0001387131-22-004073.txt : 20220329 0001387131-22-004073.hdr.sgml : 20220329 20220329160127 ACCESSION NUMBER: 0001387131-22-004073 CONFORMED SUBMISSION TYPE: N-CSR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200930 FILED AS OF DATE: 20220329 DATE AS OF CHANGE: 20220329 EFFECTIVENESS DATE: 20220329 FILER: COMPANY DATA: COMPANY CONFORMED NAME: TETON WESTWOOD FUNDS CENTRAL INDEX KEY: 0000796229 IRS NUMBER: 133625130 STATE OF INCORPORATION: MA FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: N-CSR/A SEC ACT: 1940 Act SEC FILE NUMBER: 811-04719 FILM NUMBER: 22780694 BUSINESS ADDRESS: STREET 1: ONE CORPORATE CENTER CITY: RYE STATE: NY ZIP: 10580 BUSINESS PHONE: 8004223554 MAIL ADDRESS: STREET 1: ONE CORPORATE CENTER CITY: RYE STATE: NY ZIP: 10580 FORMER COMPANY: FORMER CONFORMED NAME: GAMCO WESTWOOD FUNDS DATE OF NAME CHANGE: 20091130 FORMER COMPANY: FORMER CONFORMED NAME: WESTWOOD FUNDS DATE OF NAME CHANGE: 20060621 FORMER COMPANY: FORMER CONFORMED NAME: GABELLI WESTWOOD FUNDS DATE OF NAME CHANGE: 19980304 0000796229 S000001080 TETON WESTWOOD BALANCED FUND C000002911 CLASS A WEBCX C000002912 CLASS AAA WEBAX C000002914 CLASS C WBCCX C000061063 Class I WBBIX 0000796229 S000001081 TETON WESTWOOD EQUITY FUND C000002916 CLASS C WEQCX C000002917 CLASS A WEECX C000002918 CLASS AAA WESWX C000061064 Class I WEEIX 0000796229 S000001082 TETON Convertible Securities Fund C000002919 CLASS A WEIAX C000002921 CLASS C WEICX C000002922 CLASS AAA WESRX C000061065 Class I WESIX 0000796229 S000001084 TETON WESTWOOD MIGHTY MITES FUND C000002927 CLASS A WMMAX C000002928 CLASS AAA WEMMX C000002930 CLASS C WMMCX C000061067 Class I WEIMX 0000796229 S000001085 TETON WESTWOOD SMALL CAP EQUITY FUND C000002931 CLASS A WWSAX C000002933 CLASS C WWSCX C000002934 CLASS AAA WESCX C000061068 Class I WWSIX N-CSR/A 1 teton-ncsra_093020.htm AMENDMENT TO FORM N-CSR 2020

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

FORM N-CSR/A

CERTIFIED SHAREHOLDER REPORT OF REGISTERED MANAGEMENT

INVESTMENT COMPANIES

Investment Company Act file number 811-04719

 

The TETON Westwood Funds
(Exact name of registrant as specified in charter)

 

One Corporate Center
Rye, New York 10580-1422
(Address of principal executive offices) (Zip code)

 

Bruce N. Alpert
Teton Advisors, Inc.
One Corporate Center
Rye, New York 10580-1422
(Name and address of agent for service)

 

Registrant’s telephone number, including area code: 1-800-422-3554

 

Date of fiscal year end: September 30
   
Date of reporting period: September 30, 2020

 

  

*Explanatory Note

The Registrant is filing this amendment to its Form N-CSR for the period ended September 30, 2020, originally filed with the Securities and Exchange Commission on December 4, 2020 (Accession Number 0001193125-20-310370). The purpose of this amendment is to update Item 1 of the Form N-CSR.

Items 2 through 13 of this amendment to the Registrant’s Form N-CSR are incorporated herein by reference to the Form N-CSR filed on EDGAR on December 4, 2020 (Accession Number 0001193125-20-310370). 

* * * * * 

   

 

Item 1. Reports to Stockholders.

The first paragraph under “Opinions on the Financial Statements” shall be replaced with the following:

“We have audited the accompanying statement of assets and liabilities, including the summary schedule of investments, of TETON Westwood Mighty MitesSM Fund and the accompanying statements of assets and liabilities, including the schedules of investments (included in Item 6 of this Form N-CSR), of TETON Westwood SmallCap Equity Fund, TETON Convertible Securities Fund, TETON Westwood Equity Fund and TETON Westwood Balanced Fund (constituting TETON Westwood Funds, hereafter collectively referred to as the “Funds”) as of September 30, 2020, the related statements of operations for the year ended September 30, 2020, the statements of changes in net assets for each of the two years in the period ended September 30, 2020, including the related notes, and the financial highlights for each of the five years in the period ended September 30, 2020 (collectively referred to as the “financial statements”). In our opinion, the financial statements present fairly, in all material respects, the financial position of each of the Funds as of September 30, 2020, the results of each of their operations for the year then ended, the changes in each of their net assets for each of the two years in the period ended September 30, 2020 and each of the financial highlights for each of the five years in the period ended September 30, 2020 in conformity with accounting principles generally accepted in the United States of America.”

 

   

 

 

 

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

 

(Registrant)                            The TETON Westwood Funds

 

By (Signature and Title)*     /s/  Bruce N. Alpert
     Bruce N. Alpert, Principal Executive Officer

Date  March 29, 2022

Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, this report has been signed below by the following persons on behalf of the registrant and in the capacities and on the dates indicated.

 

By (Signature and Title)*     /s/  Bruce N. Alpert
     Bruce N. Alpert, Principal Executive Officer

Date  March 29, 2022

 

By (Signature and Title)*     /s/ John C. Ball
    John C. Ball, Principal Financial Officer and Treasurer

Date  March 29, 2022

 

* Print the name and title of each signing officer under his or her signature.