0000940400-17-000170.txt : 20170301
0000940400-17-000170.hdr.sgml : 20170301
20170301143148
ACCESSION NUMBER: 0000940400-17-000170
CONFORMED SUBMISSION TYPE: NSAR-B
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20161231
FILED AS OF DATE: 20170301
DATE AS OF CHANGE: 20170301
EFFECTIVENESS DATE: 20170301
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: GABELLI DIVIDEND & INCOME TRUST
CENTRAL INDEX KEY: 0001260729
IRS NUMBER: 000000000
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: NSAR-B
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-21423
FILM NUMBER: 17653344
BUSINESS ADDRESS:
STREET 1: ONE CORPORATE CENTER
CITY: RYE
STATE: NY
ZIP: 10580
NSAR-B
1
gDivIncome.fil
PAGE 1
000 B000000 12/31/2016
000 C000000 0001260729
000 D000000 N
000 E000000 NF
000 F000000 Y
000 G000000 N
000 H000000 N
000 I000000 6.1
000 J000000 A
001 A000000 THE GABELLI DIVIDEND & INCOME TRUST
001 B000000 811-21423
001 C000000 9149215100
002 A000000 ONE CORPORATE CENTER
002 B000000 RYE
002 C000000 NY
002 D010000 10580
002 D020000 1422
003 000000 N
004 000000 N
005 000000 N
006 000000 N
007 A000000 N
007 B000000 0
007 C010100 1
008 A000001 GABELLI FUNDS, LLC
008 B000001 A
008 C000001 801-37706
008 D010001 RYE
008 D020001 NY
008 D030001 10580
008 D040001 1422
010 A000001 GABELLI FUNDS, LLC
010 B000001 801-37706
010 C010001 RYE
010 C020001 NY
010 C030001 10580
010 C040001 1422
010 A000002 BNY MELLON INVESTMENT SERVICING (US) INC.
010 B000002 84-01761
010 C010002 WILMINGTON
010 C020002 DE
010 C030002 19809
012 A000001 COMPUTERSHARE TRUST COMPANY, N.A.
012 B000001 84-05925
012 C010001 COLLEGE STATION
012 C020001 TX
012 C030001 77842
012 C040001 3170
013 A000001 PRICEWATERHOUSECOOPERS LLP
013 B010001 NEW YORK
013 B020001 NY
PAGE 2
013 B030001 10017
014 A000001 G.RESEARCH, LLC
014 B000001 8-21373
014 A000002 G.DISTRIBUTORS, LLC
014 B000002 8-68697
015 A000001 STATE STREET BANK AND TRUST COMPANY
015 B000001 C
015 C010001 BOSTON
015 C020001 MA
015 C030001 02110
015 E010001 X
018 000000 Y
019 A000000 Y
019 B000000 37
019 C000000 GABELLIGRP
020 A000001 G.RESEARCH, INC.
020 B000001 13-2885006
020 C000001 142
020 A000002 SANFORD C. BERNSTEIN & CO. LLC
020 B000002 13-4132953
020 C000002 96
020 A000003 CONVERGEX EXECUTION SOLUTIONS LLC
020 B000003 13-3989198
020 C000003 20
020 A000004 NOMURA SECURITIES INTERNATIONAL, INC.
020 B000004 13-2642206
020 C000004 19
020 A000005 MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
020 B000005 13-5674085
020 C000005 15
020 A000006 CANTOR FITZGERALD & CO.
020 B000006 13-3680184
020 C000006 14
020 A000007 MORGAN STANLEY & CO., LLC
020 B000007 13-2655998
020 C000007 14
020 A000008 STIFEL, NICOLAUS & CO., INC.
020 B000008 43-0538770
020 C000008 8
020 A000009 JEFFERIES LLC
020 B000009 95-2622900
020 C000009 7
020 A000010 JPMORGAN SECURITIES, INC.
020 B000010 13-3379014
020 C000010 6
021 000000 411
022 A000001 BARCLAYS CAPITAL, INC.
022 B000001 06-1031656
022 C000001 436959
022 D000001 221726
022 A000002 DAIWA SECURITIES AMERICA, INC.
PAGE 3
022 B000002 13-5680329
022 C000002 149329
022 D000002 9880
022 A000003 LINKED CORP.
022 C000003 0
022 D000003 52038
022 A000004 FLEETMATICS GROUP PLC
022 B000004 27-3112485
022 C000004 0
022 D000004 36000
022 A000005 CABLEVISION SYSTEMS CORP.
022 C000005 0
