SEC Form 4 · accession 0001271163-18-000013
GDL FUND · GDL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Anthony J Colavita
Director
Period of report
Mar 29, 2018
Accepted (ET)
Apr 3, 2018 · 11:42 am 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 C Cumulative Puttable and Callable Preferred Shares | Mar 29, 2018 | J | 500 | $50.00 | A | 500 | I | By Spouse |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The reporting person acquired these Series C preferred shares through a primary and pro-rata oversubscription allocation based on the exercise of preferred share purchase rights and also surrendering his Series B preferred shares.