Statistik Asas
| LEI | 5493000XKGL8ZPN99479 |
| CIK | 1378701 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to The GDL Fund
SEC Filings (Chronological Order)
Halaman ini menyediakan senarai kronologi lengkap bagi Pemfailan SEC, tidak termasuk pemfailan pemilikan yang kami sediakan di tempat lain.
| April 29, 2025 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The New York Stock Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on May 12, 2025, pursuant to the provisions of Rule 12d2-2 (a). |
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| April 2, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 2, 2025 (March 18, 2025) The GDL Fund (Exact name of registrant as specified in its charter) Delaware 811-21969 20-8195443 (State or other jurisdiction of incorporation) (Commiss |
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| April 2, 2025 |
The GDL Fund STATEMENT OF PREFERENCES OF SERIES G CUMULATIVE TERM PREFERRED SHARES The GDL Fund 8-K Exhibit 3.1 The GDL Fund STATEMENT OF PREFERENCES OF SERIES G CUMULATIVE TERM PREFERRED SHARES The GDL Fund, a Delaware statutory trust (the “Trust”), hereby certifies that: FIRST: The Board of Trustees of the Trust (the “Board of Trustees”), at a meeting duly convened and held on February 28, 2008 and November 19, 2008, pursuant to authority expressly vested in it by Article III |
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| March 20, 2025 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| March 20, 2025 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| February 28, 2025 |
The GDL Fund STATEMENT OF PREFERENCES OF SERIES E CUMULATIVE TERM PREFERRED SHARES AMENDMENT NO. 2 The GDL Fund 8-K Exhibit 3.1 The GDL Fund STATEMENT OF PREFERENCES OF SERIES E CUMULATIVE TERM PREFERRED SHARES AMENDMENT NO. 2 The GDL Fund, a Delaware statutory trust (the “Trust”), hereby certifies that: FIRST: The Board of Trustees of the Trust (the “Board of Trustees”), at meetings duly convened and held on February 28, 2008 and November 19, 2008, pursuant to authority expressly vested in it |
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| February 28, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 28, 2025 The GDL Fund (Exact name of registrant as specified in its charter) Delaware 811-21969 20-8195443 (State or other jurisdiction of incorporation) (Commission File Numb |
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| August 1, 2024 |
August 1, 2024 VIA EDGAR Division of Investment Management U.S. Securities and Exchange Commission 100 F Street N.E. Washington, DC 20549 Attn: David L. Orlic Christina DiAngelo Fettig RE: The GDL Fund (File Nos.: 333-279464 ; 811-21969) Dear Mr. Orlic and Ms. Fetting: Thank you for your oral comments regarding your review of pre-effective amendment no. 1 (the “Amendment”) to the registration stat |
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| July 5, 2024 |
[Letterhead of Skadden, Arps, Slate, Meagher & Flom LLP] July 5, 2024 [Letterhead of Skadden, Arps, Slate, Meagher & Flom LLP] July 5, 2024 VIA EDGAR Division of Investment Management U. |
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| April 3, 2024 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| March 21, 2024 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| March 21, 2024 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| March 14, 2024 |
GDL / The GDL Fund / GAMCO INVESTORS, INC. ET AL Activist Investment SC 13D/A 1 gdl19.htm SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 19) The GDL Fund (Name of Issuer) Common Shares (Title of Class of Securities) 361570104 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number of Person Auth |
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| February 5, 2024 |
GDL.PRC / The GDL Fund - Preferred Stock / Joshua Alan Massey - AMENDMENT NO. 3 Passive Investment SC 13G/A 1 b22248sc13ga3.htm AMENDMENT NO. 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* THE GDL FUND (Name of Issuer) Series C Cumulative Puttable and Callable Preferred Shares, par value $0.001 (Title of Class of Securities) 361570401 (CUSIP Number) December 31, 2023 (Date of Event Which Require |
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| May 23, 2023 |
GDL / GDL Fund / GAMCO INVESTORS, INC. ET AL Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 18) The GDL Fund (Name of Issuer) Common Shares (Title of Class of Securities) 361570104 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number of Person Authorized to Receive Not |
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| April 5, 2023 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| April 5, 2023 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| March 14, 2023 |
GDL / GDL Fund / GAMCO INVESTORS, INC. ET AL Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 17) The GDL Fund (Name of Issuer) Common Shares (Title of Class of Securities) 361570104 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number of Person Authorized to Receive Not |
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| February 9, 2023 |
SC 13G 1 gdlpref13gpitaro.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934* The GDL Fund (Name of Issuer) Series C & Series E Preferred Shares (“Preferred Shares”) (Title of Class of Securities) 361570401 & 361570500 (CUSIP Number) December 31, 2022 (Date of Event which Requires Filing of this Statement) Check the ap |
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| February 9, 2023 |
SC 13G/A 1 g2623sc13ga2.htm AMENDMENT NO. 2 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2 )* THE GDL FUND (Name of Issuer) Series C Cumulative Puttable and Callable Preferred Shares, par value $0.001 (Title of Class of Securities) 361570401 (CUSIP Number) December 31, 2022 (Date of Event Which Require |
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| November 29, 2022 |
NPORT-EX 2 GB39GABELLI09302022.htm 1 The GDL Fund Schedule of Investments — September 30, 2022 (Unaudited) Shares Market Value COMMON STOCKS — 39.3% Aerospace — 2.2% 110,000 Aerojet Rocketdyne Holdings Inc.† ..... $ 4,398,900 5,000 Hexcel Corp. ..................... 258,600 8,700 Spire Global Inc.† ................. 9,396 4,666,896 Automotive — 0.1% 33,000 Iveco Group NV† ................. |
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| August 25, 2022 |
(ii) Amendment No. 1 to Amended and Restated By-Laws of Registrant** AMENDMENT NO. 1 TO AMENDED AND RESTATED BY-LAWS OF THE GDL FUND Effective: August 17, 2022 On August 17, 2022, the Board of Trustees of The GDL Fund (the ?Fund?), in accordance with the Fund?s Amended and Restated By-Laws (the ?By-Laws?) and Amended and Restated Agreement and Declaration of Trust, approved and adopted the following amendment to the By-Laws, to be effective immediately: Article I, |
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| August 25, 2022 |
Statement of Preferences for the Series E Cumulative Term Preferred Shares** THE GDL FUND STATEMENT OF PREFERENCES OF SERIES E CUMULATIVE TERM PREFERRED SHARES The GDL Fund, a Delaware statutory trust (the ?Trust?), hereby certifies that: FIRST: The Board of Trustees of the Trust (the ?Board of Trustees?), at a meeting duly convened and held on February 28, 2008 and November 19, 2008, pursuant to authority expressly vested in it by Article III of the Amended and Restated Agreement and Declaration of Trust, adopted resolutions classifying an unlimited amount of shares as authorized but unissued preferred shares of the Trust. |
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| August 25, 2022 |
* * * * * * * Comments and Responses August 25, 2022 VIA EDGAR Mindy Rotter, Esq., CPA Division of Investment Management Disclosure Review and Accounting Office U.S. Securities and Exchange Commission New York Regional Office 100 Pearl Street, Suite 20-100 New York, NY 10004-2616 RE: Gabelli Funds Dear Ms. Rotter: Thank you for your oral comments on July 27, 2022 regarding your Sarbanes-Oxley review of the funds listed on Appendix A. |
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| August 25, 2022 |
As filed with the Securities and Exchange Commission on August 24, 2022 As filed with the Securities and Exchange Commission on August 24, 2022 Securities Act File No. |
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| May 31, 2022 |
1 The GDL Fund Schedule of Investments — March 31, 2022 (Unaudited) Shares Market Value COMMON STOCKS — 38. |
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| April 5, 2022 |
GDL / GDL Fund, The / GAMCO INVESTORS, INC. ET AL Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 16) The GDL Fund (Name of Issuer) Common Shares (Title of Class of Securities) 361570104 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number of Person Authorized to Receive Not |
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| March 24, 2022 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| March 24, 2022 |
? SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| February 11, 2022 |
GDL / GDL Fund, The / Relative Value Partners Group, LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (Rule 13d-102) Information Statement Pursuant to Rules 13d-1 and 13d-2 Under the Securities Exchange Act of 1934 (Amendment No. )* THE GDL FUND (Name of Issuer) COMMON SHARES OF BENEFICIAL INTEREST (Title of Class of Securities) 361570104 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of thi |
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| February 10, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* THE GDL FUND (Name of Issuer) Series C Cumulative Puttable and Callable Preferred Shares, par value $0.001 (Title of Class of Securities) 361570401 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of This Statement) Check the appropr |
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| November 29, 2021 |
1 The GDL Fund Schedule of Investments — September 30, 2021 (Unaudited) Shares Market Value COMMON STOCKS — 49. |
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| September 8, 2021 |
GDL / GDL Fund, The / GAMCO INVESTORS, INC. ET AL Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 15) The GDL Fund (Name of Issuer) Common Shares (Title of Class of Securities) 361570104 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number of Person Authorized to Receive Not |
