Statement of Additional Info - Gabelli
Statement of Additional Info - Gabelli Statement of Additional Info - Gabelli
Name and Address of Holder of Record Percentage of Class Nature of Ownership CLASS A RBC Capital Markets LLC Jonathan Powers San Francisco, CA 94118-3206 Stifel Nicolaus & Co Inc Daniel A Bain Roth IRA Saint Louis, MO 63102-2188 RBC Capital Markets LLC John Lauderdale Individual Retirement Account Germantown, WI 53022-0368 RBC Capital Markets LLC Russell Grand Individual Retirement Account Salem, MA 01970-6351 RBC Capital Markets LLC George D Roden Ttee Gloree A Parker-Roden Liv Tr Harriman, NY 10926-3914 RBC Capital Markets LLC Elizabeth D Miller Arroyo Grande, CA 93420-6518 RBC Capital Markets LLC David Pautler Individual Retirement Account Deer Park, IL 60010-6708 55.81 % Beneficial † 8.10 % Beneficial † 6.49 % Beneficial † 5.56 % Beneficial † 5.53 % Beneficial † 5.49 % Beneficial † 5.49 % Beneficial † CLASS C Stifel Nicolaus & Co Inc. Adi Raviv R/O IRA Saint Louis, MO 63102-2188 First Clearing LLC Saint Louis, MO 63103-2523 77.47 % Beneficial † 13.71 % Beneficial † CLASS I Nicola F Galluccio Greenwich, CT 06830-4756 GGCP Inc. Attn: Vice President Greenwich, CT 06830-6556 Frontier Trust CO FBO Gabelli Funds 401K Fargo, ND 58106-0758 86.08 % Record 8.61 % Beneficial † 5.31 % Beneficial † INCOME FUND CLASS AAA National Financial Serv. Corp. For the Exclusive Benefit of 28.24 % Beneficial † 36
Name and Address of Holder of Record Percentage of Class Nature of Ownership Our Customers One World Financial Center Jersey City, NJ 07310-2010 Charles Schwab & Co Inc. Special Custody Acct FBO Ben Of Custs Attn: Mutual Funds San Francisco, CA 94105-1905 12.44 % Beneficial † CLASS A NFS LLC FEBO NFS/FMTC Rollover IRA FBO Frank A Bonati St Simons Is, GA 31522-2306 NFS LLC FEBO NFS/FMTC IRA FBO Richard L Baird Oakmont, PA 15139-1136 NFS LLC FEBO M. James Popp Diane R. Popp Bridgeville, PA 15017-1202 NFS LLC FEBO NFS/FMTC IRA FBO Barbara A Barton Hyde Park, PA 15641-9707 18.73 % Beneficial † 9.01 % Beneficial † 7.17 % Beneficial † 6.97 % Beneficial † CLASS C Raymond James Omnibus For Mutual Funds Attn: Courtney Waller St Petersburg, FL 33716-1100 First Clearing LLC Special Custody Acct FBO Exclusive Benefit Of Customer St Louis, MO 63103-2523 Pershing LLC Jersey City, NJ 07399-0001 Oppenheimer & Co. Inc. FBO Lorraine Whalen 2003 Revocable Lorraine Whalen Ttee Palm Bch Gdns, FL 33418-4640 43.10 % Beneficial † 20.44 % Beneficial † 16.15 % Beneficial † 11.65 % Beneficial † CLASS I First Clearing LLC Special Custody Acct FBO Exclusive Benefit Of Customer St Louis, MO 63103-2523 Frontier Trust Company FBO Gabelli Funds 401(K) Profit Sharing Fargo, ND 58106-0758 41.66 % Beneficial † 35.43 % Beneficial † Frontier Trust Company 22.36 % Beneficial † 37
- Page 1 and 2: Fund TETON Westwood Mighty Mites SM
- Page 3 and 4: GENERAL INFORMATION AND HISTORY The
- Page 5 and 6: A Fund’s primary risk is that if
- Page 7 and 8: A Fund may also buy variable rate m
- Page 9 and 10: negotiated by the countries with wh
- Page 11 and 12: during the option period, and (c) o
- Page 13 and 14: and from the broker will be made da
- Page 15 and 16: The Funds may use options on future
- Page 17 and 18: Mortgage-Related Securities (the Mi
