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Filing Details

Accession Number:
0001271163-17-000053
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-12-06 19:36:00
Reporting Period:
2017-11-22
Accepted Time:
2017-12-06 19:36:00
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1378701 Gdl Fund GDL.B () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1185533 J Mario Gabelli C/o Gamco Investors, Inc
One Corporate Center
Rye NY 10580
Yes No Yes Yes
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Series B Cumulative Puttable And Callable Preferred Shares Acquisiton 2017-11-22 200 $50.76 200 No 4 P Indirect Trust Accounts
Series B Cumulative Puttable And Callable Preferred Shares Acquisiton 2017-12-04 100 $50.65 300 No 4 P Indirect Trust Accounts
Series B Cumulative Puttable And Callable Preferred Shares Acquisiton 2017-11-22 100 $50.76 38,500 No 4 P Direct
Series B Cumulative Puttable And Callable Preferred Shares Acquisiton 2017-11-22 200 $50.76 200 No 4 P Indirect Investment Partnerships
Series B Cumulative Puttable And Callable Preferred Shares Acquisiton 2017-11-22 100 $50.76 100 No 4 P Indirect GPJ Retirement Partners
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect Trust Accounts
No 4 P Indirect Trust Accounts
No 4 P Direct
No 4 P Indirect Investment Partnerships
No 4 P Indirect GPJ Retirement Partners
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Series B Cumulative Puttable And Callable Preferred Shares 450,000 Indirect E3M 2016, LLC
Footnotes
  1. The shares reported reflect the total shares owned by trust accounts for which Mario J. Gabelli serves as trustee.
  2. Shares 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.
  3. The 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.
  4. E3M 2016 is a limited liability company owned entirely by Mr. Gabelli.