| Date | Name | Symbol | Type | Security | Shares | Price | Value | Ownership | Reported |
| 09/26/2023 | Gabelli Global Small & Mid Cap Value Trust | GGZ | Other (disposition) | Series B Cumulative Preferred Shares | 88k | $10.00 | $879.5k | Associated Capital Group, Inc. | 09/26/2023 |
| 09/26/2023 | Gabelli Global Small & Mid Cap Value Trust | GGZ | Other (disposition) | Series B Cumulative Preferred Shares | 110k | $10.00 | $1.1M | GGCP, Inc. | 09/26/2023 |
| 09/26/2023 | Gabelli Global Small & Mid Cap Value Trust | GGZ | Other (disposition) | Series B Cumulative Preferred Shares | 329.9k | $10.00 | $3.3M | | 09/26/2023 |
| 09/25/2023 | GABELLI MULTIMEDIA TRUST INC. | GGT | Purchase | Common Stock, Par Value $0.001 | 167 | $6.31 | $1.1k | | 09/25/2023 |
| 08/23/2023 | M-tron Industries, Inc. | | Sale | Common Stock | 468 | $16.61 | $7.8k | By: GGCP, Inc. | 08/23/2023 |
| 08/07/2023 | GDL FUND | GDL | Purchase | Common Shares, Par Value $0.001 | 120 | $7.93 | $951.6 | GAMCO Investors, Inc. | 08/07/2023 |
| 06/26/2023 | ELLSWORTH GROWTH & INCOME FUND LTD | ECF | Other (disposition) | Series B Cumulative Preferred Shares | 25k | $10.00 | $250k | Associated Capital Group, Inc. | 06/26/2023 |
| 06/26/2023 | ELLSWORTH GROWTH & INCOME FUND LTD | ECF | Other (acquisition) | Series B Cumulative Preferred Shares | 150k | $10.00 | $1.5M | GGCP, Inc. | 06/26/2023 |
| 06/26/2023 | ELLSWORTH GROWTH & INCOME FUND LTD | ECF | Other (disposition) | Series B Cumulative Preferred Shares | 50k | $10.00 | $500k | GPJ Retirement Partners | 06/26/2023 |
| 06/26/2023 | ELLSWORTH GROWTH & INCOME FUND LTD | ECF | Other (disposition) | Series B Cumulative Preferred Shares | 100k | $10.00 | $1000k | MJG Associates | 06/26/2023 |
| 06/08/2023 | BANCROFT FUND LTD | BCV | Sale | Common Shares, Par Value $0.001 | 3k | $16.98 | $50.9k | Associated Capital Group, Inc. | 06/08/2023 |
| 05/30/2023 | GABELLI GLOBAL UTILITY & INCOME TRUST | GLU.A | Sale | Common Shares, Par Value $0.001 | 1.9k | $13.21 | $25.1k | Trust account | 05/30/2023 |
| 05/01/2023 | BANCROFT FUND LTD | BCV | Sale | Common Shares | 2k | $16.36 | $32.7k | Associated Capital Group, Inc. | 05/01/2023 |
| 03/07/2023 | Associated Capital Group, Inc. | AC | Gift | Class B Common Stock | 280k | $0.00 | $0 | See Footnote | 03/07/2023 |
| 03/07/2023 | Associated Capital Group, Inc. | AC | Other (disposition) | Class B Common Stock | 280k | $0.00 | $0 | See Footnote | 03/07/2023 |
| 01/18/2023 | Gabelli Healthcare & WellnessRx Trust | GRX | Purchase | Series G Cumulative Preferred Shares | 100k | $10.00 | $1000k | Associated Capital Group, Inc. | 01/18/2023 |
| 01/18/2023 | Gabelli Healthcare & WellnessRx Trust | GRX | Purchase | Series G Cumulative Preferred Shares | 200k | $10.00 | $2M | E3M Investors, LLC | 01/18/2023 |