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| May 28, 2021 |
The GDL Fund Schedule of Investments — March 31, 2021 (Unaudited) Shares Market Value COMMON STOCKS — 48. |
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| May 20, 2021 |
Table of Contents Filed Pursuant to Rule 424(b)(2) Registration Statement No. 333-250213 BASE PROSPECTUS dated May 19, 2021 $200,000,000 The GDL Fund Common Shares Preferred Shares Notes Subscription Rights to Purchase Common Shares Subscription Rights to Purchase Preferred Shares Subscription Rights to Purchase Common and Preferred Shares Important Note. Beginning on January 1, 2021, as permitted |
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| March 29, 2021 |
? SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| March 29, 2021 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| March 16, 2021 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 14) The GDL Fund (Name of Issuer) Common Shares (Title of Class of Securities) 361570104 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number of Person Authorized to Receive Not |
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| February 12, 2021 |
SKADDEN, ARPS, SLATE, MEAGHER & FLOM LLP 500 BOYLSTON STREET DIRECT DIAL 617-573-4836 DIRECT FAX 617-305-4836 EMAIL ADDRESS KENNETH. |
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| January 20, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. EXIT)* GDL FUND (Name of Issuer) COMMON SHARES OF BENEFICIAL INTEREST (Title of Class of Securities) 361570401 (CUSIP Number) December 31, 2020 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant t |
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| November 25, 2020 |
HTML The GDL Fund Schedule of Investments — September 30, 2020 (Unaudited) Shares Market Value COMMON STOCKS — 40. |
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| November 5, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* THE GDL FUND (Name of Issuer) Series C Cumulative Puttable and Callable Preferred Shares, par value $0.001 (Title of Class of Securities) 361570401 (CUSIP Number) March 26, 2020 (Date of Event Which Requires Filing of This Statement) Check the appropriate |
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| September 17, 2020 |
GDL / GDL Fund, The / GAMCO INVESTORS, INC. ET AL Activist Investment SC 13D/A 1 gdl13.htm SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 13) The GDL Fund (Name of Issuer) Common Shares (Title of Class of Securities) 361570104 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number of Person Auth |
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| May 22, 2020 |
Market Value Appreciation Received HTML The GDL Fund Schedule of Investments — March 31, 2020 (Unaudited) Shares Market Value COMMON STOCKS — 74. |
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| May 22, 2020 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| May 21, 2020 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| May 4, 2020 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| April 9, 2020 |
GDL / GDL Fund, The DEF 14A - - DEF 14A SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| April 9, 2020 |
GDL / GDL Fund, The DEFR14A - - DEFR 14A SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| March 30, 2020 |
361570401 / GDL Fund / GAMCO INVESTORS, INC. ET AL Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1) The GDL Fund (Name of Issuer) Series C Cumulative Puttable and Callable Preferred Shares (“Series C”) (Title of Class of Securities) 361570401 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address |
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| March 10, 2020 |
361570104 / GDL Fund / GAMCO INVESTORS, INC. ET AL Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 12) The GDL Fund (Name of Issuer) Common Shares (Title of Class of Securities) 361570104 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number of Person Authorized to Receive Not |
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| March 10, 2020 |
OMB APPROVAL OMB Number 3235-0101 Expires: June 30, 2020 Estimated average burden hours per response . |
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| March 9, 2020 |
OMB APPROVAL OMB Number 3235-0101 Expires: June 30, 2020 Estimated average burden hours per response . |
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| February 13, 2020 |
361570401 / GDL Fund / SCHARF INVESTMENTS, LLC - SCHARF INVESTMENTS, LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 5)* GDL FUND (Name of Issuer) COMMON SHARES OF BENEFICIAL INTEREST (Title of Class of Securities) 361570401 (CUSIP Number) December 31, 2019 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to w |
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| February 13, 2020 |
361570401 / GDL Fund / RIVERNORTH CAPITAL MANAGEMENT, LLC - SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* GDL Fund Series C Cumulative Puttable and Callable Preferred Shares (Name of Issuer) Preferred (Title of Class of Securities) 361570401 (CUSIP Number) December 31, 2019 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to d |
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| February 12, 2020 |
361570104 / GDL Fund / LAZARD ASSET MANAGEMENT LLC Passive Investment r13gagabellideal SCHEDULE 13G/A CUSIP No: 361570104 1)NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: Lazard Asset Management LLC 2)CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)o (b)o 3)SEC USE ONLY 4)CITIZENSHIP OR PLACE OF ORGANIZATION: Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 5)SOLE VOTING POWER: 750,668 6)SHARED VOTING POWER |
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| November 26, 2019 |
GDL / GDL Fund, The NPORT-EX - - NPORT-EX 2 GB39GDLFund.htm The GDL Fund Schedule of Investments — September 30, 2019 (Unaudited) Shares Market Value COMMON STOCKS — 68.2% Aerospace — 3.5% 3,200,000 Cobham plc† $ 6,171,325 3,400 Latecoere SACA† 14,230 430,000 Wesco Aircraft Holdings Inc.† 4,734,300 10,919,855 Airlines — 2.5% 340,000 WestJet Airlines Ltd. 7,852,964 Automotive: Parts and Accessories — 3.4% 70,000 Haldex AB 356,967 |
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| May 24, 2019 |
GDL / GDL Fund, The NPORT-EX - - GDL Fund The GDL Fund Schedule of Investments — March 31, 2019 (Unaudited) Shares Market Value COMMON STOCKS — 74. |
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| April 16, 2019 |
GDL / GDL Fund, The / GAMCO INVESTORS, INC. ET AL Activist Investment SC 13D/A 1 gdl11.htm SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 11) The GDL Fund (Name of Issuer) Common Shares (Title of Class of Securities) 361570104 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number of Person Auth |
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| April 12, 2019 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| February 14, 2019 |
GDL / GDL Fund, The / SCHARF INVESTMENTS, LLC - SCHARF INVESTMENTS, LLC Passive Investment SC 13G/A 1 gdla421319.htm SCHARF INVESTMENTS, LLC UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4)* The GDL Fund (Name of Issuer) (Title of Class of Securities) 361570401 (CUSIP Number) December 31, 2018 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the r |
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| February 14, 2019 |
GDL / GDL Fund, The / RIVERNORTH CAPITAL MANAGEMENT, LLC - SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* GDL Fund (Name of Issuer) Preferred (Title of Class of Securities) 361570401 (CUSIP Number) December 31, 2018 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: |
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| February 13, 2019 |
GDL / GDL Fund, The / LAZARD ASSET MANAGEMENT LLC Passive Investment SC 13G/A 1 r13ggabellideal.htm SCHEDULE 13G/A CUSIP No: 361570104 1)NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: Lazard Asset Management LLC 2)CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)o (b)o 3)SEC USE ONLY 4)CITIZENSHIP OR PLACE OF ORGANIZATION: Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 5)SOLE VOTING POWER: 1,096,533 6)SHA |
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| November 21, 2018 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act EX-99.CERT 2 d636933dex99cert.htm 302 CERTIFICATIONS Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Bruce N. Alpert, certify that: 1. I have reviewed this report on Form N-Q of The GDL Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the st |
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| November 21, 2018 |
GDL / GDL Fund, The GDL FUND (Quarterly Schedule of Portfolio Holdings) GDL Fund UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-21969 The GDL Fund (Exact name of registrant as specified in charter) One Corporate Center Rye, New York 10580-1422 (Address of principal executive offices) (Zip code) Bruce N. Alpert Ga |
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| October 26, 2018 |
GDL / GDL Fund, The / GAMCO INVESTORS, INC. ET AL Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 10) The GDL Fund (Name of Issuer) Common Shares (Title of Class of Securities) 361570104 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number of Person Authorized to Receive Not |
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| July 17, 2018 |
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| May 29, 2018 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The New York Stock Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on June 11, 2018, pursuant to the provisions of Rule 12d2-2 (a). |
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| May 25, 2018 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act 302 Certifications Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Bruce N. |
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| May 25, 2018 |
GDL Fund UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-21969 The GDL Fund (Exact name of registrant as specified in charter) One Corporate Center Rye, New York 10580-1422 (Address of principal executive offices) (Zip code) Bruce N. Alpert Ga |
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| May 22, 2018 |
OMB APPROVAL OMB Number 3235-0101 Expires: June 30, 2020 Estimated average burden hours per response . |
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| May 14, 2018 |