- Page 19 and 20: Institutional investors depend on a
- Page 21 and 22: 6. Purchase, hold, or deal in real
- Page 23 and 24: Act (the “Independent Trustees”
- Page 25 and 26: Name, Position(s) Address 1 and Age
- Page 27 and 28: companies and previously served on
- Page 29 and 30: Trustee Ownership of Trust Shares S
- Page 31 and 32: the best interests of each Fund. No
- Page 33 and 34: Name and Address of Holder of Recor
- Page 35: Name and Address of Holder of Recor
- Page 39 and 40: Name and Address of Holder of Recor
- Page 41 and 42: Name and Address of Holder of Recor
- Page 43 and 44: The fees paid to the Adviser are al
- Page 45 and 46: PORTFOLIO TRANSACTIONS AND BROKERAG
- Page 47 and 48: TETON Westwood Mid-Cap Equity Fund
- Page 49 and 50: Portfolio turnover may vary from ye
- Page 51 and 52: EXCLUDES TETON WESTWOOD MIGHTY MITE
- Page 53 and 54: EXCLUDES TETON WESTWOOD EQUITY FUND
- Page 55 and 56: EXCLUDES WESTWOOD BALANCED FUND: Na
- Page 57 and 58: Portfolio Manager’s decision as t
- Page 59 and 60: Team Member Varun V. Singh Lisa Don
- Page 61 and 62: Fiscal Year Ended September 30, Sal
- Page 63 and 64: TETON Westwood Balanced Fund Class
- Page 65 and 66: other redress. If a Fund is unable
- Page 67 and 68: test, at the close of each quarter
- Page 69 and 70: nevertheless, would be taxable to t
- Page 71 and 72: portfolio within the Trust is separ
- Page 73 and 74: Should no rating be assigned, the r
Name and Address <strong>of</strong> Holder <strong>of</strong> Record Percentage <strong>of</strong> Class Nature <strong>of</strong> Ownership<br />
Our Customers<br />
One World Financial Center<br />
Jersey City, NJ 07310-2010<br />
Charles Schwab & Co Inc.<br />
Special Custody Acct<br />
FBO Ben Of Custs<br />
Attn: Mutual Funds<br />
San Francisco, CA 94105-1905<br />
12.44 % Beneficial †<br />
CLASS A<br />
NFS LLC FEBO<br />
NFS/FMTC Rollover IRA<br />
FBO Frank A Bonati<br />
St Simons Is, GA 31522-2306<br />
NFS LLC FEBO<br />
NFS/FMTC IRA<br />
FBO Richard L Baird<br />
Oakmont, PA 15139-1136<br />
NFS LLC FEBO<br />
M. James Popp<br />
Diane R. Popp<br />
Bridgeville, PA 15017-1202<br />
NFS LLC FEBO<br />
NFS/FMTC IRA<br />
FBO Barbara A Barton<br />
Hyde Park, PA 15641-9707<br />
18.73 % Beneficial †<br />
9.01 % Beneficial †<br />
7.17 % Beneficial †<br />
6.97 % Beneficial †<br />
CLASS C<br />
Raymond James<br />
Omnibus For Mutual Funds<br />
Attn: Courtney Waller<br />
St Petersburg, FL 33716-1100<br />
First Clearing LLC<br />
Special Custody Acct FBO<br />
Exclusive Benefit Of Customer<br />
St Louis, MO 63103-2523<br />
Pershing LLC<br />
Jersey City, NJ 07399-0001<br />
Oppenheimer & Co. Inc.<br />
FBO Lorraine Whalen 2003 Revocable<br />
Lorraine Whalen Ttee<br />
Palm Bch Gdns, FL 33418-4640<br />
43.10 % Beneficial †<br />
20.44 % Beneficial †<br />
16.15 % Beneficial †<br />
11.65 % Beneficial †<br />
CLASS I<br />
First Clearing LLC<br />
Special Custody Acct FBO<br />
Exclusive Benefit Of Customer<br />
St Louis, MO 63103-2523<br />
Frontier Trust Company<br />
FBO <strong>Gabelli</strong> Funds 401(K) Pr<strong>of</strong>it Sharing<br />
Fargo, ND 58106-0758<br />
41.66 % Beneficial †<br />
35.43 % Beneficial †<br />
Frontier Trust Company 22.36 % Beneficial †<br />
37
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