Gabelli Mario J's Form 4 filing
GDL Fund (GDL) · filed Mar 30, 2022
- Accession no.
- 0001271163-22-000020
- Filed
- Mar 30, 2022
- Trade date
- Mar 28, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 5 non-derivative transactions. Open-market purchases total $12.4M. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Gabelli Mario JCIK 0001185533 | Director, 10% Owner, Other: Control Person of Adviser |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Mar 28, 2022 | Series E Cumulative Preferred Shares | PPurchaseAcquired | +300,000 | $10.00 | +$3,000,000 | 300,000 | Direct | |
| Mar 28, 2022 | Series E Cumulative Preferred Shares | PPurchaseAcquired | +300,000 | $10.00 | +$3,000,000 | 300,000 | Indirect | |
| Mar 28, 2022 | Series E Cumulative Preferred Shares | PPurchaseAcquired | +200,000 | $10.00 | +$2,000,000 | 200,000 | Indirect | |
| Mar 28, 2022 | Series E Cumulative Preferred Shares | PPurchaseAcquired | +240,000 | $10.00 | +$2,400,000 | 240,000 | Indirect | |
| Mar 28, 2022 | Series E Cumulative Preferred Shares | PPurchaseAcquired | +200,000 | $10.00 | +$2,000,000 | 200,000 | Indirect |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
No transaction price on this filing refers to a footnote.