GDL · Gdl Fund · Insider Trading
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Trades by corporate insiders — officers, directors and holders of more than 10% of the shares — disclosed to the SEC on Forms 4 and 5. Form 3 supplies initial ownership rather than a trade; Form 4 must be filed within two business days of the trade.
| Date | Insider | Role | Type | Security | Shares |
|---|---|---|---|---|---|
| 2026-02-23 | GABELLI MARIO J |
10% Owner |
Sell↓
|
Common Shares, Par Value $0.001
|
800 |
| 2026-01-09 | GABELLI MARIO J |
10% Owner |
Sell↓
|
Common Shares, Par Value $0.001
|
800 |
| 2025-03-26 | MELARKEY MICHAEL J |
Director |
Other↓
Filing footnotes — Series C Cumulative Puttable and Callable Preferred Shares (Direct)
The shares being reported were redeemed in accordance with the redemption of all remaining outstanding Series C Cumulative Puttable and Callable Preferred Shares on March 26, 2025. |
Series C Cumulative Puttable and Callable Preferred Shares
|
3,038 |
| 2024-11-26 | GABELLI MARIO J |
10% Owner |
Sell↓
Filing footnotes — Common Shares, Par Value $0.001 (Indirect)
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. |
Common Shares, Par Value $0.001
(I)
|
2,500 |
| 2024-08-29 | GABELLI MARIO J |
10% Owner |
Sell↓
Filing footnotes — Common Shares, Par Value $0.001 (Indirect)
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. |
Common Shares, Par Value $0.001
(I)
|
307 |
| 2024-03-26 | GABELLI MARIO J |
10% Owner |
Other↓
Filing footnotes — Series E Cumulative Preferred Shares (Indirect)
Shares were surrendered in accordance with Right to Put to the Fund up to 100% of Outstanding Series E Cumulative Puttable and Callable Preferred Shares. 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. |
Series E Cumulative Preferred Shares
(I)
|
300,000 |
| 2024-03-26 | GABELLI MARIO J |
10% Owner |
Other↓
Filing footnotes — Series E Cumulative Preferred Shares (Indirect)
Shares were surrendered in accordance with Right to Put to the Fund up to 100% of Outstanding Series E Cumulative Puttable and Callable Preferred Shares. 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. |
Series E Cumulative Preferred Shares
(I)
|
240,000 |
| 2024-03-26 | GABELLI MARIO J |
10% Owner |
Other↓
Filing footnotes — Series E Cumulative Preferred Shares (Indirect)
Shares were surrendered in accordance with Right to Put to the Fund up to 100% of Outstanding Series E Cumulative Puttable and Callable Preferred Shares. 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. |
Series E Cumulative Preferred Shares
(I)
|
200,000 |
| 2024-03-26 | GABELLI MARIO J |
10% Owner |
Other↓
Filing footnotes — Series E Cumulative Preferred Shares (Direct)
Shares were surrendered in accordance with Right to Put to the Fund up to 100% of Outstanding Series E Cumulative Puttable and Callable Preferred Shares. |
Series E Cumulative Preferred Shares
|
250,000 |
| 2024-02-22 | Ball John Chester |
President & Treasurer |
Buy↑
|
Common Shares, Par Value $0.001
|
32 |
| 2023-12-11 | GABELLI MARIO J |
10% Owner |
Sell↓
Filing footnotes — Common Shares, Par Value $0.001 (Direct)
Any short-swing "profit" under Section 16(b) of the Securities Exchange Act of 1934 will be disgorged and paid to the Issuer. |
Common Shares, Par Value $0.001
|
2,000 |
| 2023-08-07 | GABELLI MARIO J |
10% Owner |
Buy↑
Filing footnotes — Common Shares, Par Value $0.001 (Indirect)
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. |
Common Shares, Par Value $0.001
(I)
|
120 |
| 2023-07-31 | GABELLI MARIO J |
10% Owner |
Buy↑
|
Common Shares, Par Value $0.001
|
500 |
| 2023-04-17 | GABELLI MARIO J |
10% Owner |
Sell↓
Filing footnotes — Common Shares, Par Value $0.001 (Indirect)
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. |
Common Shares, Par Value $0.001
(I)
|
2,000 |
| 2023-03-27 | GABELLI MARIO J |
10% Owner |
Other↓
Filing footnotes — Series E Cumulative Preferred Shares (Direct)
Shares were surrendered in accordance with Right to Put to the Fund up to 100% of Outstanding Series E Cumulative Preferred Shares. |
Series E Cumulative Preferred Shares
|
250,000 |
| 2023-02-10 | GABELLI MARIO J |
10% Owner |
Buy↑
Filing footnotes — Common Shares, Par Value $0.001 (Indirect)
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. |
