GGZ on NYSE

Gabelli Global Small & Mid Cap Value Trust

Gabelli Global Small & Mid Cap Value Trust is an investment fund that raised $80 million in 2025 (SEC Form D), active since 2013.² It is headquartered in Rye, United States.² Its shares trade on NYSE under the symbol GGZ.²

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Last updated Oct 21, 2026.

Overview

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TickerGGZ on NYSE²
HeadquartersRye, United States²
Incorporated inDE³
Business addressOne Corporate Center, Rye, Ny 10580³
Legal formBusiness Trust²
Kind of organizationInvestment fund²
LEI54930027RS7HE8UD3187²
StatusActive²
LEI statusIssued and current²
Registered addressC/O THE CORPORATION TRUST COMPANY, 19801 Wilmington, United States²
Registered withDivision of Corporations, Department of State, 5374735²

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Corporate structure

Gabelli Global Small & Mid Cap Value Trust sits at the top of its group. 1 entity, 1 country on record. Switch between the flow chart and the network, and select any entity to see its details.

Major holders of Gabelli Global Small & Mid Cap Value Trust

GAMCO Investors Filed SCHEDULE 13D/A on Gabelli Global Small & Mid Cap Value Trust, latest Mar 16, 2026 (5 filings since Nov 12, 2021)
MJG 1999 DESCENDANTS TRUST Filed SC 13G/A on Gabelli Global Small & Mid Cap Value Trust, latest Feb 9, 2023 (2 filings since Nov 12, 2021)
Regina M. Pitaro Filed SC 13G/A on Gabelli Global Small & Mid Cap Value Trust, latest Feb 9, 2023 (2 filings since Nov 12, 2021)

Gabelli Global Small & Mid Cap Value Trust Rye, New York, United States

Built from parent and subsidiary links from GLEIF, the Global Legal Entity Identifier Foundation (CC0); major holders from Schedules 13D and 13G. Each entity in the chart links to its source.

Leadership

Who has led Gabelli Global Small & Mid Cap Value Trust, and when. Pick a name to see everywhere that person has worked.

President

Bruce N. Alpert2014–2022

201520202025

PresidentBruce N. Alpert Jun 26, 2014 to Mar 2, 2022⁴

Board members and other officers (13)

SecretaryJ. Christopher Jackson Aug 17, 2026 to now⁵
SecretaryPeter D. Goldstein Aug 26, 2020 to Aug 26, 2020⁶
TreasurerAgnes Mullady Jun 23, 2014 to Jun 23, 2014⁷
Board memberAgnes Mullady Feb 18, 2022 to Feb 18, 2022⁸
Board memberCalgary Avansino Apr 5, 2021 to Apr 5, 2021⁹
Board memberAnthony S. Colavita Oct 18, 2018 to Oct 18, 2018¹⁰
Board memberJohn Birch Oct 18, 2018 to Feb 10, 2022¹¹
Board memberKevin Dreyer V. Mar 1, 2016 to now¹²
Board memberMario Gabelli Nov 25, 2015 to now¹³
Board memberKuni Nakamura Jun 23, 2014 to Dec 14, 2017¹⁴
Board memberAnthony J. Colavita Jun 26, 2014 to Dec 14, 2017¹⁵
Board memberJames P. Conn Jun 26, 2014 to Sep 9, 2019¹⁶
Board memberSalvatore J. Zizza Jun 26, 2014 to Dec 14, 2017¹⁷

Named in SEC Form D filings

People the company listed in its private-offering notices.

Vice President and OmbudsmanBethany A. Uhlein named Nov 6, 2025¹⁸
Vice President and OmbudsmanDaniel J. Hughes named Nov 6, 2025¹⁸
President and TreasurerJohn C. Ball named Nov 5, 2021 to Nov 6, 2025¹⁸
Secretary and Vice PresidentPeter J. Goldsten named Nov 6, 2025¹⁸
Chief Compliance OfficerRichard J. Walz named Nov 6, 2025¹⁸
DirectorFrank J. Fahrenkopf, Jr. named Nov 5, 2021 to Nov 6, 2025¹⁸

Timeline

May 7, 20268-K Other events¹⁹
Aug 19, 2013Founded Gabelli Global Small & Mid Cap Value Trust is founded²

Filings

97 filings to the SEC since October 2021: 1 major events, 16 insider forms, 9 large holders, 2 private raises, 69 other. The latest 20:

