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 I |
ii. Class identification number, if any | C000034307 |
iii. Ticker symbol, if any | GABIX |
Shares Outstanding Record:
2 |
i. Full name of Class | CLASS A |
ii. Class identification number, if any | C000002940 |
iii. Ticker symbol, if any | GATAX |
Shares Outstanding Record:
3 |
i. Full name of Class | CLASS AAA |
ii. Class identification number, if any | C000002943 |
iii. Ticker symbol, if any | GABAX |
Shares Outstanding Record:
4 |
i. Full name of Class | CLASS C |
ii. Class identification number, if any | C000002942 |
iii. Ticker symbol, if any | GATCX |
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 | BERENBERG BANK |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | 5299000WI2BXRB3KKL92 |
v. State, if applicable | |
vi. Foreign country, if applicable |
GERMANY
|
vii. Gross commissions paid by the Fund for
the
reporting period | 10,216.000000000000 |
Brokers Record:
2 |
i. Full name of broker | ALLIANCEBERNSTEIN L.P. |
ii. SEC file number | N/A |
iii. CRD number | 000108477 |
iv. LEI, if any | 0JK55UGWSWNF3X7KLQ85 |
v. State, if applicable |
DELAWARE
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 15,718.000000000000 |
Brokers Record:
3 |
i. Full name of broker | TD SECURITIES (USA) LLC |
ii. SEC file number | 008-36747 |
iii. CRD number | 000018476 |
iv. LEI, if any | SUVUFHICNZMP2WKHG940 |
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 | 27,374.000000000000 |
Brokers Record:
4 |
i. Full name of broker | PIPER SANDLER & 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 | 24,857.000000000000 |
Brokers Record:
5 |
i. Full name of broker | JEFFERIES LLC |
ii. SEC file number | 008-15074 |
iii. CRD number | 000002347 |
iv. LEI, if any | 58PU97L1C0WSRCWADL48 |
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 | 36,788.000000000000 |
Brokers Record:
6 |
i. Full name of broker | EVERCORE GROUP L.L.C. |
ii. SEC file number | 008-49830 |
iii. CRD number | 000042405 |
iv. LEI, if any | 5493008F0LRLS5N8LZ81 |
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 | 13,386.000000000000 |
Brokers Record:
7 |
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 | 14,002.000000000000 |
Brokers Record:
8 |
i. Full name of broker | CANTOR FITZGERALD & CO. |
ii. SEC file number | 008-00201 |
iii. CRD number | 000000134 |
iv. LEI, if any | 5493004J7H4GCPG6OB62 |
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 | 7,829.000000000000 |
Brokers Record:
9 |
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 | 10,626.000000000000 |
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 | 28,099.000000000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 255,182.000000000000 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | Philip Morris International Inc. |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | HL3H1H2BGXWVG3BSWR90 |
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:
| 15,710,178.000000000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | NASSAU LIFE INSURANCE COMPANY |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | 549300P5CZR1OVXCUQ04 |
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:
| 638,462.000000000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | BERKSHIRE HATHAWAY INC. |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | 5493000C01ZX7D35SD85 |
v. State, if applicable |
NEBRASKA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 3,604,085.000000000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | ARCHIMED |
ii. SEC file number | N/A |
iii. CRD number | 000290024 |
iv. LEI, if any | 969500R9KIP4M401P627 |
v. State, if applicable | |
vi. Foreign country, if applicable |
FRANCE
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 837,500.000000000000 |
Principal Transactions Record:
5 |
i. Full name of dealer | 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. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 49,808,682.000000000000 |
Principal Transactions Record:
6 |
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:
| 15,164,598.000000000000 |
Principal Transactions Record:
7 |
i. Full name of dealer | 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. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 9,522,535.000000000000 |
Principal Transactions Record:
8 |
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:
| 160,981,385.000000000000 |
Principal Transactions Record:
9 |
i. Full name of dealer | 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. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 5,999,317.000000000000 |
Principal Transactions Record:
10 |
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:
| 54,705,461.000000000000 |
|
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 | Gabelli Gold Fund Inc |
SEC File number(
e.g., 811-
)
| 811-08518 |
Shared Credit Users Record:
2 |
Name of fund | Gabelli Global Content & Connectivity Fund |
SEC File number(
e.g., 811-
)
| 811-07896 |
Shared Credit Users Record:
3 |
Name of fund | The Gabelli Global Growth Fund |
SEC File number(
e.g., 811-
)
| 811-07896 |
Shared Credit Users Record:
4 |
Name of fund | The Gabelli Global Rising Income and Dividend Fund |
SEC File number(
e.g., 811-
)
| 811-07896 |
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 Equity Income Fund |
SEC File number(
e.g., 811-
)
| 811-06367 |
Shared Credit Users Record:
7 |
Name of fund | The Gabelli Small Cap Growth Fund |
SEC File number(
e.g., 811-
)
| 811-06367 |
Shared Credit Users Record:
8 |
Name of fund | The Gabelli Focused Growth and Income Fund |
SEC File number(
e.g., 811-
)
| 811-06367 |
Shared Credit Users Record:
9 |
Name of fund | The Gabelli U.S. Treasury Money Market Fund |
SEC File number(
e.g., 811-
)
| 811-06687 |
Shared Credit Users Record:
10 |
Name of fund | The Gabelli Dividend Growth Fund |
SEC File number(
e.g., 811-
)
| 811-09377 |
Shared Credit Users Record:
11 |
Name of fund | The Gabelli ABC Fund |
SEC File number(
e.g., 811-
)
| 811-07326 |
Shared Credit Users Record:
12 |
Name of fund | The Gabelli Utilities Fund |
SEC File number(
e.g., 811-
)
| 811-09397 |
Shared Credit Users Record:
13 |
Name of fund | Gabelli Capital Asset Fund |
SEC File number(
e.g., 811-
)
| 811-07644 |
Shared Credit Users Record:
14 |
Name of fund | The Gabelli Growth Fund |
SEC File number(
e.g., 811-
)
| 811-04873 |
Shared Credit Users Record:
15 |
Name of fund | Gabelli International Growth Fund, Inc |
SEC File number(
e.g., 811-
)
| 811-08560 |
Shared Credit Users Record:
16 |
Name of fund | Enterprise Mergers and Acquisitions Fund |
SEC File number(
e.g., 811-
)
| 811-22041 |
Shared Credit Users Record:
17 |
Name of fund | Gabelli Global Mini Mites Fund |
SEC File number(
e.g., 811-
)
| 811-07896 |
Shared Credit Users Record:
18 |
Name of fund | Keeley Small-Mid Cap Value Fund |
SEC File number(
e.g., 811-
)
| 811-21761 |
Shared Credit Users Record:
19 |
Name of fund | Keeley Small Cap Dividend Value Fund |
SEC File number(
e.g., 811-
)
| 811-21761 |
Shared Credit Users Record:
20 |
Name of fund | The Gabelli Global Financial Services Fund |
SEC File number(
e.g., 811-
)
| 811-06367 |
Shared Credit Users Record:
21 |
Name of fund | Keeley Mid Cap Dividend Value Fund |
SEC File number(
e.g., 811-
)
| 811-21761 |
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?
| 14,961,500.000000000000 |
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?
| 12 |