Common Shares, Par Value $0.001
(I)
|
2,000 |
| 2022-10-24 | GABELLI MARIO J |
10% Owner |
Buy↑
|
Common Shares, Par Value $0.001
|
221 |
| 2022-10-17 | GABELLI MARIO J |
10% Owner |
Sell↓
Filing footnotes — Series E Cumulative Preferred Shares (Indirect)
Shares traded in a private transaction between related accounts The shares being reported are held at E3M 2018, 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. |
Series E Cumulative Preferred Shares
(I)
|
200,000 |
| 2022-10-17 | GABELLI MARIO J |
10% Owner |
Buy↑
Filing footnotes — Series E Cumulative Preferred Shares (Direct)
Shares traded in a private transaction between related accounts |
Series E Cumulative Preferred Shares
|
200,000 |
| 2022-10-07 | GABELLI MARIO J |
10% Owner |
Buy↑
Filing footnotes — Common Shares, Par Value $0.001 (Indirect)
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. |
Common Shares, Par Value $0.001
(I)
|
1,200 |
| 2022-10-04 | GABELLI MARIO J |
10% Owner |
Buy↑
Filing footnotes — Common Shares, Par Value $0.001 (Indirect)
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. |
Common Shares, Par Value $0.001
(I)
|
2,736 |
| 2022-10-03 | GABELLI MARIO J |
10% Owner |
Buy↑
Filing footnotes — Common Shares, Par Value $0.001 (Indirect)
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. |
Common Shares, Par Value $0.001
(I)
|
170 |
| 2022-07-18 | GABELLI MARIO J |
10% Owner |
Buy↑
Filing footnotes — Common Shares, Par Value $0.001 (Direct)
Total includes shares acquired through dividend reinvestment subsequent to the initial purchase. |
Common Shares, Par Value $0.001
|
900 |
| 2022-03-28 | GABELLI MARIO J |
10% Owner |
Buy↑
Filing footnotes — Series E Cumulative Preferred Shares (Indirect)
The shares being reported are held at E3M 2018, 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. |
Series E Cumulative Preferred Shares
(I)
|
200,000 |
| 2022-03-28 | GABELLI MARIO J |
10% Owner |
Buy↑
Filing footnotes — Series E Cumulative Preferred Shares (Indirect)
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. |
Series E Cumulative Preferred Shares
(I)
|
200,000 |
| 2022-03-28 | GABELLI MARIO J |
10% Owner |
Buy↑
Filing footnotes — Series E Cumulative Preferred Shares (Indirect)
The shares reported reflect the total shares owned by Associated Capital Group, Inc. (AC). Mario J. Gabelli is the Executive Chairman 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. |
Series E Cumulative Preferred Shares
(I)
|
240,000 |
| 2022-03-28 | GABELLI MARIO J |
10% Owner |
Buy↑
Filing footnotes — Series E Cumulative Preferred Shares (Indirect)
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. |
Series E Cumulative Preferred Shares
(I)
|
300,000 |
| 2022-03-28 | GABELLI MARIO J |
10% Owner |
Buy↑
|
Series E Cumulative Preferred Shares
|
300,000 |
| 2022-02-17 | Mullady Agnes |
Director |
Buy↑
|
Common Shares, Par Value $0.001
|
150 |
| 2021-10-22 | GABELLI MARIO J |
10% Owner |
Sell↓
Filing footnotes — Common Shares, Par Value $0.001 (Indirect)
Total includes shares acquired through dividend reinvestment subsequent to the initial purchase. 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. |
Common Shares, Par Value $0.001
(I)
|
3,591 |
| 2021-09-30 | GABELLI MARIO J |
10% Owner |
Sell↓
Filing footnotes — Common Shares, Par Value $0.001 (Indirect)
Total includes shares acquired through dividend reinvestment subsequent to the initial purchase. 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. |
Common Shares, Par Value $0.001
(I)
|
7,407 |
| 2021-02-16 | GABELLI MARIO J |
10% Owner |
Buy↑
Filing footnotes — Common Shares, Par Value $0.001 (Indirect)
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. |
Common Shares, Par Value $0.001
(I)
|
3,500 |
| 2021-01-29 | GABELLI MARIO J |
10% Owner |
Buy↑
Filing footnotes — Common Shares, Par Value $0.001 (Direct)
Total includes shares acquired through dividend reinvestment subsequent to the initial purchase. |
Common Shares, Par Value $0.001
|
302 |
| 2021-01-28 | GABELLI MARIO J |
10% Owner |
Buy↑
Filing footnotes — Common Shares, Par Value $0.001 (Direct)
Total includes shares acquired through dividend reinvestment subsequent to the initial purchase. |
Common Shares, Par Value $0.001
|
5,990 |
| 2020-12-04 | GABELLI MARIO J |
