InsiderTrades

Form 4 for GDL GDL FUND

Accepted 2022-03-30 00:00:00 ET · period of report 2022-03-28 · accession 0001271163-22-000020 · SEC index · Original document

Summary rows

Aggregated the way they appear in lists: one row per insider, transaction code and security table.

X Filed Traded Ticker Insider Title Type Price Qty Owned ΔOwn Value
2022-03-30 2022-03-28 GDL GABELLI MARIO J Dir, 10%, Control Person of Adviser P - Purchase $10.00 +300.0K 300.0K New +$3.00M
MI 2022-03-30 2022-03-28 GDL GABELLI MARIO J Dir, 10%, Control Person of Adviser P - Purchase $10.00 +940.0K 240.0K New +$9.40M

Purchase Sale Sale after option exercise All abbreviations

Every reported transaction

#TableSecurityDateCodeA/DSharesPriceOwned afterOwnExercise / expiryUnderlyingFootnotes
1 Common Series E Cumulative Preferred Shares 2022-03-28 P A 300,000 $10.00 300,000 D GAMCO Investors, Inc. — — (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.
2 Common Series E Cumulative Preferred Shares 2022-03-28 P A 200,000 $10.00 200,000 I — —
3 Common Series E Cumulative Preferred Shares 2022-03-28 P A 300,000 $10.00 300,000 I E3M 2018, LLC — — (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.
4 Common Series E Cumulative Preferred Shares 2022-03-28 P A 200,000 $10.00 200,000 I Associated Capital Group, Inc. — — (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.
5 Common Series E Cumulative Preferred Shares 2022-03-28 P A 240,000 $10.00 240,000 I GGCP, Inc. — — (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.