Mario J. Gabelli - Oct 24, 2022 Form 4 Insider Report for GDL FUND (GDL)

Role
Director, Control Person of Adviser, 10%+ Owner
Signature
Douglas R. Jamieson as Attorney-in-Fact for Mario J. Gabelli
Stock symbol
GDL
Transactions as of
Oct 24, 2022
Transactions value $
$1,766
Form type
4
Date filed
10/26/2022, 03:39 PM
Previous filing
Oct 21, 2022
Next filing
Nov 9, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction GDL Common Shares, Par Value $0.001 Purchase $1.77K +221 +0.09% $7.99 241K Oct 24, 2022 Direct
holding GDL Common Shares, Par Value $0.001 1.85M Oct 24, 2022 Associated Capital Group, Inc. F1
holding GDL Common Shares, Par Value $0.001 7.36K Oct 24, 2022 Gabelli & Company Investment Advisers, Inc. F2
holding GDL Common Shares, Par Value $0.001 245K Oct 24, 2022 GGCP, Inc. F3
holding GDL Common Shares, Par Value $0.001 2.51M Oct 24, 2022 E3M Investors, LLC F4
holding GDL Common Shares, Par Value $0.001 60.1K Oct 24, 2022 MJG IV Limited Partnership F5
holding GDL Common Shares, Par Value $0.001 48K Oct 24, 2022 GPJ Retirement Partners F6
holding GDL Common Shares, Par Value $0.001 57.1K Oct 24, 2022 GAMCO Investors, Inc. F7
* 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. (AC). Mario J. Gabelli is the Executive Chair 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.
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.