0000899243-21-018721.txt : 20210507 0000899243-21-018721.hdr.sgml : 20210507 20210507172330 ACCESSION NUMBER: 0000899243-21-018721 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210416 FILED AS OF DATE: 20210507 DATE AS OF CHANGE: 20210507 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: UBS Group AG CENTRAL INDEX KEY: 0001610520 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] STATE OF INCORPORATION: V8 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 811-21423 FILM NUMBER: 21904088 BUSINESS ADDRESS: STREET 1: BAHNHOFSTRASSE 45 CITY: ZURICH STATE: V8 ZIP: CH-8001 BUSINESS PHONE: 41-44-234-1111 MAIL ADDRESS: STREET 1: BAHNHOFSTRASSE 45 CITY: ZURICH STATE: V8 ZIP: CH-8001 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: GABELLI DIVIDEND & INCOME TRUST CENTRAL INDEX KEY: 0001260729 IRS NUMBER: 000000000 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: ONE CORPORATE CENTER CITY: RYE STATE: NY ZIP: 10580 3 1 doc3.xml FORM 3 SUBMISSION X0206 3 2021-04-16 0 0001260729 GABELLI DIVIDEND & INCOME TRUST GDV 0001610520 UBS Group AG BAHNHOFSTRASSE 45 PO BOX CH-8021 ZURICH V8 SWITZERLAND 0 0 1 0 Auction Preferred Stock (Cusips 36242H302, 36242H401, 36242H 64 I By subsidiary - see footnote This Statement is filed jointly by UBS Group AG for the benefit and on behalf of UBS Securities LLC and UBS Financial Services Inc., two wholly owned subsidiaries of UBS Group AG to which UBS Group AG has delegated portions of its performance obligations with respect to the Auction Rate Securities Rights issued by UBS Group AG to certain clients and pursuant to which the securities reported herein have been purchased from such clients. This filing reports holdings of the Series of Auction Preferred Stock identified in Item 1 of this Table I on an aggregated basis. /s/ Jennifer Sator 2021-05-07 /s/ William Chandler 2021-05-07