Sep 10, 2026N-CEN/A EDGAR
Sep 8, 2026N-CSRS EDGAR
Sep 8, 2026N-CSR/A EDGAR
Aug 31, 2026NPORT-P EDGAR
Aug 19, 2026N-PX EDGAR
Aug 17, 20263 PRIMARY DOCUMENT EDGAR
Jun 1, 2026NPORT-P EDGAR
May 7, 20268-K EDGAR
Mar 19, 2026DEFA14A THE GABELLI GLOBAL SMALL AND MID CAP VALUE TRUST (GGZ) - DEFA14A EDGAR
Mar 19, 2026DEF 14A THE GABELLI GLOBAL SMALL AND MID CAP VALUE TRUST (GGZ) - DEF 14A EDGAR
Mar 16, 2026SCHEDULE 13D/A EDGAR
Mar 12, 2026N-CEN EDGAR
Mar 9, 2026N-CSR EDGAR
Mar 2, 2026NPORT-P EDGAR
Jan 9, 202640-17G EDGAR
Nov 28, 2025NPORT-P EDGAR
Nov 6, 2025D EDGAR
Sep 30, 20254 PRIMARY DOCUMENT EDGAR
Sep 30, 20254 PRIMARY DOCUMENT EDGAR
Sep 29, 20254 PRIMARY DOCUMENT EDGAR

The 97 filings since October 2021 can be filtered by form type and year here when JavaScript is on.

Every filing from the last five years, summarized. The full record is on SEC EDGAR.

Insider trades

9 open-market trades by officers, directors and large owners since October 2021: 8 buys and 1 sales. Grants, option exercises and gifts are left out.

Date	Who	Trade	Shares	Price	Value	Filing
Sep 26, 2025	GABELLI MARIO JDirector	Buy	1,150,000	$10.00	$11.5M	Form 4
Jan 13, 2025	GABELLI MARIO JDirector	Buy	6,300	$11.66	$73.5K	Form 4
Jan 10, 2025	GABELLI MARIO JDirector	Buy	7,700	$11.67	$89.9K	Form 4
Feb 22, 2024	Ball John ChesterPresident & Treasurer	Buy	22	$11.57	$255	Form 4
Oct 17, 2022	GABELLI MARIO JDirector	Buy	158,554	$10.00	$1.6M	Form 4
Oct 17, 2022	GABELLI MARIO JDirector	Sale	158,554	$10.00	$1.6M	Form 4
Feb 17, 2022	Mullady AgnesDirector	Buy	150	$14.49	$2.2K	Form 4
Nov 1, 2021	Dreyer Kevin V.Director	Buy	5,000	$10.00	$50.0K	Form 4
Nov 1, 2021	GABELLI MARIO JDirector	Buy	1,263,500	$10.00	$12.6M	Form 4

From Forms 4 filed with the SEC.

Major holders

Investors who own more than 5% of the shares must tell the SEC: a 13D if they may seek to influence the company, a 13G if they hold passively.

GAMCO InvestorsSCHEDULE 13D/A, 5 filings Nov 12, 2021 to Mar 16, 2026²⁰
MJG 1999 DESCENDANTS TRUSTSC 13G/A, 2 filings Nov 12, 2021 to Feb 9, 2023²¹
Regina M. PitaroSC 13G/A, 2 filings Nov 12, 2021 to Feb 9, 2023²²

Funding

Where the company's money came from, by calendar year: private offerings filed with the SEC, federal grants, loans, contracts and other assistance from USAspending.gov, and PPP loans from the SBA. Each bar links to the records below.

Money received by year$80.0M 2021–2025

Private raises (Form D) $80.0M

Figures by year

Year	Private raises (Form D)	Total
2025	$40.0M	$40.0M
2021	$40.0M	$40.0M

Private raises

Private offerings the company reported to the SEC on Form D. The amount is what the latest filing says was sold so far, charted in the year of the first sale. Covers filings since Oct 1, 2021.

Sep 26, 2025Raised $40 million in a private offering of equity¹⁸ Form D: 36 investors so far Form D
Nov 1, 2021Raised $40 million in a private offering of equity²³ Form D: 40 investors so far Form D

Held by these funds

The largest holders among investment managers' 13F reports for the quarter ending Jun 30, 2026, the top 25 of 39. Change is in shares since the quarter before.