022 D000005 27327
022 A000006 THE ADT CORP.
022 C000006 0
022 D000006 21105
022 A000007 AIRGAS INC.
022 B000007 56-0732648
022 C000007 0
022 D000007 21021
022 A000008 CLECO CORP.
022 B000008 72-1445282
022 C000008 0
022 D000008 17442
022 A000009 MATTRESS FIRM HOLDING CORP.
022 C000009 0
022 D000009 11520
022 A000010 STANCORP FINANCIAL GROUP INC.
022 C000010 0
022 D000010 10350
023 C000000 594324
023 D000000 475193
024 000000 Y
025 A000001 JP MORGAN CHASE & CO.
025 B000001 13-3379014
025 C000001 E
025 D000001 50048
025 A000002 THE BANK OF NEW YORK MELLON CORP.
025 B000002 13-3878175
025 C000002 E
025 D000002 41884
025 A000003 MORGAN STANLEY & CO., INC.
025 B000003 13-2655998
025 C000003 E
025 D000003 11619
026 A000000 N
026 B000000 Y
026 C000000 N
026 D000000 Y
026 E000000 N
026 F000000 Y
PAGE 4
026 G010000 N
026 G020000 N
026 H000000 N
027 000000 N
028 A010000 0
028 A020000 0
028 A030000 0
028 A040000 0
028 B010000 0
028 B020000 0
028 B030000 0
028 B040000 0
028 C010000 0
028 C020000 0
028 C030000 0
028 C040000 0
028 D010000 0
028 D020000 0
028 D030000 0
028 D040000 0
028 E010000 0
028 E020000 0
028 E030000 0
028 E040000 0
028 F010000 0
028 F020000 0
028 F030000 0
028 F040000 0
028 G010000 0
028 G020000 0
028 G030000 0
028 G040000 0
028 H000000 0
030 A000000 0
030 B000000 0.00
030 C000000 0.00
031 A000000 0
031 B000000 0
032 000000 0
033 000000 0
035 000000 0
036 B000000 0
038 000000 0
042 A000000 0
042 B000000 0
042 C000000 0
042 D000000 0
042 E000000 0
042 F000000 0
042 G000000 0
042 H000000 0
PAGE 5
043 000000 0
044 000000 0
045 000000 Y
046 000000 N
047 000000 Y
048 000000 1.000
048 A010000 0
048 A020000 0.000
048 B010000 0
048 B020000 0.000
048 C010000 0
048 C020000 0.000
048 D010000 0
048 D020000 0.000
048 E010000 0
048 E020000 0.000
048 F010000 0
048 F020000 0.000
048 G010000 0
048 G020000 0.000
048 H010000 0
048 H020000 0.000
048 I010000 0
048 I020000 0.000
048 J010000 0
048 J020000 0.000
048 K010000 0
048 K020000 0.000
049 000000 N
050 000000 N
051 000000 Y
052 000000 N
053 A000000 N
054 A000000 Y
054 B000000 Y
054 C000000 Y
054 D000000 N
054 E000000 N
054 F000000 N
054 G000000 N
054 H000000 Y
054 I000000 N
054 J000000 Y
054 K000000 N
054 L000000 N
054 M000000 Y
054 N000000 N
054 O000000 N
055 A000000 N
055 B000000 N
056 000000 Y
PAGE 6
057 000000 N
058 A000000 N
059 000000 Y
060 A000000 Y
060 B000000 Y
061 000000 0
062 A000000 N
062 B000000 0.0
062 C000000 0.0
062 D000000 0.0
062 E000000 0.0
062 F000000 0.0
062 G000000 0.0
062 H000000 0.0
062 I000000 0.0
062 J000000 0.0
062 K000000 0.0
062 L000000 0.0
062 M000000 0.0
062 N000000 0.0
062 O000000 0.0
062 P000000 0.0
062 Q000000 0.0
062 R000000 0.0
063 A000000 0
063 B000000 0.0
066 A000000 Y
066 B000000 N
066 C000000 N
066 D000000 N
066 E000000 N
066 F000000 N
066 G000000 Y
067 000000 N
068 A000000 N
068 B000000 N
069 000000 N
070 A010000 Y
070 A020000 N
070 B010000 Y
070 B020000 N
070 C010000 Y
070 C020000 N
070 D010000 Y
070 D020000 N
070 E010000 Y
070 E020000 N
070 F010000 Y
070 F020000 N
070 G010000 Y
070 G020000 N
PAGE 7
070 H010000 Y
070 H020000 N
070 I010000 Y
070 I020000 N
070 J010000 Y
070 J020000 Y
070 K010000 Y
070 K020000 Y
070 L010000 Y
070 L020000 Y
070 M010000 Y
070 M020000 Y
070 N010000 Y
070 N020000 N
070 O010000 Y
070 O020000 N
