SEC Form 4 · accession 0001271163-18-000041
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
May 22, 2018
Accepted (ET)
May 23, 2018 · 7:13 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 C Cumulative Puttable and Callable Preferred Shares | May 22, 2018 | S | 539 | $52.2105 | D | 38,400 | D | |
| Series C Cumulative Puttable and Callable Preferred Shares | May 22, 2018 | S | 268 | $52.2105 | D | 0 | I | Investment Partnerships |
| Series C Cumulative Puttable and Callable Preferred SharesF1 | holding | — | — | — | 1,346 | I | Trust Accounts | |
| Series C Cumulative Puttable and Callable Preferred SharesF2 | holding | — | — | — | 225,000 | I | E3M 2016, LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The shares reported reflect the total shares owned by trust accounts for which Mario J. Gabelli serves as trustee.
- F2E3M 2016 is a limited liability company owned entirely by Mr. Gabelli.