SEC Form 4 · accession 0001271163-18-000069
GABELLI DIVIDEND & INCOME TRUST · GDV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mario J Gabelli
Director · Other
Period of report
Nov 12, 2018
Accepted (ET)
Nov 14, 2018 · 7:21 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001260729
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Shares, Par Value $0.001F1 | Nov 12, 2018 | S | 233 | $21.61 | D | 130,111 | D | |
| Common Shares, Par Value $0.001F1,F2 | holding | — | — | — | 578,244 | I | G.research, Inc. | |
| Common Shares, Par Value $0.001F1,F3 | holding | — | — | — | 2,806 | I | Associated Capital Group, Inc. |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Total includes shares acquired through dividend reinvestment subsequent to the initial purchase.
- F2G.research, a wholly owned subsidiary of GCIA, is a broker-dealer registered under the Securities Exchange Act of 1934, as amended (1934 Act), which as a part of its business regularly purchases and sells securities for its own account.
- F3The shares reported reflect the total shares owned by Associated Capital Group, Inc. (ACG). Mario J. Gabelli is the Executive Chairman and controlling shareholder of ACG. Mr. Gabelli has less than a 100% interest in ACG and disclaims beneficial ownership of the shares held by it which are in excess of his indirect pecuniary interest.