0001018500-18-000001.txt : 20180212 0001018500-18-000001.hdr.sgml : 20180212 20180212091433 ACCESSION NUMBER: 0001018500-18-000001 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180209 FILED AS OF DATE: 20180212 DATE AS OF CHANGE: 20180212 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: 18594118 MAIL ADDRESS: STREET 1: P.O. BOX 4 CITY: WALPOLE STATE: NH ZIP: 03608 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: DIVIDEND & INCOME FUND CENTRAL INDEX KEY: 0001059213 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 510382212 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 11 HANOVER SQUARE CITY: NEW YORK STATE: NY ZIP: 10005 BUSINESS PHONE: 2127850900 MAIL ADDRESS: STREET 1: 11 HANOVER SQUARE CITY: NEW YORK STATE: NY ZIP: 10005 FORMER COMPANY: FORMER CONFORMED NAME: DIVIDEND & INCOME FUND, INC. DATE OF NAME CHANGE: 20110210 FORMER COMPANY: FORMER CONFORMED NAME: CHARTWELL DIVIDEND & INCOME FUND INC DATE OF NAME CHANGE: 19980406 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2018-02-09 0 0001059213 DIVIDEND & INCOME FUND DNI 0001018500 WINMILL THOMAS BASSETT P.O. BOX 4 WALPOLE NH 03608 1 1 0 0 See "Explanation of Responses" Shares of Beneficial Interest 2018-02-09 4 J 0 4120 14.2 A 16029 D Represents shares received from the exercise of Rights and oversubscription pursuant to the Issuer's Rights Offering that expired on January 26, 2018. The Reporting Person is a director, president, chief executive officer, and chief legal officer of the Issuer, a manager and officer of the Issuer's registered investment adviser, and a director and officer of their affiliates. Additionally, the Reporting Person is a portfolio manager of the Issuer. Thomas B. Winmill 2018-02-12