0001271163-18-000076.txt : 20181217
0001271163-18-000076.hdr.sgml : 20181217
20181217153156
ACCESSION NUMBER: 0001271163-18-000076
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20181213
FILED AS OF DATE: 20181217
DATE AS OF CHANGE: 20181217
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: 181238003
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
2018-12-13
0
0001378701
GDL FUND
GDL
0001185533
GABELLI MARIO J
C/O GAMCO INVESTORS, INC
ONE CORPORATE CENTER
RYE
NY
10580
1
0
1
1
Control Person of Adviser
Common Shares, Par Value $0.001
2018-12-13
4
P
0
800
9.16
A
210800
I
GGCP, Inc.
Common Shares, Par Value $0.001
810000.17
I
Associated Capital Group, Inc.
Common Shares, Par Value $0.001
7174.2
I
Gabelli & Company Investment Advisers, Inc.
Common Shares, Par Value $0.001
2470220.42
D
Common Shares, Par Value $0.001
834553
I
G.research, Inc.
Common Shares, Par Value $0.001
54259.13
I
MJG IV Limited Partnership
Common Shares, Par Value $0.001
39808.36
I
GPJ Retirement Partners
Common Shares, Par Value $0.001
50000
I
GAMCO Investors, Inc.
Total includes shares acquired through dividend reinvestment subsequent to the initial purchase.
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.
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.
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.
G.research, a wholly owned subsidiary of GCIA, is a broker-dealer registered under the Securities Exchange Act of 1934, as amended (1934 Act), which as a part of its business regularly purchases and sells securities for its own account.
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.
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.
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.
Douglas R. Jamieson as Attorney-in-Fact for Mario J. Gabelli
2018-12-17