii. Ticker symbol, if any | GMNCX |
Pricing Services Record:
1 |
i. Full name | Bloomberg Finance L.P. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493001KJTIIGC8Y1R12 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | Intercontinental Exchange, Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000F4ZO33MV32P92 |
Description of other identifying number | |
iii. State, if applicable |
GEORGIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | DST Asset Manager Solutions, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 084-00896 |
Description of other identifying number | SEC FILE NUMBER |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | BNY Mellon Investment Servicing (US) Inc. |
ii. LEI, if any, or other identifying number | 549300CFZQLI9QMJ1Z03 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
Administrators Record:
2 |
i. Full name | Gabelli Funds, LLC |
ii. LEI, if any, or other identifying number | 549300JDTNRQK8NMTG03 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | Cowen and Company, LLC |
ii. SEC file number | 008-22522 |
iii. CRD number | 000007616 |
iv. LEI, if any | 549300WR155U7DVMIW58 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 3.000000000000 |
Brokers Record:
2 |
i. Full name of broker | DAIWA CAPITAL MARKETS AMERICA INC. |
ii. SEC file number | 008-12242 |
iii. CRD number | 000001576 |
iv. LEI, if any | M67H5PRC0NQKM73ZAS82 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 5.000000000000 |
Brokers Record:
3 |
i. Full name of broker | FIS BROKERAGE & SECURITIES SERVICES LLC |
ii. SEC file number | 008-52614 |
iii. CRD number | 000104162 |
iv. LEI, if any | 5493000KYO0CHOUH1K62 |
v. State, if applicable |
ILLINOIS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 12.000000000000 |
Brokers Record:
4 |
i. Full name of broker | MKM PARTNERS LLC |
ii. SEC file number | 008-53436 |
iii. CRD number | 000114666 |
iv. LEI, if any | 25490041O5W104HFWA62 |
v. State, if applicable |
CONNECTICUT
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 13.000000000000 |
Brokers Record:
5 |
i. Full name of broker | G.RESEARCH, LLC |
ii. SEC file number | 008-21373 |
iii. CRD number | 000007353 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 743.000000000000 |
Brokers Record:
6 |
i. Full name of broker | RBC CAPITAL MARKETS, LLC |
ii. SEC file number | 008-45411 |
iii. CRD number | 000031194 |
iv. LEI, if any | 549300LCO2FLSSVFFR64 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 25.000000000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 801.000000000000 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | J.P. Morgan Securities LLC |
ii. SEC file number | 008-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 20,000.000000000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | RLJ ENTERTAINMENT INC. |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | 549300N9A2J0ELDKE604 |
v. State, if applicable |
MARYLAND
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 2,544.000000000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | NOMURA SECURITIES INTERNATIONAL, INC. |
ii. SEC file number | 008-15255 |
iii. CRD number | 000004297 |
iv. LEI, if any | OXTKY6Q8X53C9ILVV871 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 457,429.000000000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | BARCLAYS CAPITAL, INC. |
ii. SEC file number | 008-41342 |
iii. CRD number | 000019714 |
iv. LEI, if any | AC28XWWI3WIBK2824319 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 298,824.000000000000 |