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 A |
ii. Class identification number, if any | C000002940 |
iii. Ticker symbol, if any | GATAX |
Shares Outstanding Record:
2 |
i. Full name of Class | CLASS AAA |
ii. Class identification number, if any | C000002943 |
iii. Ticker symbol, if any | GABAX |
Shares Outstanding Record:
3 |
i. Full name of Class | CLASS C |
ii. Class identification number, if any | C000002942 |
iii. Ticker symbol, if any | GATCX |
Shares Outstanding Record:
4 |
i. Full name of Class | CLASS I |
ii. Class identification number, if any | C000034307 |
iii. Ticker symbol, if any | GABIX |
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 | 5,020.000000000000 |
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 | 8,002.000000000000 |
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 | 115,861.000000000000 |
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 | 24,432.000000000000 |
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 | 12,679.000000000000 |
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 | 6,697.000000000000 |
Brokers Record:
7 |
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 | 8,222.000000000000 |
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 | 7,656.000000000000 |
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 | 6,373.000000000000 |
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 | 7,478.000000000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 247,760.000000000000 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | KINDRED HEALTHCARE INC |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | 549300OITC7AXM1AND14 |
v. State, if applicable |
DELAWARE
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 450,000.000000000000 |
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:
| 48,526,711.000000000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | KLX Inc. |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | 529900NPSO92CYLJVB07 |
v. State, if applicable |
CALIFORNIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,260,000.000000000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | ENVISION HEALTHCARE CORPORATION |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | 549300OL60X0LPKY8N60 |
v. State, if applicable |
TENNESSEE
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 2,070,000.000000000000 |
Principal Transactions Record:
5 |
i. Full name of dealer | Snyder's-Lance, Inc. |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | HT08BXLUFXNQIJGTMH27 |
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 4,500,000.000000000000 |
Principal Transactions Record:
6 |
i. Full name of dealer | DST SYSTEMS INC. |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | 21B7QCD05XOK0YTYOP98 |
v. State, if applicable |
DELAWARE
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,260,000.000000000000 |
Principal Transactions Record:
7 |
i. Full name of dealer | SCRIPPS NETWORKS INTERACTIVE, INC. |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | 549300AI1MM5VBF43K58 |
v. State, if applicable |
OHIO
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 10,440,161.000000000000 |
Principal Transactions Record:
8 |
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:
| 6,407,060.000000000000 |
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:
| 38,912,861.000000000000 |
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:
| 4,698,734.000000000000 |
|
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 U.S. Treasury Money Market Fund |
SEC File number(
e.g., 811-
)
| 811-06687 |
Shared Credit Users Record:
2 |
Name of fund | The Gabelli Focus Five Fund |
SEC File number(
e.g., 811-
)
| 811-06367 |
Shared Credit Users Record:
3 |
Name of fund | The Gabelli Small Cap Growth Fund |
SEC File number(
e.g., 811-
)
| 811-06367 |
Shared Credit Users Record:
4 |
Name of fund | The Gabelli Equity Income Fund |
SEC File number(
e.g., 811-
)
| 811-06367 |
Shared Credit Users Record:
5 |
Name of fund | Gabelli International Small Cap Fund |
SEC File number(
e.g., 811-
)
| 811-07896 |
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?
| 3,710,052.000000000000 |
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?
| 234 |