SEC Form 4 · accession 0001271163-17-000050

GDL FUND · GDL

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Mario J Gabelli

Director · 10% Owner · Other

Period of report

Nov 30, 2017

Accepted (ET)

Dec 4, 2017 · 5:15 pm EST

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^F1	Nov 30, 2017	P	50,000	$10.004	A	252,867	D
Common Shares, Par Value $0.001^F1	Dec 1, 2017	P	34,712	$9.9825	A	287,579	D
Common Shares, Par Value $0.001^F1,F2	holding	—	—		—	1,502,980	I	Associated Capital Group, Inc.
Common Shares, Par Value $0.001^F1,F3	holding	—	—		—	7,174	I	Gabelli & Company Investment Advisers, Inc.
Common Shares, Par Value $0.001^F1,F4	holding	—	—		—	159,445	I	GGCP, Inc.
Common Shares, Par Value $0.001^F1,F5	holding	—	—		—	52,014	I	MJG IV Limited Partnership
Common Shares, Par Value $0.001^F1,F6	holding	—	—		—	38,162	I	GPJ Retirement Partners

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.
F2The 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.
F3The shares reported reflect the total shares owned by Gabelli & Company Investment Advisers, Inc. (GCIA), a majority owned subsidiary of GAMCO. Mr. Gabelli has less than a 100% interest in GCIA and disclaims beneficial ownership of the shares held by this entity which are in excess of his indirect pecuniary interest.
F4The 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.
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.