X0306 4 2013-04-26 0 0001059213 DIVIDEND & INCOME FUND DNI 0001565874 Castle Mortgage Corp 701 MONTGOMERY HWY SOUTH STE. 203 VESTAVIA HILLS AL 35216 0 0 0 1 See "Explanation of Responses" Common Stock 2013-04-26 4 S 0 2625 15.9308 D 224148 D Common Stock 2013-04-29 4 S 0 2086 15.88 D 222062 D Common Stock 2013-04-30 4 S 0 2572 15.86 D 219490 D The Reporting Person may be deemed to be an affiliate of the registered investment adviser of the Issuer. David Wallace, Chief Financial Officer, on behalf of Castle Mortgage Corporation 2013-04-30