GDL / GDL Fund, The / GAMCO INVESTORS, INC. ET AL Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 9) The GDL Fund (Name of Issuer) Common Shares (Title of Class of Securities) 361570104 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number of Person Authorized to Receive Noti |
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| May 3, 2018 |
144 1 gdlc144050218gpj.htm OMB APPROVAL OMB Number 3235-0101 Expires: June 30, 2020 Estimated average burden hours per response .................1.00 SEC USE ONLY DOCUMENT SEQUENCE NO. CUSIP NUMBER WORK LOCATION UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933 ATTENTION: Tran |
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| May 3, 2018 |
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| April 16, 2018 |
GDL / GDL Fund, The / GAMCO INVESTORS, INC. ET AL Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 8) The GDL Fund (Name of Issuer) Common Shares (Title of Class of Securities) 361570104 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number of Person Authorized to Receive Noti |
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| March 29, 2018 |
GDL / GDL Fund, The / GAMCO INVESTORS, INC. ET AL Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3) The GDL Fund (Name of Issuer) Series B Cumulative Puttable and Callable Preferred Shares ("Series B") (Title of Class of Securities) 361570302 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address |
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| March 29, 2018 |
GDL / GDL Fund, The / GAMCO INVESTORS, INC. ET AL Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 The GDL Fund (Name of Issuer) Series C Cumulative Puttable and Callable Preferred Shares ("Series C") (Title of Class of Securities) 361570401 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Num |
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| March 28, 2018 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| March 28, 2018 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| March 22, 2018 |
GDL Fund SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) or 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 The GDL Fund (Exact Name of Registrant as Specified in its Charter) Delaware 20-8195443 (State of Incorporation or Organization) (I. |
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| February 15, 2018 |
[Letterhead of Skadden, Arps, Slate, Meagher & Flom LLP] Opinion and Consent of Skadden, Arps, Slate, Meagher & Flom LLP [Letterhead of Skadden, Arps, Slate, Meagher & Flom LLP] February 15, 2018 The GDL Fund One Corporate Center Rye, New York 10580-1422 Re: The GDL Fund ? Rights Offering Shelf Takedown Ladies and Gentlemen: We have acted as special counsel to The GDL Fund, a statutory trust (the ?Trust?) created under the Delaware Statutory Trust Act (the ?DSTA?), in connection with the issuance by the Trust to the holders of the Trust?s Series B Cumulative Puttable and Callable Preferred Shares, par value $0. |
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| February 15, 2018 |
(a) Form of Addendum to Transfer Agency and Registrar Services Agreement (2) Form of Addendum to Registrar, Transfer Agency and Service Agreement FORM OF ADDENDUM TO TRANSFER AGENCY AND REGISTRAR SERVICES AGREEMENT This Addendum (this ?Addendum?), is made as of February [ ], 2018, by and between The GDL Fund, a Delaware statutory trust (the ?Company?) and American Stock Transfer & Trust Company, LLC, a New York limited liability trust company (?AST?). |
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| February 15, 2018 |
(ii) Statement of Preferences for the Series C Cumulative Puttable and Callable Preferred Shares (2) Statement of Preferences THE GDL FUND STATEMENT OF PREFERENCES OF Series C Cumulative Puttable And Callable Preferred Shares The GDL Fund, a Delaware statutory trust (the ?Fund?), hereby certifies that: FIRST: The Board of Trustees of the Fund (the ?Board of Trustees?), at a meeting duly convened and held on February 28, 2008 and November 19, 2008, pursuant to authority expressly vested in it by Article III of the Amended and Restated Agreement and Declaration of Trust, adopted resolutions classifying an unlimited amount of shares as authorized but unissued preferred shares of the Fund. |
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| February 15, 2018 |
Form of Administrative Agent Agreement MORROW SODALI January 16, 2018 The GDL Fund One Corporate Center Rye, NY 10580-1422 This letter will serve as the agreement under which you will retain Morrow Sodali LLC (Morrow or us) to perform search and distribution services in connection with the Rights Offering by The GDL Fund to its holders of the Funds existing Preferred Stock (the Offer). |
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| February 15, 2018 |
GDL^B / The GDL Fund THE GDL FUND POS EX 1 d538450dposex.htm THE GDL FUND As filed with the Securities and Exchange Commission on February 15, 2018 Securities Act File No. 333-213902 Investment Company Act File No. 811-21969 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Form N-2 (Check Appropriate Box or Boxes) REGISTRATION STATEMENT UNDER ☒ THE SECURITIES ACT OF 1933 ☐ Pre-Effective Amendment No. ☒ Post-Ef |
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| February 15, 2018 |
Form of Dealer Manager Agreement The GDL Fund 2,624,025 Series C Cumulative Puttable and Callable Preferred Shares of Beneficial Interest Issuable Upon Exercise of Rights to Subscribe for such Shares DEALER MANAGER AGREEMENT February 13, 2018 G. |
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| February 15, 2018 |
THE GDL FUND SUBSCRIPTION RIGHTS CERTIFICATE FOR SERIES C PREFERRED SHARES Form of Subscription Certificate THE GDL FUND SUBSCRIPTION RIGHTS CERTIFICATE FOR SERIES C PREFERRED SHARES OFFER EXPIRES AT 5:00 P. |
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| February 15, 2018 |
Form of Notice of Guaranteed Delivery Notice of Guaranteed Delivery For Series C Preferred Shares of The GDL Fund Subscribed for Via Primary Subscription and the Over-Subscription Privilege As set forth in the Prospectus Supplement, dated February 14, 2018, and the accompanying Prospectus, dated December 15, 2017 (collectively, the ?Prospectus?), for this offering, this form or one substantially equivalent hereto may be used as a means of effecting subscription and payment for all of the Fund?s Series C Cumulative Puttable and Callable Preferred Shares of beneficial interest, par value $0. |
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| February 15, 2018 |
Subscription Agent Agreement The GDL Fund Computershare Trust Company, N.A. Computershare Inc. Form of Subscription Agent Agreement Subscription Agent Agreement Between The GDL Fund and Computershare Trust Company, N. |
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| February 14, 2018 |
GDL / GDL Fund, The / SCHARF INVESTMENTS, LLC - SCHARF INVESTMENTS, LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* The GDL Fund (Name of Issuer) Common Shares (Title of Class of Securities) 361570302 (CUSIP Number) December 31, 2017 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule |
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| February 9, 2018 |
GDL / GDL Fund, The / LAZARD ASSET MANAGEMENT LLC Passive Investment r13gagabellideal SCHEDULE 13G/A CUSIP No: 361570104 1)NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: Lazard Asset Management LLC 2)CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)o (b)o 3)SEC USE ONLY 4)CITIZENSHIP OR PLACE OF ORGANIZATION: Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 5)SOLE VOTING POWER: 1,306,681 6)SHARED VOTING POW |
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| December 15, 2017 |
THE GDL FUND The GDL Fund One Corporate Center Rye, New York 10580-1422 December 15, 2017 VIA EDGAR AND ELECTRONIC MAIL Sally Samuel Division of Investment Management U. |
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| December 15, 2017 |
THE GDL FUND SKADDEN, ARPS, SLATE, MEAGHER & FLOM LLP DIRECT DIAL 617-573-4836 DIRECT FAX 617-305-4836 EMAIL ADDRESS KENNETH. |
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| December 1, 2017 |
GDL / GDL Fund, The / GAMCO INVESTORS, INC. ET AL Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 7) The GDL Fund (Name of Issuer) Common Shares (Title of Class of Securities) 361570104 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number of Person Authorized to Receive Noti |
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| November 29, 2017 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act EX-99.CERT 2 d445562dex99cert.htm 302 CERTIFICATIONS Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Bruce N. Alpert, certify that: 1. I have reviewed this report on Form N-Q of The GDL Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the st |
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| November 29, 2017 |
N-Q 1 d445562dnq.htm GDL FUND UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-21969 The GDL Fund (Exact name of registrant as specified in charter) One Corporate Center Rye, New York 10580-1422 (Address of principal executive offices) (Zip cod |
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| November 21, 2017 |
GDL FUND [Letterhead of Skadden, Arps, Slate, Meagher & Flom LLP] November 21, 2017 VIA EDGAR Sally Samuel Division of Investment Management Securities and Exchange Commission 100 F Street N. |
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| August 8, 2017 |
GDL FUND SKADDEN, ARPS, SLATE, MEAGHER & FLOM LLP 500 BOYLSTON STREET BOSTON, MASSACHUSETTS 02116 TEL: (617) 573-4800 FAX: (617) 573-4822 www. |
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| May 25, 2017 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act 302 Certifications Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Bruce N. |
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| May 25, 2017 |
N-Q 1 d263460dnq.htm GDL FUND UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-21969 The GDL Fund (Exact name of registrant as specified in charter) One Corporate Center Rye, New York 10580-1422 (Address of principal executive offices) (Zip cod |
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| April 3, 2017 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| April 3, 2017 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| April 3, 2017 |
