SEC Form 4 · accession 0001271163-15-000005
GDL FUND · GDL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mario J Gabelli
Director · Other
Period of report
Mar 25, 2015
Accepted (ET)
Mar 25, 2015 · 4:27 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001378701
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Series B Cumulative Puttable and Callable Preferred SharesF2 | Mar 25, 2015 | J | 25,000 | $50.00 | D | 0 | I | Trust Account |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares were surrendered in accordance with Right to Put to the Fund up to 100% of Outstanding Series B Cumulative Puttable and Callable Preferred Shares.
- F2The shares reported reflect the total shares owned by a trust account established by Mario J. Gabelli.