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GDL on NYSE

GDL FUND

GDL FUND is an investment fund that raised $41.7 million in 2025 (SEC Form D).2 It is headquartered in Rye, United States.2

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Last updated Oct 21, 2026.

Overview

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  • TickerGDL on NYSE2
  • HeadquartersRye, United States2
  • Incorporated inDE3
  • Business addressOne Corporate Center, Rye, Ny 105803
  • Legal formBusiness Trust2
  • Kind of organizationInvestment fund2
  • LEI5493000XKGL8ZPN994792
  • StatusActive2
  • LEI statusIssued and current2
  • Registered addressC/O CORPORATION SERVICE COMPANY, 19808 Wilmington, United States2
  • Registered withDivision of Corporations, Department of State, 42379632

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Corporate structure

GDL FUND sits at the top of its group. 1 entity, 1 country on record. Switch between the flow chart and the network, and select any entity to see its details.

Major holders of GDL FUND

  • Focus Partners Wealth Filed SCHEDULE 13G/A on GDL FUND, latest Jun 8, 2026 (2 filings since Feb 13, 2026)
  • GAMCO Investors Filed SCHEDULE 13D/A on GDL FUND, latest Mar 16, 2026 (6 filings since Apr 5, 2022)
  • Alan Massey Joshua Filed SCHEDULE 13G/A on GDL FUND, latest Feb 11, 2025 (4 filings since Feb 10, 2022)
  • ZAZOVE ASSOCIATES LLC Filed SCHEDULE 13G/A on GDL FUND, latest Jan 7, 2025 (2 filings since Jan 11, 2024)
  • NorthCoast Asset Management LLC Filed SCHEDULE 13G on GDL FUND, latest Oct 29, 2024
  • Relative Value Partners Group, LLC Filed SC 13G on GDL FUND, latest Feb 12, 2024 (3 filings since Feb 11, 2022)
  • Regina M. Pitaro Filed SC 13G on GDL FUND, latest Feb 9, 2023
  • GDL FUND Rye, New York, United States

Built from parent and subsidiary links from GLEIF, the Global Legal Entity Identifier Foundation (CC0); major holders from Schedules 13D and 13G. Each entity in the chart links to its source.

Leadership

Who has led GDL FUND, and when. Pick a name to see everywhere that person has worked.

President

  1. Bruce N. Alpert2007–2013
2010201520202025
Board members and other officers (15)

Named in SEC Form D filings

People the company listed in its private-offering notices.

  • Vice PresidentCarter W. Austin named Jun 17, 2022 to Nov 6, 202520
  • Vice PresidentDavid I. Schachter named Jun 17, 2022 to Nov 6, 202520
  • President and TreasurerJohn C. Ball named Jun 17, 2022 to Nov 6, 202520
  • Vice President and OmbudsmanLaurissa M. Martire named Jun 17, 2022 to Nov 6, 202520
  • Chief Compliance OfficerRichard J. Walz named Jun 17, 2022 to Nov 6, 202520
  • Vice PresidentDaniel W. Plourde named Jun 17, 202221
  • DirectorSalvatore J. Zizza named Jun 17, 2022 to Nov 6, 202520
  • DirectorClarence A. Davis named Jun 17, 202221

Former names

  • Gabelli Global Deal FundOct 23, 2006 to Jan 3, 20113

Timeline

  1. May 7, 20268-K Other events22
  2. Apr 2, 20258-K Unregistered sale of shares; Bylaws or fiscal year changed23
  3. Feb 28, 20258-K Bylaws or fiscal year changed24
  4. Oct 17, 2006Founded GDL FUND is founded2

Filings

112 filings to the SEC since October 2021: 3 major events, 24 insider forms, 19 large holders, 2 private raises, 64 other. The latest 20:

  1. Sep 8, 2026N-CSRS EDGAR
  2. Aug 31, 2026NPORT-P EDGAR
  3. Aug 19, 2026N-PX EDGAR
  4. Aug 17, 20263 PRIMARY DOCUMENT EDGAR
  5. Jun 8, 2026SCHEDULE 13G/A EDGAR
  6. Jun 1, 2026NPORT-P EDGAR
  7. May 22, 2026N-23C-2 EDGAR
  8. May 7, 20268-K EDGAR
  9. Mar 19, 2026DEFA14A THE GDL FUND (GDL) - DEFA14A EDGAR
  10. Mar 19, 2026DEF 14A THE GDL FUND (GDL) - DEF 14A EDGAR
  11. Mar 16, 2026SCHEDULE 13D/A EDGAR
  12. Mar 12, 2026N-CEN EDGAR
  13. Mar 9, 2026N-CSR EDGAR
  14. Mar 2, 2026NPORT-P EDGAR
  15. Feb 24, 20264 PRIMARY DOCUMENT EDGAR
  16. Feb 13, 2026SCHEDULE 13G EDGAR
  17. Jan 13, 20264 PRIMARY DOCUMENT EDGAR
  18. Dec 3, 2025N-CEN/A EDGAR
  19. Nov 28, 2025NPORT-P EDGAR
  20. Nov 6, 2025D EDGAR

The 112 filings since October 2021 can be filtered by form type and year here when JavaScript is on.

Every filing from the last five years, summarized. The full record is on SEC EDGAR.

Insider trades

20 open-market trades by officers, directors and large owners since October 2021: 12 buys and 8 sales. Grants, option exercises and gifts are left out.

DateWhoTradeSharesPriceValueFiling
Feb 23, 2026GABELLI MARIO JDirectorSale800$8.52$6.8KForm 4
Jan 9, 2026GABELLI MARIO JDirectorSale800$8.39$6.7KForm 4
Nov 26, 2024GABELLI MARIO JDirectorSale2,500$8.04$20.1KForm 4
Aug 29, 2024GABELLI MARIO JDirectorSale307$8.09$2.5KForm 4
Feb 22, 2024Ball John ChesterPresident & TreasurerBuy32$7.91$253Form 4
Dec 11, 2023GABELLI MARIO JDirectorSale2,000$8.01$16.0KForm 4
Aug 7, 2023GABELLI MARIO JDirectorBuy120$7.93$952Form 4
Jul 31, 2023GABELLI MARIO JDirectorBuy500$7.93$4.0KForm 4
Apr 17, 2023GABELLI MARIO JDirectorSale2,000$7.85$15.7KForm 4
Feb 10, 2023GABELLI MARIO JDirectorBuy2,000$8.12$16.2KForm 4
Oct 24, 2022GABELLI MARIO JDirectorBuy221$7.99$1.8KForm 4
Oct 17, 2022GABELLI MARIO JDirectorBuy200,000$10.00$2.0MForm 4
Oct 17, 2022GABELLI MARIO JDirectorSale200,000$10.00$2.0MForm 4
Oct 7, 2022GABELLI MARIO JDirectorBuy1,200$7.89$9.5KForm 4
Oct 4, 2022GABELLI MARIO JDirectorBuy2,736$8.00$21.9KForm 4
Oct 3, 2022GABELLI MARIO JDirectorBuy170$8.00$1.4KForm 4
Jul 18, 2022GABELLI MARIO JDirectorBuy900$8.25$7.4KForm 4
Mar 28, 2022GABELLI MARIO JDirectorBuy1,240,000$10.00$12.4MForm 4
Feb 17, 2022Mullady AgnesDirectorBuy150$8.67$1.3KForm 4
Oct 22, 2021GABELLI MARIO JDirectorSale3,591$8.99$32.3KForm 4

From Forms 4 filed with the SEC.

Major holders

Investors who own more than 5% of the shares must tell the SEC: a 13D if they may seek to influence the company, a 13G if they hold passively.

Funding

Where the company's money came from, by calendar year: private offerings filed with the SEC, federal grants, loans, contracts and other assistance from USAspending.gov, and PPP loans from the SBA. Each bar links to the records below.

Money received by year$41.7M 2022–2025
Money received by yearMoney received by year, 2022–2025: $41.7M in all. Private raises (Form D) $41.7M.$0$10M$20M$30M$40M2022 · Private raises (Form D): $35.0M2022202320242025 · Private raises (Form D): $6.7M2025
Figures by year
YearPrivate raises (Form D)Total
2025$6.7M$6.7M
2022$35.0M$35.0M

Private raises

Private offerings the company reported to the SEC on Form D. The amount is what the latest filing says was sold so far, charted in the year of the first sale. Covers filings since Oct 1, 2021.

