Welcome to our dedicated page for The Gabelli Global Small & Mid Cap Value Trust SEC filings (Ticker: GGZ), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
The Gabelli Global Small and Mid Cap Value Trust (NYSE: GGZ) is a diversified, closed-end management investment company with a stated objective of achieving long-term capital growth of capital. As a registered investment company, GGZ provides regulatory disclosures through SEC filings, which typically include information on its investment objective, policies, risks, portfolio holdings, and financial statements.
On this page, investors can review the Fund’s historical and ongoing SEC filings as they become available, such as annual and semi-annual reports and other required documents. These filings expand on the themes highlighted in the Fund’s public announcements, including its focus on investing at least 80% of total assets in equity securities of companies with small or medium sized market capitalizations under normal market conditions.
Regulatory documents for GGZ also complement the Fund’s distribution-related communications. While press releases describe quarterly and potential year-end distributions, SEC filings provide additional context on earnings, realized capital gains, and other factors that influence whether distributions are characterized as net investment income, capital gains, or return of capital.
Stock Titan enhances access to GGZ’s regulatory information by pairing real-time updates from EDGAR with AI-powered summaries. These tools can help explain the key points in lengthy filings, highlight how the Fund describes its investment objective and policies, and make it easier to locate information related to distributions, tax treatment, and portfolio composition. This page serves as a focused resource for understanding the regulatory record of The Gabelli Global Small and Mid Cap Value Trust.
The Gabelli Global Small and Mid Cap Value Trust is asking shareholders to vote at its Annual Meeting on May 11, 2026 at Indian Harbor Yacht Club in Greenwich, Connecticut. The main item is electing three trustees—Mario J. Gabelli, James P. Conn, and Salvatore J. Zizza—to terms ending at the 2029 meeting.
Common and 5.20% Series E Cumulative Preferred shareholders vote together as a single class, with one vote per share. As of the March 12, 2026 record date, there were 7,640,349 common shares and 4,000,000 Series E preferred shares outstanding. GAMCO Investors and affiliates beneficially owned 36.8% of the common shares and 49.5% of the preferred shares.
The Board, a majority of whom are independent, recommends voting “FOR” all three nominees. PricewaterhouseCoopers LLP remains the independent auditor, with $34,949 in audit fees and $4,725 in tax fees for 2025. The proxy also details governance practices, committee structures, trustee compensation, and how Delaware’s control share statute may limit voting rights for large new share accumulations.
Mario Gabelli and affiliated entities report beneficial ownership of 2,812,797 Gabelli Global Small & Mid Cap Value Trust common shares, representing 36.49% of the 7,707,620 shares outstanding as of March 9, 2026. The filing states this higher ownership percentage results solely from a decrease in shares outstanding reported by the fund, not from new share purchases. Within this total, Mario Gabelli individually is reported as beneficially owning 2,678,111 shares, or 34.75% of the fund’s common shares. The Schedule 13D/A notes that there were no transactions in the securities by the reporting persons during the past 60 days.
The Gabelli Global Small and Mid Cap Value Trust reported strong full‑year results for the period ended December 31, 2025, with a NAV total return of 21.41% and an investment (market) total return of 34.74%. NAV per share was $16.55 with the market price at $15.00. The Fund held $168.43M of investments and $27.68M in U.S. Treasury bills; net assets attributable to common shareholders were $127.55M. Net investment income was $471,692 and net realized and unrealized gains totaled $22.87M. The Fund issued 4,000,000 Series E preferred shares and redeemed its Series B preferred shares during the year.
Mario J. Gabelli reported purchases of Series E Cumulative Preferred Shares of Gabelli Global Small & Mid Cap Value Trust (GGZ). The filing shows a direct purchase of 750,000 shares at $10 per share and additional indirect acquisitions through affiliated entities: 200,000 shares held by Associated Capital Group, Inc., 100,000 held by GGCP, Inc., and 100,000 held by CIBL, Inc., each at $10 per share. The explanatory notes state Mr. Gabelli’s roles with those entities and that he disclaims beneficial ownership of shares held by those entities beyond his indirect pecuniary interest.
Mario J. Gabelli reported the redemption of Series B Cumulative Preferred Shares on September 26, 2025. The filing shows three disposals related to the mandatory redemption: 473,596 shares were disposed of directly; 70,600 shares were disposed of indirectly through Associated Capital Group, Inc.; and 88,200 shares were disposed of indirectly through GGCP, Inc. Each share had a $10 liquidation price and the post-transaction beneficial ownership for those reported positions is shown as 0. The filing discloses Mr. Gabelli's roles: director, 10% owner, and control person of advisers, and explains he disclaims beneficial ownership of amounts in excess of his indirect pecuniary interest in the two entities.
Kevin V. Dreyer, a director at GAMCO Investors reporting for Gabelli Global Small & Mid Cap Value Trust (GGZ), reported the mandatory redemption of Series B Cumulative Preferred Shares. On 09/26/2025 Mr. Dreyer disposed of 1,800 Series B preferred shares at a redemption price of $10 per share, and the filing shows 0 shares beneficially owned following the transaction. The Form 4 indicates the redemption was required under the mandatory redemption of the outstanding Series B shares and is signed by Kevin V. Dreyer on 09/29/2025.