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GGZ

Gabelli Global Small and Mid-Cap Value Trust
GGZ

44 hedge funds and large institutions have $31.4M invested in Gabelli Global Small and Mid-Cap Value Trust in 2015 Q3 according to their latest regulatory filings, with 9 funds opening new positions, 12 increasing their positions, 11 reducing their positions, and 7 closing their positions.

New
Increased
Maintained
Reduced
Closed

29% more first-time investments, than exits

New positions opened: 9 | Existing positions closed: 7

5% more funds holding

Funds holding: 42 → 44 (+2)

3.31% more ownership

Funds ownership: 35.21% → 38.52% (+3.3%)

9% more repeat investments, than reductions

Existing positions increased: 12 | Existing positions reduced: 11

2% more capital invested

Capital invested by funds: $30.8M → $31.4M (+$567K)

Holders
44
Holders Change
+2
Holders Change %
+4.76%
% of All Funds
1.23%
Holding in Top 10
–
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
–
New
9
Increased
12
Reduced
11
Closed
7
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

Rank Fund Capital Flow
1
KIM
Karpus Investment Management
New York
+$2.08M
2
RJA
Raymond James & Associates
Florida
+$246K
3
Morgan Stanley
Morgan Stanley
New York
+$227K
4
1CP
1607 Capital Partners
Virginia
+$215K
5
RCM
Rivernorth Capital Management
Florida
+$158K

Top Sellers

Rank Fund Capital Flow
1
DA
Doliver Advisors
Texas
-$147K
2
WAM
Wolverine Asset Management
Illinois
-$147K
3
AAM
Advisors Asset Management
Colorado
-$111K
4
Invesco
Invesco
Georgia
-$85K
5
FIMG
Financial & Investment Management Group
Michigan
-$36.4K
Name Holding Trade Value Shares
Change 		Change in
Stake
AIG
26
American International Group
New York
$8K -$372 -36 -4%
TJHA
27
Thomas J. Herzfeld Advisors
Florida
$7K – – –
LTFS
28
Ladenburg Thalmann Financial Services
Florida
$5K -$3.33K -322 -38%
Citigroup
29
Citigroup
New York
$5K – – –
PMFA
30
Plante Moran Financial Advisors
Michigan
$5K – – –
BBHC
31
Brown Brothers Harriman & Co
New York
$4K – – –
TRCT
32
Tower Research Capital (TRC)
New York
$3K +$2.46K +238 +992%
Creative Planning
33
Creative Planning
Kansas
$3K +$3.1K +300 New
MFS
34
MSI Financial Services
Massachusetts
$2K -$496 -48 -19%
US Bancorp
35
US Bancorp
Minnesota
$2K – – –
FCCM
36
First City Capital Management
Georgia
$1.19K +$1.24K +120 New
MPWT
37
MassMutual Private Wealth & Trust
Connecticut
$1.02K +$1.03K +100 New
DADC
38
D.A. Davidson & Co
Montana
$1K – – –
FWM
39
Focused Wealth Management
New York
$1K – – –
WTC
40
WhitTier Trust Company
Nevada
$1K – – –
CG
41
Colony Group
Massachusetts
$1K +$1.43K +138 New
WAM
42
Wolverine Asset Management
Illinois
– -$147K -13,801 Closed
DA
43
Doliver Advisors
Texas
– -$147K -13,772 Closed
Invesco
44
Invesco
Georgia
– -$85K -7,976 Closed
Fifth Third Bancorp
45
Fifth Third Bancorp
Ohio
– -$1K -100 Closed
MSFP
46
Mark Sheptoff Financial Planning
Connecticut
– -$1K -70 Closed
FNBT
47
FineMark National Bank & Trust
Florida
– -$1K -50 Closed
JWA
48
JFS Wealth Advisors
Pennsylvania
– +$341 +33 New
LFR
49
Lehman Financial Resources
Pennsylvania
– +$465 +45 +150%
1
2

GGZ Hedge Fund Activity: Q3 2015 in Review

44 of the 3,582 institutional investors tracked by Wall St. Rank reported a position in Gabelli Global Small and Mid-Cap Value Trust (GGZ) for Q3 2015, worth a combined $31.4M — up 1.8% from $30.8M a quarter earlier.

Buyers outnumbered sellers: 9 funds opened new GGZ positions and 7 closed out — a net gain of 2 holders — while 12 added to existing stakes and 11 trimmed.

The largest buyer was Karpus Investment Management, adding an estimated $2.08M. The largest seller was Doliver Advisors, exiting entirely with an estimated $147K sold.

  • 44 institutional investors held Gabelli Global Small and Mid-Cap Value Trust (GGZ) as of Q3 2015, up from 42 in Q2 2015.
  • Funds reported $31.4M of Gabelli Global Small and Mid-Cap Value Trust stock for Q3 2015, up 1.8% quarter-over-quarter.
  • 9 funds opened new Gabelli Global Small and Mid-Cap Value Trust positions in Q3 2015 and 7 closed out, a net change of +2 holders.
  • The largest Gabelli Global Small and Mid-Cap Value Trust buyer in Q3 2015 was Karpus Investment Management, an estimated $2.08M added.
  • The largest Gabelli Global Small and Mid-Cap Value Trust seller in Q3 2015 was Doliver Advisors, an estimated $147K sold.

Based on aggregated 13F filings for Q3 2015.