CORRESP 2 filename2.htm Skadden, Arps, Slate, Meagher & Flom llp 500 Boylston Street Boston, Massachusetts 02116 TEL: (617) 573-4800 FAX: (617) 573-4822 www.skadden.com DIRECT DIAL 617-573-4836 DIRECT FAX 617-305-4836 EMAIL ADDRESS [email protected] FIRM/AFFILIATE OFFICES - CHICAGO HOUSTON LOS ANGELES NEW YORK PALO ALTO WASHINGTON, D.C. WILMINGTON - BEIJING BRUSSELS FRANKFURT HONG KONG LO |
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| March 22, 2017 |
Skadden, Arps, Slate, Meagher & Flom llp Skadden, Arps, Slate, Meagher & Flom llp DIRECT DIAL 617-573-4836 DIRECT FAX 617-305-4836 EMAIL ADDRESS KENNETH. |
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| March 22, 2017 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| February 16, 2017 |
GDL / GDL Fund, The CORRESP - - SEC Response Letter SKADDEN, ARPS, SLATE, MEAGHER & FLOM LLP 500 BOYLSTON STREET BOSTON, MASSACHUSETTS 02116 TEL: (617) 573-4800 FAX: (617) 573-4822 www. |
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| February 13, 2017 |
GDL / GDL Fund, The / LAZARD ASSET MANAGEMENT LLC Passive Investment r13gagabellideal SCHEDULE 13G/A CUSIP No: 361570104 1)NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: Lazard Asset Management LLC 2)CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)o (b)o 3)SEC USE ONLY 4)CITIZENSHIP OR PLACE OF ORGANIZATION: Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 5)SOLE VOTING POWER: 1,366,781 6)SHARED VOTING POW |
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| February 8, 2017 |
GDL / GDL Fund, The / SCHARF INVESTMENTS, LLC - SCHARF INVESTMENTS, LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* The GDL Fund (Name of Issuer) Common Shares (Title of Class of Securities) 361570302 (CUSIP Number) December 31, 2016 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule |
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| December 22, 2016 |
GDL / GDL Fund, The / GAMCO INVESTORS, INC. ET AL Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2) The GDL Fund (Name of Issuer) Series B Cumulative Puttable and Callable Preferred Shares ("Series B") (Title of Class of Securities) 361570302 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address |
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| November 23, 2016 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act EX-99.CERT 2 d261588dex99cert.htm 302 CERTIFICATIONS Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Bruce N. Alpert, certify that: 1. I have reviewed this report on Form N-Q of The GDL Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the st |
|
| November 23, 2016 |
GDL Fund GDL FUND (Quarterly Schedule of Portfolio Holdings) GDL Fund UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-21969 The GDL Fund (Exact name of registrant as specified in charter) One Corporate Center Rye, New York 10580-1422 (Address of principal executive offices) (Zip code) Bruce N. Alpert Ga |
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| October 13, 2016 |
GDL / GDL Fund, The / GAMCO INVESTORS, INC. ET AL Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 6) The GDL Fund (Name of Issuer) Common Shares (Title of Class of Securities) 361570104 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number of Person Authorized to Receive Noti |
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| September 23, 2016 |
GDL / GDL Fund, The / GAMCO INVESTORS, INC. ET AL Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1) The GDL Fund (Name of Issuer) Series B Cumulative Puttable and Callable Preferred Shares ("Series B") (Title of Class of Securities) 361570302 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address |
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| September 23, 2016 |
GDL Fund 3D/A (Activist Acquisition of More Than 5% of Shares) SC 13D/A 1 gdlpbe3m02.htm SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2) The GDL Fund (Name of Issuer) Series B Cumulative Puttable and Callable Preferred Shares ("Series B") (Title of Class of Securities) 361570302 (CUSIP Number) Regina Pitaro One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Add |
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| July 18, 2016 |
GDL / GDL Fund, The / GAMCO INVESTORS, INC. ET AL Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 The GDL Fund (Name of Issuer) Series B Cumulative Puttable and Callable Preferred Shares ("Series B") (Title of Class of Securities) 361570302 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Num |
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| July 18, 2016 |
GDL Fund 3D/A (Activist Acquisition of More Than 5% of Shares) SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1) The GDL Fund (Name of Issuer) Series B Cumulative Puttable and Callable Preferred Shares ("Series B") (Title of Class of Securities) 361570302 (CUSIP Number) Regina Pitaro One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number |
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| May 27, 2016 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act 302 Certifications Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Bruce N. |
|
| May 27, 2016 |
GDL Fund GDL FUND (Quarterly Schedule of Portfolio Holdings) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-21969 The GDL Fund (Exact name of registrant as specified in charter) One Corporate Center Rye, New York 10580-1422 (Address of principal executive offices) (Zip code) Bruce N. Alpert Gabelli Fun |
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| March 29, 2016 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| March 29, 2016 |
DEFA14A 1 e435114defa14a.htm DEFA 14A SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive Proxy Statement x De |
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| February 11, 2016 |
GDL / GDL Fund, The / LAZARD ASSET MANAGEMENT LLC Passive Investment SC 13G/A 1 r13ggabellideal.htm SCHEDULE 13G/A CUSIP No: 361570104 1)NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: Lazard Asset Management LLC 2)CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)o (b)o 3)SEC USE ONLY 4)CITIZENSHIP OR PLACE OF ORGANIZATION: Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 5)SOLE VOTING POWER: 2,090,003 6)SHA |
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| January 29, 2016 |
GDL / GDL Fund, The / SCHARF INVESTMENTS, LLC - SCHARF INVESTMENTS, LLC Passive Investment SC 13G/A 1 gdla112916.htm SCHARF INVESTMENTS, LLC UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* The GDL Fund (Name of Issuer) (Title of Class of Securities) 361570302 (CUSIP Number) December 31, 2015 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the r |
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| November 25, 2015 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act EX-99.CERT 2 d82644dex99cert.htm 302 CERTIFICATIONS Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Bruce N. Alpert, certify that: 1. I have reviewed this report on Form N-Q of The GDL Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the sta |
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| November 25, 2015 |
GDL Fund GDL FUND (Quarterly Schedule of Portfolio Holdings) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-21969 The GDL Fund (Exact name of registrant as specified in charter) One Corporate Center Rye, New York 10580-1422 (Address of principal executive offices) (Zip code) Bruce N. Alpert Gabelli Fun |
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| October 9, 2015 |
GDL / GDL Fund, The / GAMCO INVESTORS, INC. ET AL Activist Investment SC 13D/A 1 gdl06.htm SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 5) The GDL Fund (Name of Issuer) Common Shares (Title of Class of Securities) 361570104 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number of Person Autho |
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| May 18, 2015 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act 302 Certifications Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Bruce N. |
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| May 18, 2015 |
GDL Fund GDL FUND (Quarterly Schedule of Portfolio Holdings) GDL Fund UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-21969 The GDL Fund (Exact name of registrant as specified in charter) One Corporate Center Rye, New York 10580-1422 (Address of principal executive offices) (Zip code) Bruce N. Alpert Ga |
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| March 31, 2015 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| March 31, 2015 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| February 12, 2015 |
GDL / GDL Fund, The / LAZARD ASSET MANAGEMENT LLC Passive Investment r13gagabellideal SCHEDULE 13G/A CUSIP No: 361570104 1)NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: Lazard Asset Management LLC 2)CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)o (b)o 3)SEC USE ONLY 4)CITIZENSHIP OR PLACE OF ORGANIZATION: Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 5)SOLE VOTING POWER: 2,290,250 6)SHARED VOTING POW |
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| February 2, 2015 |
GDL / GDL Fund, The / SCHARF INVESTMENTS, LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* The GDL Fund (Name of Issuer) (Title of Class of Securities) 361570302 (CUSIP Number) December 31, 2014 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [X] R |
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| December 29, 2014 |
GDL / GDL Fund, The / E3m 2014 Llc Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 The GDL Fund (Name of Issuer) Series B Cumulative Puttable and Callable Preferred Shares ("Series B") (Title of Class of Securities) 361570302 (CUSIP Number) Regina Pitaro One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number of Person Authoriz |
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| December 29, 2014 |
GDL / GDL Fund, The / Mjg 1999 Descendants Trust Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1) The GDL Fund (Name of Issuer) Series B Cumulative Puttable and Callable Preferred Shares ("Series B") (Title of Class of Securities) 361570302 (CUSIP Number) John Gabelli One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number o |
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| December 29, 2014 |
