Filing Details

Accession Number:
0001271163-21-000007
Form Type:
4/A
Zero Holdings:
No
Publication Time:
2021-02-05 19:03:06
Reporting Period:
2020-10-30
Accepted Time:
2021-02-05 19:03:06
Original Submission Date:
2021-02-01
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1378701 Gdl Fund GDL () 4/A
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
Common Shares, Par Value $0.001 Disposition 2020-10-30 2,350,000 $0.00 221,347 No 4 J Direct
Common Shares, Par Value $0.001 Acquisiton 2021-01-28 5,990 $8.78 227,337 No 4 P Direct
Common Shares, Par Value $0.001 Acquisiton 2021-01-29 302 $8.81 227,639 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 J Direct
No 4 P Direct
No 4 P Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Shares, Par Value $0.001 2,382,109 Indirect E3M Investors, LLC
Common Shares, Par Value $0.001 1,782,782 Indirect Associated Capital Group, Inc.
Common Shares, Par Value $0.001 7,174 Indirect Gabelli & Company Investment Advisers, Inc.
Common Shares, Par Value $0.001 228,460 Indirect GGCP, Inc.
Common Shares, Par Value $0.001 56,984 Indirect MJG IV Limited Partnership
Common Shares, Par Value $0.001 44,240 Indirect GPJ Retirement Partners
Common Shares, Par Value $0.001 54,202 Indirect GAMCO Investors, Inc.
Footnotes
  1. The shares being reported were transferred to E3M Investors, LLC.
  2. Total includes shares acquired through dividend reinvestment subsequent to the initial purchase.
  3. The shares reported are held at E3M Investors, LLC, in which Mr. Gabelli has less than a 100% interest and disclaims beneficial ownership of the shares held by it which are in excess of his indirect pecuniary interest.
  4. The 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 AC and disclaims beneficial ownership of the shares held by it which are in excess of his indirect pecuniary interest.
  5. The 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.
  6. The 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.
  7. The 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.
  8. 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.
  9. The shares reported reflect the total shares owned by GAMCO Investors, Inc. (GAMCO). Mario J. Gabelli is the Chairman, Chief Executive Officer, and controlling shareholder of GAMCO. Mr. Gabelli has less than a 100% interest in GAMCO and disclaims beneficial ownership of the shares held by it which are in excess of his indirect pecuniary interest.