SEC Form 4 · accession 0001271163-17-000053

GDL FUND · GDL

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

Reporting owner

Director · 10% Owner · Other

Period of report

Nov 22, 2017

Accepted (ET)

Dec 6, 2017 · 7:36 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
Series B Cumulative Puttable and Callable Preferred Shares^F1	Nov 22, 2017	P	200	$50.7637	A	200	I	Trust Accounts
Series B Cumulative Puttable and Callable Preferred Shares^F1	Dec 4, 2017	P	100	$50.65	A	300	I	Trust Accounts
Series B Cumulative Puttable and Callable Preferred Shares	Nov 22, 2017	P	100	$50.7637	A	38,500	D
Series B Cumulative Puttable and Callable Preferred Shares^F2	Nov 22, 2017	P	200	$50.7637	A	200	I	Investment Partnerships
Series B Cumulative Puttable and Callable Preferred Shares^F3	Nov 22, 2017	P	100	$50.7637	A	100	I	GPJ Retirement Partners
Series B Cumulative Puttable and Callable Preferred Shares^F4	holding	—	—		—	450,000	I	E3M 2016, LLC

No Table II lines on this filing.

F1The shares reported reflect the total shares owned by trust accounts for which Mario J. Gabelli serves as trustee.
F2Shares are owned by MJG Associates and Gabelli Fund, LDC. MJG Associates provides advisory services to private investment partnerships and offshore funds. Mario Gabelli is the sole shareholder, director and employee of MJG Associates. MJG Associates is the investment adviser of Gabelli Fund, LDC.
F3The 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.
F4E3M 2016 is a limited liability company owned entirely by Mr. Gabelli.