GDL / GDL Fund, The / GAMCO INVESTORS, INC. ET AL Activist Investment SC 13D/A 1 gdlb06.htm SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 6) The GDL Fund (Name of Issuer) Series B Cumulative Puttable and Callable Preferred Shares ("Series B") (Title of Class of Securities) 361570302 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 9 |
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| November 20, 2014 |
N-Q 1 d809683dnq.htm GDL FUND UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-21969 The GDL Fund (Exact name of registrant as specified in charter) One Corporate Center Rye, New York 10580-1422 (Address of principal executive offices) (Zip cod |
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| November 20, 2014 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act 302 Certifications Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Bruce N. |
|
| June 2, 2014 |
361570104 / GDL Fund / GAMCO INVESTORS, INC. ET AL Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 4) The GDL Fund (Name of Issuer) Common Shares (Title of Class of Securities) 361570104 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number of Person Authorized to Receive Noti |
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| May 16, 2014 |
Quarterly Schedule of Portfolio Holdings - GDL FUND GDL Fund UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-21969 The GDL Fund (Exact name of registrant as specified in charter) One Corporate Center Rye, New York 10580-1422 (Address of principal executive offices) (Zip code) Bruce N. Alpert Ga |
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| May 16, 2014 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act 302 Certifications Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Bruce N. |
|
| April 2, 2014 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
|
| April 2, 2014 |
DEF 14A 1 e372971def14a.htm PROXY AND NOTICE STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [X] Defi |
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| February 14, 2014 |
361570104 / GDL Fund / LAZARD ASSET MANAGEMENT LLC Passive Investment r13gagabellideal SCHEDULE 13G/A CUSIP No: 361570104 1)NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: Lazard Asset Management LLC 2)CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)o (b)o 3)SEC USE ONLY 4)CITIZENSHIP OR PLACE OF ORGANIZATION: Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 5)SOLE VOTING POWER: 3,220,244 6)SHARED VOTING POW |
|
| January 31, 2014 |
GDL / GDL Fund, The / SCHARF INVESTMENTS, LLC - GDL FUND - SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* GDL Fund (Name of Issuer) Series B Cumulative Puttable and Callable Preferred Shares (Title of Class of Securities) 361 570 302 (CUSIP Number) December 31, 2013 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate |
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| November 20, 2013 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act EX-99.CERT 2 d612995dex99cert.htm 302 CERTIFICATIONS Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Bruce N. Alpert, certify that: 1. I have reviewed this report on Form N-Q of The GDL Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the st |
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| November 20, 2013 |
Quarterly Schedule of Portfolio Holdings - GDL FUND GDL Fund UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-21969 The GDL Fund (Exact name of registrant as specified in charter) One Corporate Center Rye, New York 10580-1422 (Address of principal executive offices) (Zip code) Bruce N. Alpert Ga |
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| October 17, 2013 |
GDL / GDL Fund, The / Mjg 1999 Descendants Trust Activist Investment SC 13D 1 gdlbtrust00.htm SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 The GDL Fund (Name of Issuer) Series B Cumulative Puttable and Callable Preferred Shares ("Series B") (Title of Class of Securities) 361570302 (CUSIP Number) John Gabelli One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone N |
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| October 10, 2013 |
GDL / GDL Fund, The / GAMCO INVESTORS, INC. ET AL Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 5) The GDL Fund (Name of Issuer) Series B Cumulative Puttable and Callable Preferred Shares ("Series B") (Title of Class of Securities) 361570302 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address |
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| May 28, 2013 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act EX-99.CERT 2 d516696dex99cert.htm 302 CERTIFICATIONS Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Bruce N. Alpert, certify that: 1. I have reviewed this report on Form N-Q of The GDL Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the st |
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| May 28, 2013 |
Quarterly Schedule of Portfolio Holdings - GDL FUND N-Q 1 d516696dnq.htm GDL FUND UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-21969 The GDL Fund (Exact name of registrant as specified in charter) One Corporate Center Rye, New York 10580-1422 (Address of principal executive offices) (Zip cod |
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| April 29, 2013 |
GAMCO / Gabelli Funds April 29, 2013 Ms. Kathy Churko U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, DC 20549 Re: The Gabelli/GAMCO Funds Dear. Ms. Churko: This letter responds to your comments communicated by telephone to participants from BNY Mellon Asset Servicing and Gabelli Funds, LLC on March 27, 2013, regarding the shareholder report |
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| April 3, 2013 |
DEF 14A 1 gdldef14a.htm THE GDL FUND SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Definitive Proxy Statement o Def |
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| April 3, 2013 |
DEFA14A 1 gdldefa14a.htm THE GDL FUND SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Definitive Proxy Statement x De |
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| March 28, 2013 |
GDL / GDL Fund, The / GAMCO INVESTORS, INC. ET AL Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 4) The GDL Fund (Name of Issuer) Series B Cumulative Puttable and Callable Preferred Shares (“Series B”) (Title of Class of Securities) 361570302 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address |
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| February 13, 2013 |
GDL / GDL Fund, The / LAZARD ASSET MANAGEMENT LLC Passive Investment r13gagabellideal SCHEDULE 13G/A CUSIP No: 361570104 1)NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: Lazard Asset Management LLC 2)CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)o (b)o 3)SEC USE ONLY 4)CITIZENSHIP OR PLACE OF ORGANIZATION: Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 5)SOLE VOTING POWER: 2,618,244 6)SHARED VOTING POW |
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| November 27, 2012 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act EX-99.CERT 2 d413420dex99cert.htm 302 CERTIFICATIONS Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Bruce N. Alpert, certify that: 1. I have reviewed this report on Form N-Q of The GDL Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the st |
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| November 27, 2012 |
Quarterly Schedule of Portfolio Holdings - GDL FUND GDL Fund UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-21969 The GDL Fund (Exact name of registrant as specified in charter) One Corporate Center Rye, New York 10580-1422 (Address of principal executive offices) (Zip code) Bruce N. Alpert Ga |
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| September 10, 2012 |
GDL / GDL Fund, The / GAMCO INVESTORS, INC. ET AL Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3) The GDL Fund (Name of Issuer) Common Shares (Title of Class of Securities) 361570104 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number of Person Authorized to Receive Noti |
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| May 30, 2012 |
Quarterly Schedule of Portfolio Holdings - GDL GDL UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-21969 The GDL Fund (Exact name of registrant as specified in charter) One Corporate Center Rye, New York 10580-1422 (Address of principal executive offices) (Zip code) Bruce N. Alpert Gabelli |
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| May 30, 2012 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act EX-99.CERT 2 d348883dex99cert.htm 302 CERTIFICATIONS Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Bruce N. Alpert, certify that: 1. I have reviewed this report on Form N-Q of The GDL Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the st |
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| March 30, 2012 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| March 30, 2012 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| February 8, 2012 |
GDL / GDL Fund, The / LAZARD ASSET MANAGEMENT LLC Passive Investment r13gagabellideal SCHEDULE 13G/A CUSIP No: 361570104 1)NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: Lazard Asset Management LLC 2)CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)o (b)o 3)SEC USE ONLY 4)CITIZENSHIP OR PLACE OF ORGANIZATION: Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 5)SOLE VOTING POWER: 2,430,857 6)SHARED VOTING POW |
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| November 29, 2011 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act Certification Pursuant to Section 302 Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Bruce N. |
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| November 29, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-21969 The GDL Fund (formerly, The Gabelli Global Deal Fund) (Exact name of registrant as specified in charter) One Corporate Center Rye, New York 10580-1422 (Address of principal executive office |
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| June 3, 2011 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3) The GDL Fund (Name of Issuer) Series A Cumulative Callable Preferred Shares (?Series A?) & Series B Cumulative Puttable and Callable Preferred Shares (?Series B?) (Title of Class of Securities) 361570203 ? Series A & 361570302? Series B (CUSIP Number) Peter D. Goldstei |
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| June 2, 2011 |