Fund	Shares	Value	Share of the fund	Change
Atlas Wealth LLC	523,754	$8.5M	1.2%	New
Morgan Stanley	309,049	$5.0M	0.0%	+4,448
Private Management Group Inc	250,827	$4.1M	0.1%	−5,815
Blue Bell Private Wealth Management, LLC	170,121	$2.8M	0.3%	+11,597
180 Wealth Advisors, LLC	118,916	$1.9M	0.2%	−896
Raymond James Financial Inc	88,095	$1.4M	0.0%	−2,172
Bank Of America Corp /de/	86,414	$1.4M	0.0%	+1,119
GABELLI & Co INVESTMENT ADVISERS, INC.	82,711	$1.3M	0.2%	No change
GatePass Capital, LLC	79,000	$1.3M	0.5%	−8,000
UBS Group AG	78,168	$1.3M	0.0%	−212
LPL Financial LLC	69,937	$1.1M	0.0%	+11,134
Capstone Investment Advisors, LLC	69,157	$1.1M	0.0%	No change
Evolve Private Wealth, LLC	66,046	$1.1M	0.1%	−3,474
Beckerman Institutional, LLC	57,321	$933.2K	0.4%	−208
Wells Fargo & Company/mn	51,462	$837.8K	0.0%	−1,000
Stephens Inc /ar/	46,001	$748.9K	0.0%	+766
Gamco Investors, Inc. Et Al	45,586	$742.1K	0.0%	No change
Css Llc/il	34,071	$554.7K	0.0%	−1,881
Private Advisor Group, LLC	22,915	$373.1K	0.0%	+9,761
Silverlake Wealth Management LLC	15,004	$244.3K	0.0%	+76
Susquehanna International Group, Llp	11,351	$184.8K	0.0%	+112
Commonwealth Equity Services, LLC	11,250	$183.2K	0.0%	−985
Fifth Third Bancorp	10,000	$162.8K	0.0%	−1,000
Ancora Advisors LLC	5,000	$81.4K	0.0%	No change
Lanark Financial, Inc.	2,870	$46.7K	0.0%	No change

13F reports cover disclosed long positions in U.S. stocks only.

SEC filer profile

How Gabelli Global Small & Mid Cap Value Trust is registered with the Securities and Exchange Commission, from its EDGAR record and the cover page of its latest annual report.

Name on EDGARGabelli Global Small & Mid Cap Value Trust¹
CIK0001585855
Incorporated inDelaware¹
Fiscal year endsDecember 31¹
Business addressOne Corporate Center, Rye, NY 10580¹
Phone914-921-5100¹
On EDGAR sinceSep 11, 2013¹
Filings296 in all: 4 (57), NPORT-P (28), 3 (15), DEFA14A (14), 40-17G (13), N-CSRS (13), N-PX (13), DEF 14A (12)¹
All 47 form types
N-CSR (12), SC 13G/A (12), N-Q (9), CORRESP (8), N-CEN (8), SC 13D/A (8), EFFECT (5), SC 13G (5), 40-17G/A (4), 497 (4), 497AD (4), N-2 (4), N-2/A (4), NSAR-A (4), NSAR-B (4), POS EX (3), 425 (2), 8-A12B (2), D (2), DEFR14A (2), N-23C-2 (2), N-CEN/A (2), N-CSR/A (2), POS 8C (2), SC 13D (2), SCHEDULE 13D/A (2), 25-NSE (1), 40-APP (1), 40-APP/A (1), 8-K (1), APP NTC (1), APP ORDR (1), AW WD (1), N-14 8C (1), N-14 8C/A (1), N-8A (1), N-CSRS/A (1), NPORT-EX (1), POS AMI (1)
Latest filingsProxy statement (DEF 14A) Mar 19, 2026
Latest 8-K (8-K) May 7, 2026

Sources

The numbers on this page point here. Each one links to the record it came from.

1
SEC EDGARGabelli Global Small & Mid Cap Value Trust filings on SEC EDGAR
2
GLEIFGabelli Global Small & Mid Cap Value Trust LEI record (54930027RS7HE8UD3187)
3
SEC EDGARGabelli Global Small & Mid Cap Value Trust filings on SEC EDGAR
4
SEC EDGARBruce N. Alpert, President
5
SEC EDGARJ. Christopher Jackson, Secretary
6
SEC EDGARPeter D. Goldstein, Secretary
7
SEC EDGARAgnes Mullady, Treasurer
8
SEC EDGARAgnes Mullady, Board member
9
SEC EDGARCalgary Avansino, Board member
10
SEC EDGARAnthony S. Colavita, Board member
11
SEC EDGARJohn Birch, Board member
12
SEC EDGARKevin Dreyer V., Board member
13
SEC EDGARMario Gabelli, Board member
14
SEC EDGARKuni Nakamura, Board member
15
SEC EDGARAnthony J. Colavita, Board member
16
SEC EDGARJames P. Conn, Board member
17
SEC EDGARSalvatore J. Zizza, Board member
18
SEC EDGARGabelli Global Small & Mid Cap Value Trust Form D naming Bethany A. Uhlein
19
SEC EDGAROther events
20
SEC EDGARGAMCO Investors SCHEDULE 13D/A on Gabelli Global Small & Mid Cap Value Trust
21
SEC EDGARMJG 1999 DESCENDANTS TRUST SC 13G/A on Gabelli Global Small & Mid Cap Value Trust
22
SEC EDGARRegina M. Pitaro SC 13G/A on Gabelli Global Small & Mid Cap Value Trust
23
SEC EDGARForm D: Raised $40 million in a private offering of equity