GDL / The GDL Fund - Depositi SEC, Relazione annuale, dichiarazione di delega

EX-99.25

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).

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Unregistered Sales of Equity Securities, 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) 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

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

SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. )

SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.

SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. )

SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.

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

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, 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) 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

* * *

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

[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.

SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. 1)

SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.

SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. )

SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.

SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. )

SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.

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

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

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

SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. )

SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.

SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. )

SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.

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

GDL.PRC / GDL Fund, The Series C Cumulative Puttable and Callable Preferred Shares / Pitaro Regina M. Passive Investment

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

GDL.PRC / GDL Fund, The Series C Cumulative Puttable and Callable Preferred Shares / Joshua Alan Massey - AMENDMENT NO. 2 Passive Investment

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

Cl. A†

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† .................

(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,

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.

* * * * * * * 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.

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.

Cl. A†

1 The GDL Fund Schedule of Investments — March 31, 2022 (Unaudited) Shares Market Value COMMON STOCKS — 38.

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

SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. )

SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.

SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.  )

? SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.

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

GDL.PRC / GDL Fund, The Series C Cumulative Puttable and Callable Preferred Shares / Joshua Alan Massey - AMENDMENT NO. 1 Passive Investment

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

Cl. B

1 The GDL Fund Schedule of Investments — September 30, 2021 (Unaudited) Shares Market Value COMMON STOCKS — 49.

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

Principal Amount

The GDL Fund Schedule of Investments — March 31, 2021 (Unaudited) Shares Market Value COMMON STOCKS — 48.

$200,000,000 The GDL Fund Common Shares Preferred Shares Subscription Rights to Purchase Common Shares Subscription Rights to Purchase Preferred Shares Subscription Rights to Purchase Common and Preferred Shares

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

our definitive proxy statement on Schedule 14A for our 2021 annual meeting of shareholders, filed with the SEC on March 29, 2021;

? SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.

- THE GDL FUND (GDL)_DEFA14A

SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 14) The GDL Fund

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

SKADDEN, ARPS, SLATE, MEAGHER & FLOM LLP 500 BOYLSTON STREET DIRECT DIAL 617-573-4836 DIRECT FAX 617-305-4836 EMAIL ADDRESS [email protected] BOSTON, MASSACHUSETTS 02116 TEL: (617) 573-4800 FAX: (617) 573-4822 www.skadden.com FIRM/AFFILIATE

SKADDEN, ARPS, SLATE, MEAGHER & FLOM LLP 500 BOYLSTON STREET DIRECT DIAL 617-573-4836 DIRECT FAX 617-305-4836 EMAIL ADDRESS KENNETH.

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) 3615704

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

Market Value

HTML The GDL Fund Schedule of Investments — September 30, 2020 (Unaudited) Shares Market Value COMMON STOCKS — 40.

GDL.PRC / GDL Fund, The Series C Cumulative Puttable and Callable Preferred Shares / Joshua Alan Massey 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) 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

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

Market Value Appreciation Received

HTML The GDL Fund Schedule of Investments — March 31, 2020 (Unaudited) Shares Market Value COMMON STOCKS — 74.

- DEFA14A

SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.

- DEFA 14A

SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.

- DEFA 14A

SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.

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.

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.

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

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

GDL / GDL Fund, The 144 - -

OMB APPROVAL OMB Number 3235-0101 Expires: June 30, 2020 Estimated average burden hours per response .

GDL / GDL Fund, The 144 - -

OMB APPROVAL OMB Number 3235-0101 Expires: June 30, 2020 Estimated average burden hours per response .

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

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

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

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

GDL / GDL Fund, The NPORT-EX - -

GDL Fund The GDL Fund Schedule of Investments — March 31, 2019 (Unaudited) Shares Market Value COMMON STOCKS — 74.

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

GDL / GDL Fund, The DEF 14A

SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.

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

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:

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

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

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

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

GDL / GDL Fund, The 144

OMB APPROVAL OMB Number 3235-0101 Expires: June 30, 2020 Estimated average burden hours per response .

EX-99.25

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).

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.

Gdl Fund - 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

GDL / GDL Fund, The 144

OMB APPROVAL OMB Number 3235-0101 Expires: June 30, 2020 Estimated average burden hours per response .

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

GDL / GDL Fund, The 144

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

GDL / GDL Fund, The 144

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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

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

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

GDL / GDL Fund, The DEFA14A

SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.

GDL / GDL Fund, The DEF 14A

SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.

the description of our Series C Preferred Shares contained in our Registration Statement on Form 8-A (File No. 001-33265) filed with the SEC on March 23, 2018, including any amendment or report filed for the purpose of updating such description prior to the termination of the offering registered hereby; and

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.

[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.

(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?).

(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.