  1. Mar 26, 2025Raised $6.7 million in a private offering of equity20 Form D: $35 million offered in all Form D
  2. Mar 26, 2022Raised $35 million in a private offering of equity21 Form D: 24 investors so far Form D

Held by these funds

The largest holders among investment managers' 13F reports for the quarter ending Jun 30, 2026, the top 25 of 32. Change is in shares since the quarter before.

FundSharesValueShare of the fundChange
GABELLI & Co INVESTMENT ADVISERS, INC.1,846,636$15.6M2.3%No change
Morgan Stanley508,773$4.3M0.0%+12,547
Focus Partners Wealth504,243$4.3M0.0%−68,545
Gamco Investors, Inc. Et Al441,931$3.7M0.0%+132
Bulldog Investors, LLP409,748$3.5M0.8%No change
Bank Of America Corp /de/161,993$1.4M0.0%−6,266
Ancora Advisors LLC148,158$1.3M0.0%−26,468
NewEdge Advisors, LLC129,080$1.1M0.0%+660
Css Llc/il116,663$988.1K0.1%No change
Envestnet Asset Management Inc93,257$789.9K0.0%−677
Blue Bell Private Wealth Management, LLC62,477$529.2K0.1%+8,208
Atlas Wealth LLC55,366$468.9K0.1%New
Matisse Capital28,072$237.8K0.1%+11,125
Evolve Private Wealth, LLC18,871$159.8K0.0%−512
Decision Investments, Inc15,100$127.9K0.1%−100
Susquehanna International Group, Llp14,251$120.7K0.0%New
Integrated Capital Management, Inc.12,908$109.3K0.1%−923
GatePass Capital, LLC12,500$105.9K0.0%−40,650
Permanent Capital Management, LP10,131$85.8K0.0%New
Wells Fargo & Company/mn10,080$85.4K0.0%−1,200
MRP Capital Investments, LLC7,500$63.5K0.0%No change
Osaic Holdings, Inc.5,242$44.4K0.0%+1,102
Mark Sheptoff Financial Planning, LLC2,000$16.9K0.0%No change
Creative Financial Designs Inc /adv1,717$14.5K0.0%No change
McMillan Office, Inc.1,000$8.5K0.0%No change

13F reports cover disclosed long positions in U.S. stocks only.

SEC filer profile

How GDL FUND is registered with the Securities and Exchange Commission, from its EDGAR record and the cover page of its latest annual report.

  • Name on EDGARGDL FUND1
  • CIK0001378701
  • Incorporated inDelaware1
  • Fiscal year endsDecember 311
  • Business addressOne Corporate Center, Rye, NY 105801
  • Phone914-921-51001
  • On EDGAR sinceOct 23, 20061
  • Filings752 in all: 4 (279), 144 (38), SC 13D/A (32), NPORT-P (28), 40-17G (24), N-Q (24), SC 13G/A (24), CORRESP (20)1
    All 49 form types

    DEFA14A (20), N-CSR (20), N-CSRS (20), N-PX (20), 3 (19), DEF 14A (19), SC 13G (18), N-2/A (14), N-30B-2 (11), NSAR-A (11), NSAR-B (11), N-CEN (8), 40-17G/A (7), 8-K (7), EFFECT (7), POS 8C (6), SC 13D (6), 25-NSE (5), 497 (5), N-2 (5), 4/A (4), 497AD (4), 8-A12B (4), N-23C-2 (4), SCHEDULE 13G/A (3), UPLOAD (3), D (2), DEFR14A (2), N-CEN/A (2), N-CSR/A (2), POS EX (2), SCHEDULE 13D/A (2), SCHEDULE 13G (2), 424B2 (1), CERT (1), CERTNYS (1), N-2MEF (1), N-8A (1), N-CSRS/A (1), NPORT-EX (1), PRE 14A (1)

  • Latest filingsProxy statement (DEF 14A) Mar 19, 2026
    Latest 8-K (8-K) May 7, 2026

Sources

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    SEC EDGAROther events
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