-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, UypxwB2LWReSc/pcZAwxnVJ7F2S/9igo0LW8MNpa7xmrjoPn1u+OyRgYkicE+1y9 SV+hbpjRic5PyDN4duOY9g== /in/edgar/work/20000828/0000940400-00-000516/0000940400-00-000516.txt : 20000922 0000940400-00-000516.hdr.sgml : 20000922 ACCESSION NUMBER: 0000940400-00-000516 CONFORMED SUBMISSION TYPE: NSAR-A PUBLIC DOCUMENT COUNT: 4 CONFORMED PERIOD OF REPORT: 20000630 FILED AS OF DATE: 20000828 FILER: COMPANY DATA: COMPANY CONFORMED NAME: GABELLI UTILITY TRUST CENTRAL INDEX KEY: 0001080720 STANDARD INDUSTRIAL CLASSIFICATION: [ ] IRS NUMBER: 134046522 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: NSAR-A SEC ACT: SEC FILE NUMBER: 811-09243 FILM NUMBER: 710851 BUSINESS ADDRESS: STREET 1: 1 CORPORATE CENTER CITY: RYE STATE: NY ZIP: 10580 BUSINESS PHONE: 9149215083 MAIL ADDRESS: STREET 1: 1 CORPORATE CENTER CITY: RYE STATE: NY ZIP: 10580 FORMER COMPANY: FORMER CONFORMED NAME: GABELLI UTILITY FUND DATE OF NAME CHANGE: 19990225 NSAR-A 1 0001.txt N-SAR (6.1) PAGE 1 000 A000000 06/30/2000 000 C000000 0001080720 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 6.1 000 J000000 A 001 A000000 THE GABELLI UTILITY TRUST 001 B000000 811-09243 001 C000000 9149215100 002 A000000 ONE CORPORATE CENTER 002 B000000 RYE 002 C000000 NY 002 D010000 10580 002 D020000 1434 003 000000 N 004 000000 N 005 000000 N 006 000000 N 007 A000000 N 007 B000000 0 007 C010100 1 007 C010200 2 007 C010300 3 007 C010400 4 007 C010500 5 007 C010600 6 007 C010700 7 007 C010800 8 007 C010900 9 007 C011000 10 008 A000001 GABELLI FUNDS, LLC 008 B000001 A 008 C000001 801-37706 008 D010001 RYE 008 D020001 NY 008 D030001 10580 008 D040001 1434 010 A000001 PFPC INC. 010 B000001 881-5715 010 C010001 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EX-99 3 0003.txt THE GABELLI UTILITY TRUST INC. EXHIBIT TO ITEM 77C On May 15, 2000, the Trust held its Annual Meeting of Shareholders to (1) elect four Trustees of the Trust and (2) ratify the selection of PricewaterhouseCoopers L.L.P. as the independent accountants of the Trust for the fiscal year ending December 31, 2000. The results of each proposal are as follows: 1. To elect four (4) Trustees of the Trust. For Withholding Authority Percent Represented at the Meeting Voting in Favor (Common and Preferred Shareholders voting as a single Class James P. Conn 9,844,623.64 56,255.74 99.43% John D. Gabelli 9,820,172.61 80,706.77 99.18% Karl Otto Pohl 8,803,419.43 97,459.95 99.01% Anthony R. Pustorino 9,820,629.89 80,249.49 99.18% The remaining Directors in office are: Thomas E. Bratter, Anthony J. Colavita, Vincent D. Enright, Frank J. Fahrenkopf, Jr., Mario J. Gabelli, Robert J. Morrissey and Salvatore J. Zizza. 2. To ratify the selection of PricewaterhouseCoopers LLP as the independent accountants of the Trust for the year ending December 31, 2000. (Common Stock and Preferred Stock Entitled to Vote Together as a Single Class) For Against Abstain 9,848,120.12 19,794.65 32,964.61 (99.46%) THE GABELLI CONVERTIBLE SECURITIES FUND, INC. (the "Fund") EXHIBIT TO ITEM 77Q1(a) THE GABELLI CONVERTIBLE SECURITIES FUND, INC. AS PROPOSED NOVEMBER 17, 1999 The By-Laws of The Gabelli Convertible Securities Fund, Inc. (the "Corporation") be, and they hereby are, amended to add the following Section to Article I of the Trust's By-Laws. "Section 1.11 - Notice of Stockholder Business. At any annual or special meeting of the stockholders, only such business shall be conducted as shall have been properly brought before the meeting. To be properly brought before an annual or special meeting, the business must be (i) specified in the notice of meeting (or any supplement thereto) given by or at the direction of the Board of Directors, (ii) otherwise properly brought before the meeting by or at the direction of the Board of Directors, or (iii) otherwise properly brought before the meeting by a stockholder. For business to be properly brought before an annual or special meeting by a stockholder, the stockholder must have given timely notice thereof in writing to the Secretary of the Corporation. To be timely, any such notice must be delivered to or mailed and received at the principal executive offices of the Corporation not later than 60 days prior to the date of the meeting; provided, however, that if less than 70 days' notice or prior public disclosure of the date of the meeting is given or made to stockholders, any such notice by a stockholder to be timely must be so received not later than the close of business on the 10th day following the day on which notice of the date of the annual or special meeting was given or such public disclosure was made. Any such notice by a stockholder shall set forth as to each matter the stockholder proposes to bring before the annual or special meeting (i) a brief description of the business desired to be brought before the annual or special meeting and the reasons for conducting such business at the annual or special meeting, (ii) the name and address, as they appear on the Corporation's books, of the stockholder proposing such business, (iii) the class and number of shares of the capital stock of the Corporation which are beneficially owned by the stockholder, and (iv) any material interest of the stockholder in such business. Notwithstanding anything in these By-Laws to the contrary, no business shall be conducted at any annual or special meeting except in accordance with the procedures set forth in this Section 1.11. The chairman of the annual or special meeting shall, if the facts warrant, determine and declare to the meeting that business was not properly brought before the meeting in accordance with the provisions of this Section 1.11, and, if he should determine, he shall so declare to the meeting that any such business not properly brought before the meeting shall not be considered or transacted." G:\SHARED\3RDPARTY\GABEQTRU\NSAREX.DOC EX-99 4 0004.txt The Gabelli Utility Trust 2nd Quarter 2000 Section 10f-3 Transactions The following securities were purchased pursuant to Rule 10f-3 and all requirements of the Affiliated Underwriting Procedures of the Fund. A folder documenting such compliance for each transaction is available for inspection by Board Members. Trade Dates 04-26-00 Issue AT&T Wireless Shares 50,000 Price $29.50 Amount $1,475,000 Spread Amount .86 Spread % 2.92% Fund's % of Issue 0.014% % of Issue for all GabelliFunds 0.195% Broker Merill Lynch Issues within 90 days 3 Reason (1),(2) The Purchases listed above meet the following requirements of 10f-3 ...Part of an issue registered under the Securities Act of 1933. ...Purchased at not more than the offering price. ...Offered pursuant to a firm commitment underwriting. ... The issuer has been in continuos operation for at least 3 years. All other requirements are presented in the table above. Reason Key (1) Does not exceed 125% of the mean offering spread of 3 comparable Issues underwritten in the last 90 days. (2) Does not exceed 110% of this underwriting spread of 3 comparable Issues underwritten in the last 90 days. Note: If 3 comparable issues are not available within 90 days, a one-year window is used. -----END PRIVACY-ENHANCED MESSAGE-----