Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| GABELLI EQUITY TRUST INCGAB · Entity 8814 | Director | December 21, 2017 | December 21, 2017 |
| GDL FUNDGDL.C · Entity 8945 | Director | March 29, 2018 | April 03, 2018 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
GABELLI EQUITY TRUST INC
Report date December 21, 2017 · Filed December 21, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, Par Value $0.001SEC Table I · non-derivative | Direct | 6,140 |
Reported balance
After 2017-12-21 transaction · row 1
1 source rowRow 1 · 2017-12-21 · Other · Acquired 768 · Balance 6,140 F1: The reporting person acquired these common shares through the exercise of common share purchase rights. |
Filing footnotes · ownership attribution and instrument terms
F1: The reporting person acquired these common shares through the exercise of common share purchase rights.
GDL FUND
Report date March 29, 2018 · Filed April 03, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Series C Cumulative Puttable and Callable Preferred SharesSEC Table I · non-derivative | Direct | 225 |
Reported balance
After 2018-03-29 transaction · row 1
1 source rowRow 1 · 2018-03-29 · Other · Acquired 225 · Balance 225 F1: The reporting person acquired these Series C preferred shares through a primary allocation based on the exercise of preferred share purchase rights and also surrendering his Series B preferred shares. |
Filing footnotes · ownership attribution and instrument terms
F1: The reporting person acquired these Series C preferred shares through a primary allocation based on the exercise of preferred share purchase rights and also surrendering his Series B preferred shares.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| March 29, 2018 Filed Apr 3, 2018 23:31 UTC | GDL FUND GDL.C · Entity 8945 | OtherSeries C Cumulative Puttable and Callable Preferred Shares | 225 | $50.00 | $11,250.00 |
DisclosureSEC source: 0001271163-18-000020 · primary_doc.xml · nonDerivative · entry 1 FERRARA ARTHUR V · CIK 0001247199 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 225 F1 · kind: The reporting person acquired these Series C preferred shares through a primary allocation based on the exercise of preferred share purchase rights and also surrendering his Series B preferred shares. Read SEC document |
| March 29, 2018 Filed Apr 3, 2018 23:25 UTC | GDL FUND GDL.B · Entity 8945 | OtherSeries B Cumulative Puttable and Callable Preferred Shares | 225 | $50.00 | $11,250.00 |
DisclosureSEC source: 0001271163-18-000019 · primary_doc.xml · nonDerivative · entry 1 FERRARA ARTHUR V · CIK 0001247199 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · kind: The reporting person surrendered these Series B preferred shares at a liquidation value of $50.00 in accordance with the rights offering to acquire new shares of the Series C preferred. Read SEC document |
| December 21, 2017 Filed Dec 21, 2017 19:31 UTC | GABELLI EQUITY TRUST INC GAB · Entity 8814 | OtherCommon Stock, Par Value $0.001 | 768 | $5.50 | $4,224.00 |
DisclosureSEC source: 0001271163-17-000065 · primary_doc.xml · nonDerivative · entry 1 FERRARA ARTHUR V · CIK 0001247199 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,140 F1 · kind: The reporting person acquired these common shares through the exercise of common share purchase rights. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.