| 01/18/2023 | Gabelli Healthcare & WellnessRx Trust | GRX | Purchase | Series G Cumulative Preferred Shares | 50k | $10.00 | $500k | GPJ Retirement Partners | 01/18/2023 |
| 01/18/2023 | Gabelli Healthcare & WellnessRx Trust | GRX | Purchase | Series G Cumulative Preferred Shares | 100k | $10.00 | $1000k | MJG IV Limited Partnership | 01/18/2023 |
| 01/18/2023 | Gabelli Healthcare & WellnessRx Trust | GRX | Purchase | Series G Cumulative Preferred Shares | 61k | $10.00 | $610k | | 01/18/2023 |
| 12/29/2022 | GABELLI CONVERTIBLE & INCOME SECURITIES FUND INC | GCV | Purchase | Series G Cumulative Preferred Stock | 200k | $10.00 | $2M | Associated Capital Group, Inc. | 12/29/2022 |
| 12/29/2022 | GABELLI CONVERTIBLE & INCOME SECURITIES FUND INC | GCV | Purchase | Series G Cumulative Preferred Stock | 150k | $10.00 | $1.5M | GAMCO Investors, Inc. | 12/29/2022 |
| 12/28/2022 | M-tron Industries, Inc. | | Sale | Common Stock | 9k | $9.01 | $81.1k | | 12/28/2022 |
| 12/27/2022 | Gabelli Healthcare & WellnessRx Trust | GRX | Other (disposition) | Series C Cumulative Preferred Shares | 175k | $20.00 | $3.5M | | 12/27/2022 |
| 12/27/2022 | Gabelli Healthcare & WellnessRx Trust | GRX | Other (disposition) | Series C Cumulative Preferred Shares | 100k | $20.00 | $2M | Associated Capital Group, Inc. | 12/27/2022 |
| 12/27/2022 | Gabelli Healthcare & WellnessRx Trust | GRX | Other (disposition) | Series C Cumulative Preferred Shares | 190k | $20.00 | $3.8M | MJG IV Limited Partnership | 12/27/2022 |
| 12/27/2022 | Gabelli Healthcare & WellnessRx Trust | GRX | Other (disposition) | Series C Cumulative Preferred Shares | 100k | $20.00 | $2M | GPJ Retirement Partners | 12/27/2022 |
| 12/06/2022 | GABELLI MULTIMEDIA TRUST INC. | GGT | Sale | Common Stock, Par Value $0.001 | 4k | $6.42 | $25.7k | GGCP, Inc. | 12/06/2022 |
| 12/05/2022 | GABELLI CONVERTIBLE & INCOME SECURITIES FUND INC | GCV | Sale | Common Stock, Par Value $0.001 | 5k | $5.36 | $26.8k | GGCP, Inc. | 12/05/2022 |
| 12/01/2022 | GABELLI MULTIMEDIA TRUST INC. | GGT | Sale | Common Stock, Par Value $0.001 | 748 | $6.44 | $4.8k | GGCP, Inc. | 12/01/2022 |
| 12/01/2022 | GABELLI CONVERTIBLE & INCOME SECURITIES FUND INC | GCV | Sale | Common Stock, Par Value $0.001 | 5k | $5.05 | $25.3k | GGCP, Inc. | 12/01/2022 |
| 11/07/2022 | GABELLI DIVIDEND & INCOME TRUST | GDV | Sale | Common Shares, Par Value $0.001 | 1.5k | $20.41 | $30.6k | | 11/07/2022 |
| 10/07/2022 | GDL FUND | GDL | Purchase | Common Shares, Par Value $0.001 | 1.2k | $7.89 | $9.5k | GPJ Retirement Partners | 10/07/2022 |
| 10/04/2022 | GDL FUND | GDL | Purchase | Common Shares, Par Value $0.001 | 2.7k | $8.00 | $21.9k | E3M Investors, LLC | 10/03/2022 |
| 10/03/2022 | GDL FUND | GDL | Purchase | Common Shares, Par Value $0.001 | 170 | $8.00 | $1.4k | GPJ Retirement Partners | 10/03/2022 |
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