John C. Ball
About John C. Ball
John C. Ball is President, Treasurer, and Principal Financial and Accounting Officer of Gabelli Global Small & Mid Cap Value Trust (GGZ). He was born in 1976 and has served as an officer of registered investment companies within the Gabelli Fund Complex since 2017; he is also Senior Vice President of GAMCO Investors, Inc. (since 2018) and Chief Executive Officer of G. Distributors, LLC (since 2020) . His role is evidenced by his signatures on GGZ regulatory filings, including the N-CEN (March 14, 2025) as President and Treasurer , N‑CSR certifications (September 4, 2024) as Principal Executive Officer and Principal Financial Officer , Form D (November 6, 2025) as Executive Officer (President & Treasurer) , and N‑PX (August 27, 2025) as Treasurer & Principal Financial Officer . No TSR, revenue or EBITDA performance metrics tied to Ball’s compensation are disclosed in GGZ’s DEF 14A filings reviewed .
Past Roles
| Organization | Role | Years | Notes |
|---|---|---|---|
| GAMCO Investors, Inc. | Senior Vice President | 2018–present | Listed in GGZ officer biography |
| G. Distributors, LLC | Chief Executive Officer | 2020–present | Listed in GGZ officer biography |
| Gabelli Fund Complex (registered investment companies) | Officer | 2017–present | Listed in GGZ officer biography; GGZ address One Corporate Center, Rye, NY |
External Roles
No external board roles or additional outside directorships for Ball are disclosed in GGZ’s officer biographies within DEF 14A filings reviewed .
Fixed Compensation
- GGZ’s DEF 14A presents a “Compensation Table” showing Trustees and any officers compensated directly by the Fund; in 2024 and 2023, only certain Vice President/Ombudsman officers are listed (e.g., Daniel Hughes, Bethany A. Uhlein), and Ball is not among officers compensated by the Fund .
- Base salary, target bonus %, and actual bonus for Ball are not disclosed by GGZ; officers of GGZ are generally employees of the Adviser (Gabelli Funds/GAMCO), with the proxy only listing those officers compensated by the Fund itself .
Performance Compensation
- No RSU/PSU grants, option awards, performance metric targets/weightings, or vesting schedules are disclosed for Ball in GGZ’s DEF 14A filings reviewed .
Equity Ownership & Alignment
Total beneficial ownership over time:
| Metric | FY 2021 | FY 2022 | FY 2023 | FY 2024 |
|---|---|---|---|---|
| Common Shares Owned (units) | 0 | 0 | 0 | 22 |
| Percent of Shares Outstanding | <1% (*) | <1% (*) | <1% (*) | <1% (*) |
- Section 16 compliance: GGZ states that officers and Trustees complied with applicable ownership-report filing requirements for 2023, with the exception of one late Form 4 by Mr. Dreyer; no exceptions are noted for Ball .
- Initial Section 16 record: Ball’s Form 3 (May 25, 2017) reported “No securities are beneficially owned” at that time .
- Shares pledged or hedged: No pledging/hedging disclosures for Ball are present in GGZ proxies reviewed .
- Ownership guidelines and compliance: No officer stock ownership guidelines or compliance status are disclosed for Ball in GGZ filings reviewed .
Employment Terms
| Term | Details |
|---|---|
| Titles | President, Treasurer, Principal Financial and Accounting Officer |
| Term of Office | Since 2017 (officer within Gabelli Fund Complex) |
| Evidence of Role | Signs N‑CEN (Mar 14, 2025) as President & Treasurer ; N‑CSR certifications (Sep 4, 2024) as PEO and PFO ; Form D (Nov 6, 2025) as Executive Officer (President & Treasurer) ; N‑PX (Aug 27, 2025) as Treasurer & PFO |
| Employer/Reporting Lines | Officer biography links to Adviser roles (GAMCO SVP; G. Distributors CEO), indicating employment with Adviser entities |
| Severance/Change-of-Control | Not disclosed in GGZ DEF 14A filings reviewed |
| Clawback/Tax Gross‑Ups | Not disclosed in GGZ DEF 14A filings reviewed |
| Non‑compete/Non‑solicit | Not disclosed in GGZ DEF 14A filings reviewed |
Investment Implications
- Alignment: Ball’s direct ownership in GGZ is minimal (22 common shares, <1% of outstanding), which limits “skin-in-the-game” signaling; however, as a fund officer employed by the Adviser, alignment typically flows via broader Gabelli/GAMCO responsibilities rather than fund-specific equity stakes .
- Compensation transparency: GGZ does not disclose Fund-paid compensation for Ball, and the compensation tables list only officers directly compensated by the Fund; the absence of quantified base/bonus/equity awards impedes pay-for-performance assessment at the fund level .
- Retention/contract risk: No severance, change‑of‑control, or restrictive covenants are disclosed, making formal retention economics opaque; current long-tenure roles (officer since 2017; GAMCO SVP since 2018; CEO of G. Distributors since 2020) indicate organizational continuity .
- Trading signals: With negligible disclosed ownership and no Form 4 activity noted by GGZ (no exceptions for Ball in 2023), there is limited evidence of insider selling pressure or hedging/pledging that would drive short‑term trading signals .