Security key
361570104
- Type / Class
- Equity / Common Shares
- Shares outstanding
- 10,964,620
- Total 13F shares
- 8,171,643
- Share change
- -166,314
- Total reported value
- $81,305,000
- Price per share
- $9.95
- Number of holders
- 45
- Value change
- -$1,629,906
- Number of buys
- 19
- Number of sells
- 19
Report period
Q3 2016
Institutions
45
Top holders
10
Broader feeds
Reporting periods
Holder history for CUSIP 361570104
Recent filing periods:
Top shareholders of GDL - GDL FUND - Common Shares (13F + 13D/G + 3/4/5)
Grouped by holder across the latest SEC ownership disclosures. Ownership % is shown only when it is directly reported or safely comparable across share classes.
Methodology: rows are grouped by holder and ranked by the holder's primary source value. — indicates unavailable or non-comparable values; "mixed-class rows" means the latest filing spans non-comparable classes.
| Holder | Source | Role / Reporting | Ownership % | Shares | Holdings Value | 12M Net Δ | As of | Details |
|---|---|---|---|---|---|---|---|---|
| LAZARD ASSET MANAGEMENT LLC |
13F
|
Company |
18%
|
1,922,448
|
$19,089,000 | — | 30 Jun 2016 | |
| GABELLI & Co INVESTMENT ADVISERS, INC. |
13F
|
Company |
13%
|
1,395,750
|
$13,860,000 | — | 30 Jun 2016 | |
| Advisors Asset Management, Inc. |
13F
|
Company |
9.8%
|
1,073,549
|
$10,660,000 | — | 30 Jun 2016 | |
| Glacier Peak Capital LLC |
13F
|
Company |
7.4%
|
812,243
|
$8,066,000 | — | 30 Jun 2016 | |
| Matisse Capital |
13F
|
Company |
4.1%
|
447,200
|
$4,441,000 | — | 30 Jun 2016 | |
| PUNCH & ASSOCIATES INVESTMENT MANAGEMENT, INC. |
13F
|
Company |
3.6%
|
399,632
|
$3,968,000 | — | 30 Jun 2016 | |
| RIVERNORTH CAPITAL MANAGEMENT, LLC |
13F
|
Company |
3.5%
|
386,464
|
$3,838,000 | — | 30 Jun 2016 | |
| GAMCO INVESTORS, INC. ET AL |
13F
|
Company |
2.5%
|
276,019
|
$2,741,000 | — | 30 Jun 2016 | |
| CORNERSTONE ADVISORS INC |
13F
|
Company |
2.4%
|
265,518
|
$2,637,000 | — | 30 Jun 2016 | |
| BANK OF AMERICA CORP /DE/ |
13F
|
Company |
2.4%
|
262,879
|
$2,610,000 | — | 30 Jun 2016 | |
| RAYMOND JAMES & ASSOCIATES |
13F
|
Company |
2.3%
|
257,207
|
$2,554,000 | — | 30 Jun 2016 | |
| Ancora Advisors LLC |
13F
|
Company |
1.8%
|
195,141
|
$1,938,000 | — | 30 Jun 2016 | |
| MORGAN STANLEY |
13F
|
Company |
1.7%
|
183,848
|
$1,825,000 | — | 30 Jun 2016 | |
| FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD |
13F
|
Company |
1.7%
|
181,513
|
$1,802,000 | — | 30 Jun 2016 | |
| 1607 Capital Partners, LLC |
13F
|
Company |
1.5%
|
169,607
|
$1,684,000 | — | 30 Jun 2016 | |
| DEUTSCHE BANK AG\ |
13F
|
Company |
0.99%
|
108,500
|
$1,077,000 | — | 30 Jun 2016 | |
| Horizon Kinetics LLC |
13F
|
Company |
0.96%
|
104,811
|
$1,041,000 | — | 30 Jun 2016 | |
| CSS LLC/IL |
13F
|
Company |
0.8%
|
87,354
|
$867,000 | — | 30 Jun 2016 | |
| Opera Trading Capital |
13F
|
Company |
0.54%
|
58,921
|
$585,000 | — | 30 Jun 2016 | |
| GUGGENHEIM CAPITAL LLC |
13F
|
Company |
0.52%
|
56,524
|
$562,000 | — | 30 Jun 2016 | |
| WEDBUSH SECURITIES INC |
13F
|
Company |
0.5%
|
55,343
|
$550,000 | — | 30 Jun 2016 | |
| Bulldog Investors, LLP |
13F
|
Company |
0.49%
|
53,898
|
$535,000 | — | 30 Jun 2016 | |
| WELLS FARGO & COMPANY/MN |
13F
|
Company |
0.41%
|
45,158
|
$448,000 | — | 30 Jun 2016 | |
| CITIGROUP INC |
13F
|
Company |
0.36%
|
39,028
|
$387,000 | — | 30 Jun 2016 | |
| STIFEL FINANCIAL CORP |
13F
|
Company |
0.35%
|
38,472
|
$383,000 | — | 30 Jun 2016 | |
| SENTINEL TRUST CO LBA |
13F
|
Company |
0.32%
|
34,671
|
$344,000 | — | 30 Jun 2016 | |
