Gabelli Mario J's Form 4/A amendment
AmendedGabelli Dividend & Income Trust (GDV) · filed Oct 18, 2024
- Accession no.
- 0001271163-24-000061
- Filed
- Oct 18, 2024
- Trade date
- Oct 11, 2024
- Filing delay
- 7 days
- Rule 10b5-1 plan
- Not checked
- Original filed
- Oct 15, 2024
This filing lists 5 non-derivative transactions. Open-market purchases total $84.1M. It was filed 7 days after the trade.
This amendment replaces 0001271163-24-000056 (filed Oct 15, 2024).
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 |
|---|---|---|---|---|---|---|---|---|
| Oct 11, 2024 | Series M Cumulative Preferred Shares | PPurchaseAcquired | +3,100,000 | $10.00 | +$31,000,000 | 3,100,000 | Indirect | |
| Oct 11, 2024 | Series M Cumulative Preferred Shares | PPurchaseAcquired | +600,000 | $10.00 | +$6,000,000 | 600,000 | Indirect | |
| Oct 11, 2024 | Series M Cumulative Preferred Shares | PPurchaseAcquired | +1,500,000 | $10.00 | +$15,000,000 | 1,500,000 | Indirect | |
| Oct 11, 2024 | Series M Cumulative Preferred Shares | PPurchaseAcquired | +80,000 | $10.00 | +$800,000 | 80,000 | Indirect | |
| Oct 11, 2024 | Series M Cumulative Preferred Shares | PPurchaseAcquired | +3,131,500 | $10.00 | +$31,315,000 | 3,131,500 | Direct |
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.
- F1
Shares were originally reported as 310,000 and should have been 3,100,000
- F2
The shares reported reflect the total shares owned by Associated Capital Group, Inc. (ACG). Mario J. Gabelli is the Executive Chair 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.
- F3
The shares reported reflect the total shares owned by GAMCO Investors, Inc. (GAMCO). Mario J. Gabelli is the Chairman, Chief Executive Officer, controlling shareholder of GAMCO and Chief Investment Officer of Value Portfolios of Gabelli Funds, LLC (the Adviser). 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.
- F4
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.
- F5
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.