EX-99.25 2 ruleprovisionnotice.htm NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The New York Stock Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on June 13, 2011, pursuant to the provisions of Rule 12d2-2 (a). [ X ] 17 CFR 240.12d2-2 |
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| May 31, 2011 |
N-Q 1 y90364nvq.htm FORM N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-21969 The GDL Fund (formerly, The Gabelli Global Deal Fund) (Exact name of registrant as specified in charter) One Corporate Center Rye, New York 10580-1422 (Address |
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| May 31, 2011 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act EX-99.CERT 2 y90364exv99wcert.htm EX-99.CERT Exhibit 99.CERT Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Bruce N. Alpert, certify that: 1. I have reviewed this report on Form N-Q of The GDL Fund (formerly, The Gabelli Global Deal Fund); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit |
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| April 19, 2011 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2) The GDL Fund (Name of Issuer) Series A Cumulative Callable Preferred Shares (?Series A?) & Series B Cumulative Puttable and Callable Preferred Shares (?Series B?) (Title of Class of Securities) 361570203 ? Series A & 361570302? Series B (CUSIP Number) Christopher J. Mi |
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| April 15, 2011 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM EX-99.N.I 3 y90801exv99wnwi.htm EX-99.N.I CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the incorporation by reference in this Registration Statement (Form N-2: File No. 333- ; Amendment No. 16 to File No. 811-21969) of the references to our firm under the captions “Financial Highlights” and “Independent Registered Public Accounting Firm” in the Prospectus and “Financial S |
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| April 15, 2011 |
As filed with the Securities and Exchange Commission on April 15, 2011 N-2MEF 1 y90801nv2mef.htm FORM N-2MEF As filed with the Securities and Exchange Commission on April 15, 2011 Securities Act File No. 333- Investment Company Act File No. 811-21969 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-2 þ Registration Statement under the Securities Act of 1933 o Pre-Effective Amendment No. o Post-Effective Amendment No. þ Registration State |
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| April 15, 2011 |
THE GDL FUND STATEMENT OF PREFERENCES Series B Cumulative Puttable And Callable Preferred Shares Exhibit (A)(ii) THE GDL FUND STATEMENT OF PREFERENCES OF Series B Cumulative Puttable And Callable Preferred Shares The GDL Fund, a Delaware statutory trust (the ?Fund?), hereby certifies that: FIRST: The Board of Trustees of the Fund (the ?Board of Trustees?), at a meeting duly convened and held on February 28, 2008 and November 19, 2008, pursuant to authority expressly vested in it by Article III of the Amended and Restated Agreement and Declaration of Trust, adopted resolutions classifying an unlimited amount of shares as authorized but unissued preferred shares of the Fund. |
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| April 4, 2011 |
DEF 14A 1 b84383a1def14a.htm GDL FUND SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) þ Definitive Proxy Statement o De |
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| April 4, 2011 |
DEFA14A 1 b84383a2defa14a.htm GDL FUND SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Definitive Proxy Statement þ D |
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| March 11, 2011 |
144 1 gdlpjf144031111.htm OMB APPROVAL OMB Number 3235 -0101 Expires: March 31, 2011 Estimated average burden hours per response .................2.00 SEC USE ONLY DOCUMENT SEQUENCE NO. CUSIP NUMBER WORK LOCATION UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933 ATTENTION: Tra |
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| March 9, 2011 |
OMB APPROVAL OMB Number 3235 -0101 Expires: March 31, 2011 Estimated average burden hours per response . |
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| March 2, 2011 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1) The GDL Fund (Name of Issuer) Series A Cumulative Callable Preferred Shares (?Series A?) & Series B Cumulative Puttable and Callable Preferred Shares (?Series B?) (Title of Class of Securities) 361570203 ? Class A & To Be Determined ? Class B (CUSIP Number) Christopher |
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| March 1, 2011 |
OMB APPROVAL OMB Number 3235 -0101 Expires: March 31, 2011 Estimated average burden hours per response . |
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| February 23, 2011 |
SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) or 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 The GDL Fund (Exact Name of Registrant as Specified in its Charter) Delaware 20-8195443 (State of Incorporation or Organization) (I. |
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| February 11, 2011 |
SCHEDULE 13G/A CUSIP No: 36245G103 1)NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: Lazard Asset Management LLC 2)CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)o (b)o 3)SEC USE ONLY 4)CITIZENSHIP OR PLACE OF ORGANIZATION: Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 5)SOLE VOTING POWER: 2,598,000 6)SHARED VOTING POWER: - 7)SOLE DISP |
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| February 10, 2011 |
Skadden, Arps, Slate, Meagher & Flom llp FOUR TIMES SQUARE NEW YORK 10036-6522 TEL: (212) 735-3000 FAX: (212) 735-2000 www. |
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| January 25, 2011 |
Skadden, Arps, Slate, Meagher & Flom llp FOUR TIMES SQUARE NEW YORK 10036-6522 TEL: (212) 735-3000 FAX: (212) 735-2000 www. |
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| January 25, 2011 |
THE GDL FUND STATEMENT OF PREFERENCES Series B Cumulative Puttable And Callable Preferred Shares Exhibit (A)(ii) THE GDL FUND STATEMENT OF PREFERENCES OF Series B Cumulative Puttable And Callable Preferred Shares The GDL Fund, a Delaware statutory trust (the ?Fund?), hereby certifies that: FIRST: The Board of Trustees of the Fund (the ?Board of Trustees?), at a meeting duly convened and held on February 28, 2008 and November 19, 2008, pursuant to authority expressly vested in it by Article III of the Amended and Restated Agreement and Declaration of Trust, adopted resolutions classifying an unlimited amount of shares as authorized but unissued preferred shares of the Fund. |
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| January 25, 2011 |
As filed with the Securities and Exchange Commission on January 25, 2011 Table of Contents As filed with the Securities and Exchange Commission on January 25, 2011 Securities Act File No. |
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| January 25, 2011 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM EX-99.N.I 10 y88147a6exv99wnwi.htm EX-99.N.I Exhibit (n)(i) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the references to our firm under the captions “Financial Highlights” and “Independent Registered Public Accounting Firm” in the Prospectus and “Financial Statements” in the Statement of Additional Information, and to the incorporation by reference in this Registration |
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| January 25, 2011 |
Exhibit (k)(ii) SUBSCRIPTION AGENT AGREEMENT This Subscription Agent Agreement (the ?Agreement?) is made as of January 20, 2011 by and among The GDL Fund (the ? Company?), Computershare Inc. |
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| January 25, 2011 |
Exhibit (h) 2,880,363 Shares of Series B Cumulative Puttable and Callable Preferred Stock Issuable Upon Exercise of Rights to Subscribe for such Shares DEALER MANAGER AGREEMENT [ ], 2010 Gabelli & Company Inc. |
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| January 25, 2011 |
THE GABELLI GLOBAL DEAL FUND AGREEMENT AND DECLARATION OF FUND EX-99.A 2 y88147a6exv99wa.htm EX-99.A Exhibit (a) THE GABELLI GLOBAL DEAL FUND AGREEMENT AND DECLARATION OF FUND November 3, 2006 TABLE OF CONTENTS ARTICLE I The Fund 1.1 Name 5 1.2 Definitions 5 ARTICLE II Trustees 2.1 Number and Qualification 6 2.2 Term and Election 6 2.3 Resignation and Removal 7 2.4 Vacancies 7 2.5 Meetings 8 2.6 Officers 8 ARTICLE III Powers and Duties of Trustees 3.1 General |
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| January 25, 2011 |
EX-99.D.II 5 y88147a6exv99wdwii.htm EX-99.D.II Exhibit (d)(ii) CERTIFICATE NO. SHARES [ ] [ ] THE GDL FUND Organized Under the Laws of The State of Delaware Series B Cumulative Puttable and Callable Preferred Shares Par Value $0.001 Per Share Liquidation Preference $50.00 Per Share CUSIP No. [ ] This certifies that Cede & Co. is the owner of [ ] fully paid non- Series B Cumulative Puttable and Cal |
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| January 25, 2011 |
AMENDED & RESTATED BY-LAWS THE GDL FUND EX-99.B 4 y88147a6exv99wb.htm EX-99.B Exhibit (b) AMENDED & RESTATED BY-LAWS OF THE GDL FUND TABLE OF CONTENTS Page ARTICLE I Shareholder Meetings 3 Section 1.1 Chairman 3 Section 1.2 Voting 3 Section 1.3 Fixing Record Dates 4 Section 1.4 Inspectors of Election 4 Section 1.5 Special Meetings of Shareholders 4 Section 1.6 Place of Meetings 6 Section 1.7 Notice of Meetings 6 Section 1.8 Nature of Bu |
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| January 25, 2011 |
SKADDEN, ARPS, SLATE, MEAGHER & FLOM LLP FOUR TIMES SQUARE NEW YORK, NY 10036-6522 (212) 735-3000 EX-99.L 9 y88147a6exv99wl.htm EX-99.L EXHIBIT (l) SKADDEN, ARPS, SLATE, MEAGHER & FLOM LLP FOUR TIMES SQUARE NEW YORK, NY 10036-6522 (212) 735-3000 Exhibit (l) January 20, 2011 The GDL Fund One Corporate Center Rye, New York 100580-1422 RE: The GDL Fund Registration Statement on Form N-2 Ladies and Gentlemen: We have acted as special counsel to The GDL Fund, a statutory trust created under the Del |
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| January 25, 2011 |
The GDL Fund. One Corporate Center Rye, New York 10580-1422 (914) 921-5100 The GDL Fund. One Corporate Center Rye, New York 10580-1422 (914) 921-5100 January 25, 2011 VIA EDGAR Ms. Laura E. Hatch Staff Accountant Division of Investment Management Securities and Exchange Commission Washington, D.C. 20549 RE: The Gabelli Global Deal Fund File Nos. 333-149864 and 811-21969 Dear Ms. Hatch: In accordance with Rule 461 of the General Rules and Regulations under the Securities |
