0001018500-12-000001.txt : 20120109 0001018500-12-000001.hdr.sgml : 20120109 20120109155238 ACCESSION NUMBER: 0001018500-12-000001 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120106 FILED AS OF DATE: 20120109 DATE AS OF CHANGE: 20120109 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: DIVIDEND & INCOME FUND, INC. CENTRAL INDEX KEY: 0001059213 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 510382212 STATE OF INCORPORATION: MD FISCAL YEAR END: 1130 BUSINESS ADDRESS: STREET 1: 11 HANOVER SQUARE CITY: NEW YORK STATE: NY ZIP: 10005 BUSINESS PHONE: 2127850400 MAIL ADDRESS: STREET 1: 11 HANOVER SQUARE CITY: NEW YORK STATE: NY ZIP: 10005 FORMER COMPANY: FORMER CONFORMED NAME: CHARTWELL DIVIDEND & INCOME FUND INC DATE OF NAME CHANGE: 19980406 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: WINMILL THOMAS BASSETT CENTRAL INDEX KEY: 0001018500 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-08747 FILM NUMBER: 12517559 MAIL ADDRESS: STREET 1: P.O. BOX 4 CITY: WALPOLE STATE: NH ZIP: 03608 4 1 primary_doc.xml PRIMARY DOCUMENT X0304 4 2012-01-06 0 0001059213 DIVIDEND & INCOME FUND, INC. DNI 0001018500 WINMILL THOMAS BASSETT P.O. BOX 4 WALPOLE NH 03608 1 1 0 1 President See "Explanation of Responses" Common Stock 2012-01-06 4 J 0 15000 3.18 A 20500 D Represents shares received from the exercise of Rights pursuant to the Issuer's Rights Offering dated November 14, 2011 and expired on December 23, 2011. The Reporting Person is a manager and officer of the Issuer's registered investment adviser and a director and officer of its affiliates. The Reporting Person is also a member of the Investment Policy Committee of the Issuer's registered investment adviser. The Investment Policy Committee manages the portfolio of the Issuer. Thomas B. Winmill 2012-01-09