Mario J. Gabelli - Sep 30, 2021 Form 4 Insider Report for GDL FUND (GDL)

Role
Director, Control Person of Adviser
Signature
Douglas R. Jamieson as Attorney-in-Fact for Mario J. Gabelli
Stock symbol
GDL
Transactions as of
Sep 30, 2021
Transactions value $
-$66,438
Form type
4
Date filed
10/4/2021, 07:20 PM
Previous filing
Sep 29, 2021
Next filing
Oct 19, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction GDL Common Shares, Par Value $0.001 Sale -$66.4K -7.41K -0.4% $8.97 1.82M Sep 30, 2021 Associated Capital Group, Inc. F1, F8
holding GDL Common Shares, Par Value $0.001 7.27K Sep 30, 2021 Gabelli & Company Investment Advisers, Inc. F2, F8
holding GDL Common Shares, Par Value $0.001 238K Sep 30, 2021 GGCP, Inc. F3, F8
holding GDL Common Shares, Par Value $0.001 234K Sep 30, 2021 Direct F8
holding GDL Common Shares, Par Value $0.001 2.45M Sep 30, 2021 E3M Investors, LLC F4, F8
holding GDL Common Shares, Par Value $0.001 58.5K Sep 30, 2021 MJG IV Limited Partnership F5, F8
holding GDL Common Shares, Par Value $0.001 45.4K Sep 30, 2021 GPJ Retirement Partners F6, F8
holding GDL Common Shares, Par Value $0.001 55.6K Sep 30, 2021 GAMCO Investors, Inc. F7, F8
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The shares reported reflect the total shares owned by Associated Capital Group, Inc. (ACG). Mario J. Gabelli is the Executive Chairman and controlling shareholder of ACG. Mr. Gabelli has less than a 100% interest in ACG and disclaims beneficial ownership of the shares held by it which are in excess of his indirect pecuniary interest.
F2 The shares reported reflect the total shares owned by Gabelli & Company Investment Advisers, Inc. (GCIA), a majority owned subsidiary of Associated Capital Group, Inc. 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.
F3 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.
F4 The shares being reported are held at E3M Investors, LLC, in which Mr. Gabelli has less than a 100% interest and disclaims beneficial ownership of the shares held by it which are in excess of his indirect pecuniary interest.
F5 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.
F6 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.
F7 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.
F8 Total includes shares acquired through dividend reinvestment subsequent to the initial purchase.