LONDON • NEW YORK • STAMFORD • MADRID • PARIS • ROME • GENEVA • SAO PAULO • MEXICO CITY • BEIJING • JOHANNESBURG The GDL Fund January 16, 2018 Page Two

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 Fund’s existing Preferred Stock (“the Offer”).

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

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

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.

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.

Notice of Guaranteed Delivery For Series C Preferred Shares of The GDL Fund Subscribed for Via Primary Subscription and the Over-Subscription Privilege

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.

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.

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

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

GDL^B / The GDL Fund CORRESP

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.

GDL^B / The GDL Fund CORRESP

THE GDL FUND SKADDEN, ARPS, SLATE, MEAGHER & FLOM LLP DIRECT DIAL 617-573-4836 DIRECT FAX 617-305-4836 EMAIL ADDRESS KENNETH.

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

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

Gdl Fund - GDL FUND

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

GDL^B / The GDL Fund CORRESP

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.

GDL^B / The GDL Fund CORRESP

GDL FUND SKADDEN, ARPS, SLATE, MEAGHER & FLOM LLP 500 BOYLSTON STREET BOSTON, MASSACHUSETTS 02116 TEL: (617) 573-4800 FAX: (617) 573-4822 www.

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.

Gdl Fund - GDL FUND

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

GDL Fund DEFA14A

SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.

SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. )

SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.

Skadden, Arps, Slate, Meagher & Flom llp 500 Boylston Street Boston, Massachusetts 02116 TEL: (617) 573-4800 FAX: (617) 573-4822

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

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.

SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. )

SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.

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.

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

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

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

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

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

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

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

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

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

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

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.

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

GDL Fund DEF 14A

SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.

GDL Fund DEFA 14A

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

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

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

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

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

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

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.

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

GDL Fund DEF 14A

SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.

GDL Fund DEFA14A

SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.

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

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

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

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

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

Gdl Fund - GDL FUND

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

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.

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

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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302 Certifications Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Bruce N.

- DEFA14A

SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.

- PROXY AND NOTICE STATEMENT

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

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

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

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

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

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

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

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

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

-

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

- THE GDL FUND

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

- THE GDL FUND

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

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

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

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

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

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

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

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

- GDL FUND - DEF14A

SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.

- GDL FUND - DEFA14A

SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.

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

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.

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 Glo

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

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3) The GDL Fund

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

EX-99.25

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

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 Glo

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

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

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2) The GDL Fund

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

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

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

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.

SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. )

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

SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. )

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

OMB APPROVAL

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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SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1) The GDL Fund

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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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 Ch

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.

SCHEDULE 13G/A

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

Skadden, Arps, Slate, Meagher & Flom llp FOUR TIMES SQUARE NEW YORK 10036-6522 TEL: (212) 735-3000 FAX: (212) 735-2000 www.skadden.com

Skadden, Arps, Slate, Meagher & Flom llp FOUR TIMES SQUARE NEW YORK 10036-6522 TEL: (212) 735-3000 FAX: (212) 735-2000 www.

Skadden, Arps, Slate, Meagher & Flom llp FOUR TIMES SQUARE NEW YORK 10036-6522 TEL: (212) 735-3000 FAX: (212) 735-2000 www.skadden.com January 25, 2011 FIRM/AFFILIATE OFFICES ________ BOSTON CHICAGO HOUSTON LOS ANGELES PALO ALTO SAN FRANCISCO WASHING

Skadden, Arps, Slate, Meagher & Flom llp FOUR TIMES SQUARE NEW YORK 10036-6522 TEL: (212) 735-3000 FAX: (212) 735-2000 www.

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.

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.

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

SUBSCRIPTION AGENT AGREEMENT

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.

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

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.

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

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

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

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

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

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

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

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

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

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

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

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 nam

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

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.

Powers of Attorney

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.

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

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

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

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 The Gabelli Global Deal Fund

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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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

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 nam

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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OMB APPROVAL

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Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

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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SCHEDULE 13G/A

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

AMENDMENT NO. 1 TO THE BY-LAWS OF THE GABELLI GLOBAL DEAL FUND (Dated and effective as of January 15, 2010) ARTICLE I

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

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Financial Statements and Exhibits

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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OMB APPROVAL

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

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

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 nam

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

SCHEDULE 13G/A

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

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 nam

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

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.

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

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

SCHEDULE 13G

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

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 Spe

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.

- POS 8C

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

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.

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

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

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

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

-

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

SECTION S Code of Ethics

Exhibit (r) SECTION S Code of Ethics Gabelli Funds, LLC GAMCO Asset Management Inc.

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.

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

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.

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

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.

SECTION S Code of Ethics

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

SUBSCRIPTION AGENT AGREEMENT

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

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

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

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

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

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

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

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

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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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

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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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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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