SEC Form 4 · accession 0001271163-18-000062
GABELLI CONVERTIBLE & INCOME SECURITIES FUND INC · GCV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mario J Gabelli
Director · 10% Owner · Other
Period of report
Oct 26, 2018
Accepted (ET)
Oct 26, 2018 · 6:13 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000845611
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, Par Value $0.001F1,F2 | Oct 26, 2018 | J | 13,717 | $5.25 | A | 517,789 | D | |
| Common Stock, Par Value $0.001F1,F2,F3 | Oct 26, 2018 | J | 290,183 | $5.25 | A | 1,160,732 | I | GGCP, Inc. |
| Common Stock, Par Value $0.001F1,F5,F4 | Oct 26, 2018 | J | 11,894 | $5.25 | A | 17,575 | I | Gabelli & Company Investment Advisers, Inc. |
| Common Stock, Par Value $0.001F1,F5,F6 | Oct 26, 2018 | J | 106,387 | $5.25 | A | 340,413 | I | G.research, Inc. |
| Common Stock, Par Value $0.001 | holding | — | — | — | 10,000 | I | MJG IV Limited Partnership |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The reporting person acquired these common shares through the exercise of common share purchase rights.
- F2Total includes shares acquired through dividend reinvestment subsequent to the initial purchase.
- F3The shares reported reflect the total shares owned by GGCP. Mr. Gabelli has less than a 100% interest in GGCP and disclaims beneficial ownership of the shares owned by this entity which are in excess of his indirect pecuniary interests.
- 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.
- F5The reporting person acquired these common shares through a primary and oversubscription allocation based on the exercise of common share purchase rights.
- F6G.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.