0001271163-18-000029.txt : 20180504 0001271163-18-000029.hdr.sgml : 20180504 20180504194643 ACCESSION NUMBER: 0001271163-18-000029 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180502 FILED AS OF DATE: 20180504 DATE AS OF CHANGE: 20180504 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GABELLI MARIO J CENTRAL INDEX KEY: 0001185533 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-21969 FILM NUMBER: 18809462 MAIL ADDRESS: STREET 1: C/O GAMCO INVESTORS, INC STREET 2: ONE CORPORATE CENTER CITY: RYE STATE: NY ZIP: 10580 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: GDL FUND CENTRAL INDEX KEY: 0001378701 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: ONE CORPORATE CENTER CITY: RYE STATE: NY ZIP: 10580 BUSINESS PHONE: 914-921-5100 MAIL ADDRESS: STREET 1: ONE CORPORATE CENTER CITY: RYE STATE: NY ZIP: 10580 FORMER COMPANY: FORMER CONFORMED NAME: Gabelli Global Deal Fund DATE OF NAME CHANGE: 20061019 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2018-05-02 0 0001378701 GDL FUND GDL.C 0001185533 GABELLI MARIO J C/O GAMCO INVESTORS, INC ONE CORPORATE CENTER RYE NY 10580 1 0 1 1 Control Person of Adviser Series C Cumulative Puttable and Callable Preferred Shares 2018-05-02 4 S 0 268 52 D 0 I GPJ Retirement Partners Series C Cumulative Puttable and Callable Preferred Shares 2018-05-02 4 S 0 268 52 D 268 I Investment Partnerships Series C Cumulative Puttable and Callable Preferred Shares 38939 D Series C Cumulative Puttable and Callable Preferred Shares 1346 I Trust Accounts Series C Cumulative Puttable and Callable Preferred Shares 225000 I E3M 2016, LLC 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. Shares were 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. The shares reported reflect the total shares owned by trust accounts for which Mario J. Gabelli serves as trustee. E3M 2016 is a limited liability company owned entirely by Mr. Gabelli. Douglas R. Jamieson as Attorney-in-Fact for Mario J. Gabelli 2018-05-04