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| January 25, 2011 |
EX-99.D.V 6 y88147a6exv99wdwv.htm EX-99.D.V Exhibit (d)(v) VOID IF NOT RECEIVED BY THE SUBSCRIPTION AGENT BEFORE 5:00 P.M. EASTERN TIME ON THE EXPIRATION DATE THE GDL FUND SUBSCRIPTION RIGHTS FOR PREFERRED SHARES Dear Shareholder: IN ORDER TO EXERCISE YOUR RIGHTS, YOU MUST COMPLETE BOTH SIDES OF THE TEAR OFF CARD. As the registered owner of the Subscription Certificate below, you are entitled to s |
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| December 9, 2010 |
AMENDED & RESTATED BY-LAWS THE GABELLI GLOBAL DEAL FUND TABLE OF CONTENTS EX-3.(II) 2 ex3ii.htm EXHIBIT 3(II) - AMENDED AND RESTATED BYLAWS Exhibit 3(ii) AMENDED & RESTATED BY-LAWS OF THE GABELLI GLOBAL DEAL FUND TABLE OF CONTENTS Page ARTICLE I Shareholder Meetings 3 Section 1.1 Chairman 3 Section 1.2 Voting 3 Section 1.3 Fixing Record Dates 4 Section 1.4 Inspectors of Election 4 Section 1.5 Special Meetings of Shareholders 4 Section 1.6 Place of Meetings 6 Section 1.7 |
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| December 9, 2010 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 3, 2010 THE GABELLI GLOBAL DEAL FUND (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 811-21969 (Commission File |
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| November 29, 2010 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act exv99wcert Exhibit 99.CERT Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Bruce N. Alpert, certify that: 1. I have reviewed this report on Form N-Q of The Gabelli Global Deal Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements m |
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| November 29, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-21969 The Gabelli Global Deal Fund (Exact name of registrant as specified in charter) One Corporate Center Rye, New York 10580-1422 (Address of principal executive offices) (Zip code) Bruce N. Al |
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| November 8, 2010 |
As filed with the Securities and Exchange Commission on November 5, 2010 Table of Contents As filed with the Securities and Exchange Commission on November 5, 2010 Securities Act File No. |
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| November 8, 2010 |
Exhibit (n)(ii) Powers of Attorney KNOW ALL MEN BY THESE PRESENTS, that each person whose name appears below nominates, constitutes and appoints Bruce N. |
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| September 21, 2010 |
8-K 1 gabelli-globaldealform8k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 15, 2010 THE GABELLI GLOBAL DEAL FUND (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of inco |
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| August 27, 2010 |
CORRESP 1 filename1.htm August 27, 2010 Ms. Laura E. Hatch United States Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, DC 20549 Re: The Gabelli Funds (the “Funds”) September and December 2009 and March 2010 Annual Reports Dear. Ms. Hatch: This letter responds to your comments communicated by telephone on July 29, 2010 with respect to various An |
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| August 18, 2010 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 The Gabelli Global Deal Fund (Name of Issuer) Preferred Shares (Title of Class of Securities) 36245G202 (CUSIP Number) Christopher J. Michailoff GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number of Person Authorized to |
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| August 4, 2010 |
OMB APPROVAL OMB Number 3235 -0101 Expires: March 31, 2011 Estimated average burden hours per response . |
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| June 1, 2010 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act EX-99.CERT 2 p17756exv99wcert.htm EX-99.CERT Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Bruce N. Alpert, certify that: 1. I have reviewed this report on Form N-Q of The Gabelli Global Deal Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to mak |
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| June 1, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-21969 The Gabelli Global Deal Fund (Exact name of registrant as specified in charter) One Corporate Center Rye, New York 10580-1422 (Address of principal executive offices) (Zip code) Bruce N. Al |
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| April 22, 2010 |
OMB APPROVAL OMB Number 3235 -0101 Expires: March 31, 2011 Estimated average burden hours per response . |
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| April 5, 2010 |
OMB APPROVAL OMB Number 3235 -0101 Expires: March 31, 2011 Estimated average burden hours per response . |
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| March 31, 2010 |
8-K 1 globaldeal.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 26, 2010 THE GABELLI GLOBAL DEAL FUND (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation |
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| February 25, 2010 |
OMB APPROVAL OMB Number 3235 -0101 Expires: March 31, 2011 Estimated average burden hours per response . |
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| February 5, 2010 |
SCHEDULE 13G/A CUSIP No: 36245G103 1)NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: Lazard Asset Management LLC 2)CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)o (b)o 3)SEC USE ONLY 4)CITIZENSHIP OR PLACE OF ORGANIZATION: Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 5)SOLE VOTING POWER: 2,801,211 6)SHARED VOTING POWER: - 7)SOLE DISP |
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| January 22, 2010 |
EX-3.1 2 exhibit3-1.htm EXHIBIT 3.1 - AMENDMENT NO. 1, DATED JANUARY 15, 2010, TO BY-LAWS Exhibit 3.1 AMENDMENT NO. 1 TO THE BY-LAWS OF THE GABELLI GLOBAL DEAL FUND (Dated and effective as of January 15, 2010) ARTICLE I 1.61 Proposals by Shareholders of Business. (a) Annual Meetings of Shareholders. (1) Proposals of business to be considered by the Fund's shareholders may be made at an annual meet |
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| January 22, 2010 |
8-K 1 globaldeal.htm FORM 8K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 15, 2010 THE GABELLI GLOBAL DEAL FUND (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporatio |
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| January 20, 2010 |
OMB APPROVAL OMB Number 3235 -0101 Expires: March 31, 2011 Estimated average burden hours per response . |
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| January 14, 2010 |
144 1 gpjgdl144011410.htm OMB APPROVAL OMB Number 3235 -0101 Expires: March 31, 2011 Estimated average burden hours per response .................2.00 SEC USE ONLY DOCUMENT SEQUENCE NO. CUSIP NUMBER WORK LOCATION UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933 ATTENTION: Tra |
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| November 30, 2009 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act EX-99.CERT 2 p16334exv99wcert.htm EX-99.CERT Exhibit 99.CERT Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Bruce N. Alpert, certify that: 1. I have reviewed this report on Form N-Q of The Gabelli Global Deal Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact |
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| November 30, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-21969 The Gabelli Global Deal Fund (Exact name of registrant as specified in charter) One Corporate Center Rye, New York 10580-1422 (Address of principal executive offices) (Zip code) Bruce N. Al |
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| August 10, 2009 |
SCHEDULE 13G/A CUSIP No: 36245G103 1)NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: Lazard Asset Management LLC 2)CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)o (b)o 3)SEC USE ONLY 4)CITIZENSHIP OR PLACE OF ORGANIZATION: Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 5)SOLE VOTING POWER: 2,156,976 6)SHARED VOTING POWER: - 7)SOLE DISP |
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| June 1, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-21969 The Gabelli Global Deal Fund (Exact name of registrant as specified in charter) One Corporate Center Rye, New York 10580-1422 (Address of principal executive offices) (Zip code) Bruce N. Al |
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| June 1, 2009 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act exv99wcert Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Bruce N. |
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| March 25, 2009 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2) The Gabelli Global Deal Fund (Name of Issuer) Common Shares (Title of Class of Securities) 36245G103 (CUSIP Number) Peter D. Goldstein GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-7732 (Name, Address and Telephone Number of Person Autho |
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| February 10, 2009 |
SCHEDULE 13G CUSIP No: 36245G103 1)NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: Lazard Asset Management LLC 2)CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)o (b)o 3)SEC USE ONLY 4)CITIZENSHIP OR PLACE OF ORGANIZATION: Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 5)SOLE VOTING POWER: 1,454,103 6)SHARED VOTING POWER: - 7)SOLE DISPOS |
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| February 6, 2009 |
SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) or 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 The Gabelli Global Deal Fund (Exact Name of Registrant as Specified in its Charter) Delaware 20-819-5443 (State of Incorporation or Organization) (I. |
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| December 18, 2008 |
POS 8C 1 gabellipos8c.htm POS 8C As filed with the Securities and Exchange Commission on December 18, 2008 Securities Act File No. 333-149864 Investment Company Act File No. 811-21969 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-2 x Registration Statement under the Securities Act of 1933 o Pre-Effective Amendment No. x Post-Effective Amendment No. 4 x Registration |
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| December 18, 2008 |