| Round Table Services, LLC |
13F
|
Company |
0.31%
|
34,300
|
$341,000 | — | 30 Jun 2016 | |
| MSI Financial Services Inc |
13F
|
Company |
0.29%
|
32,035
|
$318,000 | — | 30 Jun 2016 | |
| Relative Value Partners Group, LLC |
13F
|
Company |
0.25%
|
27,485
|
$273,000 | — | 30 Jun 2016 | |
| DOLIVER ADVISORS, LP |
13F
|
Company |
0.23%
|
25,293
|
$251,000 | — | 30 Jun 2016 | |
| CUE ADVISORY SERVICES, INC. |
13F
|
Company |
0.23%
|
25,170
|
$250,000 | — | 30 Jun 2016 | |
| TFS CAPITAL LLC |
13F
|
Company |
0.17%
|
18,903
|
$188,000 | — | 30 Jun 2016 | |
| LPL Financial LLC |
13F
|
Company |
0.14%
|
15,419
|
$153,000 | — | 30 Jun 2016 | |
| InterOcean Capital, LLC |
13F
|
Company |
0.12%
|
13,450
|
$134,000 | — | 30 Jun 2016 | |
| LADENBURG THALMANN FINANCIAL SERVICES INC. |
13F
|
Company |
0.07%
|
7,284
|
$72,000 | — | 30 Jun 2016 | |
| Jolley Asset Management, LLC |
13F
|
Company |
0.06%
|
6,820
|
$68,000 | — | 30 Jun 2016 | |
| ROYAL BANK OF CANADA |
13F
|
Company |
0.06%
|
6,667
|
$66,000 | — | 30 Jun 2016 | |
| Thomas J. Herzfeld Advisors, Inc. |
13F
|
Company |
0.05%
|
5,961
|
$59,000 | — | 30 Jun 2016 | |
| UBS Group AG |
13F
|
Company |
0.04%
|
4,529
|
$45,000 | — | 30 Jun 2016 | |
| ENVESTNET ASSET MANAGEMENT INC |
13F
|
Company |
0.04%
|
4,272
|
$42,000 | — | 30 Jun 2016 | |
| WFG Advisors, LP |
13F
|
Company |
0.04%
|
4,000
|
$40,000 | — | 30 Jun 2016 | |
| IFP Advisors, Inc |
13F
|
Company |
0.02%
|
1,869
|
$19,000 | — | 30 Jun 2016 | |
| TRUST CO OF VERMONT |
13F
|
Company |
0.01%
|
1,550
|
$15,000 | — | 30 Jun 2016 | |
| SIGNATUREFD, LLC |
13F
|
Company |
0.01%
|
1,492
|
$15,000 | — | 30 Jun 2016 | |
| PNC FINANCIAL SERVICES GROUP, INC. |
13F
|
Company |
0.01%
|
1,479
|
$15,000 | — | 30 Jun 2016 | |
| TD Capital Management LLC |
13F
|
Company |
0%
|
524
|
$5,000 | — | 30 Jun 2016 | |
| BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC |
13F
|
Company |
—
class O/S missing
|
1,994
|
$20,000 | — | 30 Jun 2016 |
Institutional Holders of GDL FUND - Common Shares (GDL) as of Q3 2016
As of 30 Sep 2016,
GDL FUND - Common Shares (GDL) was held by
45 institutional
shareholders
that filed Form 13F with the SEC.
Together, they reported ownership of
8,171,643 shares.
The largest 10 holders included
LAZARD ASSET MANAGEMENT LLC, GABELLI SECURITIES, INC., Advisors Asset Management, Inc., Deschutes Portfolio Strategy, LLC, RAYMOND JAMES & ASSOCIATES, RIVERNORTH CAPITAL MANAGEMENT, LLC, GAMCO INVESTORS, INC. ET AL, BANK OF AMERICA CORP /DE/, CORNERSTONE ADVISORS INC, and FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD.
This page lists
45
institutional shareholders reporting positions in this security
for the Q3 2016 filing period.
| Investor | Option | Weight % | Change % | Value $ | * Price | Shares | Share Change | Activity | Report Period |
|---|
Compare Q3 2016 vs Q2 2016 Across Filers
Q2 2016 holders
46
Q3 2016 holders
45
Holder diff
-1
| Investor | Q2 2016 Shares | Q3 2016 Shares | Share Diff | Share Chg % | Q2 2016 Value $ | Q3 2016 Value $ | Value Diff $ | Value Chg % |
|---|
Trend: ostatnie 8 kwartałów (+ wybrane okresy porównania).
Quarterly Holders Trend
Quarterly Value Trend
Quarterly Shares Trend
* Reported Price is the price of the security as of the portfolio date. This value is significant in that it is the last known price at which the security was still held.
An asterisk sign (*) next to the price indicates that the price is likely invalid.
An asterisk sign (*) next to the price indicates that the price is likely invalid.