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GDL FUND — Director's Dealing 2022
Mar 30, 2022
34212_dirs_2022-03-30_1344a33e-e9b3-401f-8d0c-29c25ebdaf15.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: GDL FUND (GDL.E)
CIK: 0001378701
Period of Report: 2022-03-28
Reporting Person: GABELLI MARIO J (Director, 10% Owner, Control Person of Adviser)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2022-03-28 | Series E Cumulative Preferred Shares | P | 300000 | $10 | Acquired | 300000 | Direct |
| 2022-03-28 | Series E Cumulative Preferred Shares | P | 300000 | $10 | Acquired | 300000 | Indirect |
| 2022-03-28 | Series E Cumulative Preferred Shares | P | 200000 | $10 | Acquired | 200000 | Indirect |
| 2022-03-28 | Series E Cumulative Preferred Shares | P | 240000 | $10 | Acquired | 240000 | Indirect |
| 2022-03-28 | Series E Cumulative Preferred Shares | P | 200000 | $10 | Acquired | 200000 | Indirect |
Footnotes
F1: 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.
F2: The shares being reported are held at E3M 2018, 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.
F3: 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.
F4: 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.