10% Owner |
Buy↑
Filing footnotes — Common Shares, Par Value $0.001 (Indirect)
Total includes shares acquired through dividend reinvestment subsequent to the initial purchase. 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. |
Common Shares, Par Value $0.001
(I)
|
2,400 |
| 2020-10-30 | GABELLI MARIO J |
10% Owner |
Other↓
Filing footnotes — Common Shares, Par Value $0.001 (Direct)
The shares being reported were transferred to E3M Investors, LLC. Total includes shares acquired through dividend reinvestment subsequent to the initial purchase. |
Common Shares, Par Value $0.001
|
2,350,000 |
| 2020-07-15 | GABELLI MARIO J |
10% Owner |
Buy↑
Filing footnotes — Common Shares, Par Value $0.001 (Direct)
Total includes shares acquired through dividend reinvestment subsequent to the initial purchase. |
Common Shares, Par Value $0.001
|
1,870 |
| 2020-05-22 | GABELLI MARIO J |
10% Owner |
Buy↑
Filing footnotes — Common Shares, Par Value $0.001 (Direct)
Total includes shares acquired through dividend reinvestment subsequent to the initial purchase. |
Common Shares, Par Value $0.001
|
10,987 |
| 2020-05-08 | GABELLI MARIO J |
10% Owner |
Buy↑
Filing footnotes — Common Shares, Par Value $0.001 (Direct)
Total includes shares acquired through dividend reinvestment subsequent to the initial purchase. |
Common Shares, Par Value $0.001
|
4,959 |
| 2020-05-07 | GABELLI MARIO J |
10% Owner |
Buy↑
Filing footnotes — Common Shares, Par Value $0.001 (Direct)
Total includes shares acquired through dividend reinvestment subsequent to the initial purchase. |
Common Shares, Par Value $0.001
|
5,638 |
| 2020-05-06 | GABELLI MARIO J |
10% Owner |
Buy↑
Filing footnotes — Common Shares, Par Value $0.001 (Direct)
Total includes shares acquired through dividend reinvestment subsequent to the initial purchase. |
Common Shares, Par Value $0.001
|
1,021 |
| 2020-05-05 | GABELLI MARIO J |
10% Owner |
Buy↑
Filing footnotes — Common Shares, Par Value $0.001 (Direct)
Total includes shares acquired through dividend reinvestment subsequent to the initial purchase. |
Common Shares, Par Value $0.001
|
4,587 |
| 2020-05-04 | GABELLI MARIO J |
10% Owner |
Buy↑
Filing footnotes — Common Shares, Par Value $0.001 (Direct)
Total includes shares acquired through dividend reinvestment subsequent to the initial purchase. |
Common Shares, Par Value $0.001
|
2,415 |
| 2020-04-20 | CONN JAMES P |
Director |
Buy↑
|
Common Shares, Par Value $0.001
|
1,000 |
| 2020-03-26 | GABELLI MARIO J |
10% Owner |
Other↓
Filing footnotes — Series C Cumulative Puttable and Callable Preferred Shares (Direct)
Shares were surrendered in accordance with Right to Put to the Fund up to 100% of Outstanding Series C Cumulative Puttable and Callable Preferred Shares. |
Series C Cumulative Puttable and Callable Preferred Shares
|
216,000 |
| 2020-03-26 | GABELLI MARIO J |
10% Owner |
Other↓
Filing footnotes — Series C Cumulative Puttable and Callable Preferred Shares (Indirect)
Shares were surrendered in accordance with Right to Put to the Fund up to 100% of Outstanding Series C Cumulative Puttable and Callable Preferred Shares. E3M 2016, LLC is a limited liability company. Mr. Gabelli has less than a 100% interest in E3M 2016 and disclaims beneficial ownership of the shares held by it which are in excess of his indirect pecuniary interest. |
Series C Cumulative Puttable and Callable Preferred Shares
(I)
|
40,000 |
| 2020-03-10 | GABELLI MARIO J |
10% Owner |
Sell↓
Filing footnotes — Series C Cumulative Puttable and Callable Preferred Shares (Indirect)
E3M 2016, LLC is a limited liability company. Mr. Gabelli has less than a 100% interest in E3M 2016 and disclaims beneficial ownership of the shares held by it which are in excess of his indirect pecuniary interest. |
Series C Cumulative Puttable and Callable Preferred Shares
(I)
|
5,000 |
| 2020-03-09 | GABELLI MARIO J |
10% Owner |
Sell↓
|
Series C Cumulative Puttable and Callable Preferred Shares
|
2,400 |
| 2020-01-06 | GABELLI MARIO J |
10% Owner |
Sell↓
Filing footnotes — Series C Cumulative Puttable and Callable Preferred Shares (Indirect)
The shares reported reflect the total shares owned by a trust account established by Mario J. Gabelli. |
Series C Cumulative Puttable and Callable Preferred Shares
(I)
|
741 |