SEC Form 4 · accession 0001271163-15-000034
GDL FUND · GDL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mario J Gabelli
Director · Other
Period of report
Aug 17, 2015
Accepted (ET)
Aug 18, 2015 · 1:46 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 |
|---|---|---|---|---|---|---|---|---|
| Common Shares, Par Value $0.001 | Aug 17, 2015 | P | 1,844 | $10.18 | A | 172,867 | D | |
| Common Shares, Par Value $0.001F1 | holding | — | — | — | 1,303,261 | I | GAMCO Investors, Inc. | |
| Common Shares, Par Value $0.001F2 | holding | — | — | — | 7,174 | I | Gabelli Securities, Inc. | |
| Common Shares, Par Value $0.001F3 | holding | — | — | — | 138,261 | I | GGCP, Inc. | |
| Common Shares, Par Value $0.001F4 | holding | — | — | — | 58,922 | I | MJG Management LLC | |
| Common Shares, Par Value $0.001F5 | holding | — | — | — | 45,106 | I | MJG IV Limited Partnership | |
| Common Shares, Par Value $0.001F6 | holding | — | — | — | 32,034 | I | GPJ Retirement Partners |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The shares reported reflect the total shares owned by GAMCO Investors, Inc. (GAMCO). Mario J. Gabelli is the Chairman, Chief Executive Officer, and controlling shareholder of GAMCO. Mr. Gabelli has less than a 100% interest in GAMCO and disclaims beneficial ownership of the shares held by it which are in excess of his indirect pecuniary interest.
- F2The shares reported reflect the total shares owned by Gabelli Securities, Inc. (GSI), a majority owned subsidiary of GAMCO. Mr. Gabelli has less than a 100% interest in GSI and disclaims beneficial ownership of the shares held by this entity which are in excess of his indirect pecuniary interest.
- F3The shares reported reflect the total shares owned by GGCP, Inc. (GGCP). Mario J. Gabelli is the Chief Executive Officer, a director, and the controlling shareholder of GGCP. Mr. Gabelli has less than a 100% interest in GGCP and disclaims beneficial ownership of the shares held by it which are in excess of his indirect pecuniary interest.
- F4The shares reported reflect the total shares owned by MJG Management, LLC a limited liability company for which Mr. Gabelli serves as the member.
- F5The shares reported reflect the total shares owned by MJG IV Limited Partnership, a limited partnership for which Mr. Gabelli serves as a general partner. Mr. Gabelli has less than a 100% interest in the entity and disclaims beneficial ownership of the shares held by this entity which are in excess of his indirect pecuniary interest.
- F6The shares reported reflect the total shares owned by GPJ Retirement Partners, LLC, a limited liability company. Mr. Gabelli has less than a 100% interest in the entity and disclaims beneficial ownership of the shares held by this entity which are in excess of his indirect pecuniary interest.