SEC Form 4 · accession 0001271163-16-000086
GDL FUND · GDL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mario J Gabelli
Director · Other
Period of report
Dec 18, 2014
Accepted (ET)
Jul 13, 2016 · 5:36 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 | Dec 18, 2014 | J | 105,000 | $0.00 | D | 0 | I | E3M, LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The shares being reported were transferred to a separate trust account
- F2The shares reported reflect the total shares owned by E3M, LLC for which Mario J. Gabelli serves as a member.