SKADDEN, ARPS, SLATE, MEAGHER & FLOM LLP FOUR TIMES SQUARE NEW YORK, NY 10036-6522 (212) 735-3000 Exhibit (l) SKADDEN, ARPS, SLATE, MEAGHER & FLOM LLP FOUR TIMES SQUARE NEW YORK, NY 10036-6522 (212) 735-3000 December 18, 2008 The Gabelli Global Deal Fund One Corporate Center Rye, New York 100580-1422 RE: The Gabelli Global Deal Fund – File Nos. |
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| December 18, 2008 |
EX-99.2D HOLDERS RTS 3 exd-ii.htm EXHIBIT (D)(II) - FORM OF SPECIMEN FOR SERIES A PREFERRED SHARES Exhibit (d)(ii) CERTIFICATE NO. SHARES [ ] [ ] THE GABELLI GLOBAL DEAL FUND Organized Under the Laws of The State of Delaware 8.50% Series A Cumulative Callable Preferred Shares Par Value $0.001 Per Share Liquidation Preference $50.00 Per Share CUSIP No. [ ] This certifies that Cede & Co. is the owne |
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| December 18, 2008 |
Exhibit (d)(iv) VOID IF NOT RECEIVED BY THE SUBSCRIPTION AGENT BEFORE 5:00 P.M. NEW YORK TIME ON THE EXPIRATION DATE THE GABELLI GLOBAL DEAL FUND SUBSCRIPTION RIGHTS FOR PREFERRED STOCK Dear Stockholder: IN ORDER TO EXERCISE YOUR RIGHTS, YOU MUST COMPLETE THE REVERSE SIDE OF THE TEAR OFF CARD. As the registered owner of the Subscription Certificate below, you are entitled to subscribe for the numb |
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| December 18, 2008 |
The Gabelli Global Deal Fund. One Corporate Center Rye, New York 10580-1422 (914) 921-5100 December 18, 2008 VIA EDGAR Ms. Laura E. Hatch Staff Accountant Division of Investment Management Securities and Exchange Commission Washington, D.C. 20549 RE: The Gabelli Global Deal Fund File Nos. 333-149864 and 811-21969 Dear Ms. Hatch: In accordance with Rule 461 of the General Rules and Regulations unde |
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| December 18, 2008 |
Exhibit (r) SECTION S Code of Ethics Gabelli Funds, LLC GAMCO Asset Management Inc. |
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| December 18, 2008 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Exhibit (n)(i) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the references to our firm under the captions "Financial Highlights" and "Independent Registered Public Accounting Firm" in the Prospectus and "Financial Statements" in the Statement of Additional Information, and to the incorporation by reference in this Registration Statement (Form N-2, Post Effective Amendment No. |
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| December 18, 2008 |
Exhibit (h) 2,121,151 Shares of Cumulative Callable Series A Preferred Stock Issuable Upon Exercise of Rights to Subscribe for such Shares DEALER MANAGER AGREEMENT Rye, New York [ ], 2008 Gabelli & Company Inc. |
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| December 18, 2008 |
THE GABELLI GLOBAL DEAL FUND STATEMENT OF PREFERENCES SERIES A CUMULATIVE CALLABLE PREFERRED SHARES EX-99.2A CHARTER 2 exa-i.htm EXHIBIT (A)(I) - STATEMENT FOR THE SERIES A PREFERRED SHARES Exhibit (a)(i) THE GABELLI GLOBAL DEAL FUND STATEMENT OF PREFERENCES OF SERIES A CUMULATIVE CALLABLE PREFERRED SHARES The Gabelli Global Deal Fund, a Delaware statutory trust (the “Fund”), hereby certifies that: FIRST: The Board of Trustees of the Fund (the “Board of Trustees”), at meetings duly convened and |
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| December 18, 2008 |
SUBSCRIPTION AND INFORMATION AGENT AGREEMENT Exhibit (k)(ii) SUBSCRIPTION AND INFORMATION AGENT AGREEMENT This Subscription and Information Agent Agreement (the "Agreement") is made as of December 18, 2008 between The Gabelli Global Deal Fund (the "Fund"), Computershare, Inc. |
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| December 10, 2008 |
EX-99.2R CODE ETH 8 exr.htm EXHIBIT (R) - CODE OF ETHICS Exhibit (r) SECTION S Code of Ethics Gabelli Funds, LLC GAMCO Asset Management Inc. Gabelli & Company, Inc. Teton Advisors, Inc. Gabelli Fixed Income LLC Gabelli Securities, Inc. Each Registered Investment Company or series thereof (each of which is considered to be a Company for this purpose) for which any of the Companies listed above pres |
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| December 10, 2008 |
EX-99.2K OTH CONTRCT 6 exk-ii.htm EXHIBIT (K)(II) - SUBSCRIPTION AGENT AGREEMENT Exhibit (k)(ii) SUBSCRIPTION AGENT AGREEMENT This Subscription Agent Agreement (the "Agreement") is made as of , between The Gabelli Global Deal Fund (the "Company") and [ ], (the "Agent" or "Subscription Agent"). All terms not defined herein shall have the meaning given in the prospectus (the "Prospectus") included i |
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| December 10, 2008 |
EX-99.2H DISTR CONTR 5 exh.htm EXHIBIT (H) - FORM OF UNDERWRITING AGREEMENT Exhibit (h) 2,121,151 Shares of Cumulative Callable Series A Preferred Stock Issuable Upon Exercise of Rights to Subscribe for such Shares DEALER MANAGER AGREEMENT Rye, New York [ ], 2008 Gabelli & Company Inc. One Corporate Center Rye, New York 10580 Ladies and Gentlemen: Each of The Gabelli Global Deal Fund, a Delaware s |
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| December 10, 2008 |
VOID IF NOT RECEIVED BY THE SUBSCRIPTION AGENT BEFORE 5:00 P.M. NEW YORK TIME ON THE EXPIRATION DATE Exhibit (d)(iv) VOID IF NOT RECEIVED BY THE SUBSCRIPTION AGENT BEFORE 5:00 P.M. NEW YORK TIME ON THE EXPIRATION DATE Control No. Maximum Primary Subscription Shares Available THE GABELLI GLOBAL DEAL FUND SUBSCRIPTION RIGHTS FOR PREFERRED STOCK Dear Stockholder: IN ORDER TO EXERCISE YOUR RIGHTS, YOU MUST COMPLETE THE REVERSE SIDE OF THE TEAR OFF CARD. As the registered owner of the Subscription Cer |
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| December 10, 2008 |
EX-99.2D HOLDERS RTS 3 exd-ii.htm EXHIBIT (D)(II) - FORM OF SPECIMEN FOR SERIES A PREFERRED SHARES Exhibit (d)(ii) CERTIFICATE NO. SHARES [ ] [ ] THE GABELLI GLOBAL DEAL FUND Organized Under the Laws of The State of Delaware [ ] Series A Cumulative Callable Preferred Shares Par Value $0.001 Per Share Liquidation Preference $50.00 Per Share CUSIP No. [ ] This certifies that Cede & Co. is the owner |
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| December 10, 2008 |
SKADDEN, ARPS, SLATE, MEAGHER & FLOM LLP FOUR TIMES SQUARE NEW YORK, NY 10036-6522 (212) 735-3000 EX-99.2L OPIN COUNSL 7 ex1.htm EXHIBIT (L) - OPINION AND CONSENT OF SKADDEN, ARPS, MEAGHER, & FLOM LLP WITH RESPECT TO LEGALITY Exhibit (l) SKADDEN, ARPS, SLATE, MEAGHER & FLOM LLP FOUR TIMES SQUARE NEW YORK, NY 10036-6522 (212) 735-3000 December 5, 2008 The Gabelli Global Deal Fund One Corporate Center Rye, New York 100580-1422 RE: The Gabelli Global Deal Fund – File Nos. 333-149864 and 811-21969 |
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| December 10, 2008 |
THE GABELLI GLOBAL DEAL FUND STATEMENT OF PREFERENCES SERIES A CUMULATIVE CALLABLE PREFERRED SHARES EX-99.2A CHARTER 2 exa-i.htm EXHIBIT (A)(I) - STATEMENT OF PREFERENCES FOR THE SERIES A PREFERRED SHARES Exhibit (a)(i) THE GABELLI GLOBAL DEAL FUND STATEMENT OF PREFERENCES OF SERIES A CUMULATIVE CALLABLE PREFERRED SHARES The Gabelli Global Deal Fund, a Delaware statutory trust (the “Fund”), hereby certifies that: FIRST: The Board of Trustees of the Fund (the “Board of Trustees”), at meetings dul |
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| December 10, 2008 |
As filed with the Securities and Exchange Commission on December 9, 2008 POS 8C 1 gabellipos8c.htm POS 8C As filed with the Securities and Exchange Commission on December 9, 2008 Securities Act File No. 333-149864 Investment Company Act File No. 811-21969 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-2 x Registration Statement under the Securities Act of 1933 o Pre-Effective Amendment No. x Post-Effective Amendment No. 3 x Registration |
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| November 24, 2008 |
144 1 gdl144112408.htm OMB APPROVAL OMB Number 3235 0101 Expires: December 31, 2009 Estimated average burden hours per response .................2.00 SEC USE ONLY DOCUMENT SEQUENCE NO. CUSIP NUMBER WORK LOCATION UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933 ATTENTION: Tran |
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| November 24, 2008 |
SC 13D/A 1 gdl01.htm SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1) The Gabelli Global Deal Fund (Name of Issuer) Common Shares (Title of Class of Securities) 36245G103 (CUSIP Number) Peter D. Goldstein GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-7732 (Name, Address and Telephone N |
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| November 21, 2008 |
0; OMB APPROVAL OMB Number 3235 0101 Expires: December 31, 2009 Estimated average burden hours per response . |
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| November 18, 2008 |
144 1 gdl144111808.htm OMB APPROVAL OMB Number 3235 0101 Expires: December 31, 2009 Estimated average burden hours per response .................2.00 SEC USE ONLY DOCUMENT SEQUENCE NO. CUSIP NUMBER WORK LOCATION UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933 ATTENTION: Tran |
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| November 17, 2008 |
0; OMB APPROVAL OMB Number 3235 0101 Expires: December 31, 2009 Estimated average burden hours per response . |
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| November 14, 2008 |
0; OMB APPROVAL OMB Number 3235 0101 Expires: December 31, 2009 Estimated average burden hours per response . |
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| November 13, 2008 |
0; OMB APPROVAL OMB Number 3235 0101 Expires: December 31, 2009 Estimated average burden hours per response . |
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| November 12, 2008 |
As filed with the Securities and Exchange Commission on August , 2008 As filed with the Securities and Exchange Commission on August , 2008 Securities Act File No. |
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| November 12, 2008 |
0; OMB APPROVAL OMB Number 3235 0101 Expires: December 31, 2009 Estimated average burden hours per response . |
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| November 12, 2008 |
144 1 gdl144111108.htm OMB APPROVAL OMB Number 3235 0101 Expires: December 31, 2009 Estimated average burden hours per response .................2.00 SEC USE ONLY DOCUMENT SEQUENCE NO. CUSIP NUMBER WORK LOCATION UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933 ATTENTION: Tran |
