SEC Form 4 · accession 0001271163-18-000004
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
Jan 16, 2018
Accepted (ET)
Jan 18, 2018 · 5:00 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 $0.001F1,F2 | Jan 16, 2018 | P | 9,000 | $9.91 | A | 170,064 | I | GGCP, Inc. |
| Common Shares, Par Value $0.001F1,F3 | holding | — | — | — | 710,119 | I | Associated Capital Group, Inc. | |
| Common Shares, Par Value $0.001F1,F4 | holding | — | — | — | 7,174 | I | Gabelli & Company Investment Advisers, Inc. | |
| Common Shares, Par Value $0.001F1 | holding | — | — | — | 323,776 | D | ||
| Common Shares, Par Value $0.001F5 | holding | — | — | — | 800,000 | I | G.research, Inc. | |
| Common Shares, Par Value $0.001F1,F6 | holding | — | — | — | 52,541 | I | MJG IV Limited Partnership | |
| Common Shares, Par Value $0.001F1,F7 | holding | — | — | — | 38,550 | 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 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.
- F3The shares reported reflect the total shares owned by Associated Capital Group, Inc. (AC). Mario J. Gabelli is the Executive Chairman and controlling shareholder of AC. 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.
- F4The 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.
- F5G.research, a wholly owned subsidiary of GCIA, is a broker-dealer registered under the Securities Exchange Act of 1934, as amended (1934 Act), which as a part of its business regularly purchases and sells securities for its own account.
- F6The 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.
- F7The 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.