Statement of Additional Info - Gabelli
Statement of Additional Info - Gabelli
Statement of Additional Info - Gabelli
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Independent Registered Public Accounting Firm<br />
PricewaterhouseCoopers LLP (“PwC”), 300 Madison Avenue, New York, New York 10017, serves as the Trust’s<br />
independent registered public accounting firm. PwC provides audit services and tax return preparation services in<br />
connection with the Funds.<br />
Custodian, Transfer Agent, and Dividend Disbursing Agent<br />
The Bank <strong>of</strong> New York Mellon, One Wall Street, New York, New York 10286,is the Custodian for the Trust’s cash and<br />
securities. Boston Financial Data Services, Inc. (“BFDS”), an affiliate <strong>of</strong> State Street Bank and Trust Company (“State<br />
Street”), located at the BFDS Building, 30 Dan Road, Canton, Massachusetts 02021-2809, performs the shareholder<br />
services on behalf <strong>of</strong> State Street and acts as the Funds’ transfer agent and dividend disbursing agent for the Trust.<br />
Neither BFDS, State Street, nor The Bank <strong>of</strong> New York Mellon assists in or is responsible for investment decisions<br />
involving assets <strong>of</strong> the Trust.<br />
Distributor<br />
To implement the Funds’ Rule 12b-1 Plans, the Funds have entered into an Amended and Restated Distribution<br />
Agreement with the Distributor, G.distributors, a Delaware limited liability company, which is a wholly owned subsidiary<br />
<strong>of</strong> GBL, having principal <strong>of</strong>fices located at One Corporate Center, Rye, New York 10580-1422. The Distributor acts as<br />
agent <strong>of</strong> the Funds for the continuous <strong>of</strong>fering <strong>of</strong> their shares on a best efforts basis. Expenses normally attributable to<br />
the sale <strong>of</strong> Fund shares which are not paid by the Funds are paid by the Distributor. The Distributor may enter into<br />
selling agreements with registered broker-dealers ("Soliciting Broker-Dealers") pursuant to which the Distributor may<br />
reallow the sales charge to Soliciting Broker-Dealers in accordance with the schedule set forth in the Prospectus for<br />
Class A, Class C and Class I shares under "Classes <strong>of</strong> Shares - Sales Charge - Class A Shares."<br />
Set forth in the table below is the amount <strong>of</strong> commissions and other compensation received by the Distributor during the<br />
fiscal year ended September 30, 2013.<br />
Net<br />
Underwriting<br />
Discounts and<br />
Commissions *<br />
Compensation on<br />
Redemptions and<br />
Repurchases *<br />
Brokerage<br />
Commissions **<br />
Other<br />
Compensation<br />
TETON Westwood Mighty Mites<br />
Fund:<br />
TETON Westwood SmallCap<br />
Equity Fund<br />
$93,194 $17,900 $113,130 -<br />
$919 $1,732 $0 -<br />
TETON Westwood Mid-Cap Equity $948 $0 $0 -<br />
Fund *<br />
TETON Westwood Income Fund: $0 $155 $790 -<br />
TETON Westwood Equity Fund: $40 $125 $0 -<br />
TETON Westwood Balanced Fund: $3,411 $1,327 $57 -<br />
TETON Westwood Intermediate<br />
Bond Fund:<br />
$107 $1,000 $0 -<br />
*The Mid-Cap Equity Fund commenced operations on May 31, 2013.<br />
Purchasers <strong>of</strong> Class A Shares <strong>of</strong> the Funds may pay an up-front sales charge. Of such sales charges, certain portions<br />
are retained by the Distributor. Set forth in the table below are the amounts <strong>of</strong> sales charges paid on the purchases <strong>of</strong><br />
Class A Shares and the amounts retained by the Distributor for the past three fiscal years.<br />
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