070 P010000 Y
070 P020000 N
070 Q010000 N
070 Q020000 N
070 R010000 Y
070 R020000 Y
071 A000000 340592
071 B000000 409142
071 C000000 2180893
071 D000000 16
072 A000000 12
072 B000000 140
072 C000000 53098
072 D000000 0
072 E000000 389
072 F000000 22517
072 G000000 0
072 H000000 218
072 I000000 51
072 J000000 257
072 K000000 0
072 L000000 411
072 M000000 229
072 N000000 0
072 O000000 0
072 P000000 0
072 Q000000 45
072 R000000 58
072 S000000 69
072 T000000 0
072 U000000 0
072 V000000 0
072 W000000 290
072 X000000 24145
072 Y000000 15
PAGE 8
072 Z000000 29497
072AA000000 98146
072BB000000 0
072CC010000 104515
072CC020000 0
072DD010000 25230
072DD020000 0
072EE000000 83605
073 A010000 0.3100
073 A020000 0.0000
073 B000000 1.0100
073 C000000 0.0000
074 A000000 3
074 B000000 0
074 C000000 165313
074 D000000 6980
074 E000000 12478
074 F000000 2255391
074 G000000 0
074 H000000 0
074 I000000 162
074 J000000 0
074 K000000 0
074 L000000 4934
074 M000000 100
074 N000000 2445361
074 O000000 36419
074 P000000 6320
074 Q000000 0
074 R010000 0
074 R020000 1572
074 R030000 0
074 R040000 3387
074 S000000 559258
074 T000000 1838405
074 U010000 82432
074 U020000 0
074 V010000 22.30
074 V020000 0.00
074 W000000 0.0000
074 X000000 81999
074 Y000000 2000
075 A000000 0
075 B000000 2259
076 000000 20.04
077 A000000 Y
077 B000000 Y
077 C000000 N
077 D000000 N
077 E000000 N
077 F000000 N
PAGE 9
077 G000000 N
077 H000000 N
077 I000000 N
077 J000000 N
077 K000000 N
077 L000000 N
077 M000000 N
077 N000000 N
077 O000000 N
077 P000000 N
077 Q010000 N
077 Q020000 N
077 Q030000 N
078 000000 N
080 A000000 TRAVELERS-ST. PAUL FIRE & MARINE INSURANCE
080 B000000 GREAT AMERICAN INSURANCE COMPANY
080 C000000 30575
081 A000000 Y
081 B000000 47
082 A000000 N
082 B000000 0
083 A000000 N
083 B000000 0
084 A000000 N
084 B000000 0
085 A000000 Y
085 B000000 N
086 A010000 0
086 A020000 0
086 B010000 118
086 B020000 2018
086 C010000 4000
086 C020000 96625
086 D010000 0
086 D020000 0
086 E010000 0
086 E020000 0
086 F010000 0
086 F020000 0
087 A010000 COMMON STOCK
087 A020000 36242H104
087 A030000 GDV
087 B010000 PREFERRED STOCK 6.000% SERIES D
087 B020000 36242H500
087 B030000 GDV PR D
087 C010000 PREFERRED STOCK 5.250% SERIES G
087 C020000 36242H708
087 C030000 GDV PR G
088 A000000 N
088 B000000 N
088 C000000 N
PAGE 10
088 D000000 Y
SIGNATURE SCOTT R. FUCHS
TITLE ASSISTANT TREASURER
EX-99.77B ACCT LTTR
2
gDivIncome77b.txt
Report of Independent Registered Public Accounting Firm
To the Board of Trustees and Shareholders of
The Gabelli Dividend & Income Trust:
In planning and performing our audit of the financial
statements of The Gabelli Dividend & Income Trust (the "Fund")
as of and for the year ended December 31, 2016, in accordance
with the standards of the Public Company Accounting Oversight
Board (United States), we considered the Fund's internal
control over financial reporting, including controls over
safeguarding securities, as a basis for designing our auditing
procedures for the purpose of expressing our opinion on the
financial statements and to comply with the requirements of
Form N-SAR, but not for the purpose of expressing an opinion
on the effectiveness of the Fund's internal control over
financial reporting. Accordingly, we do not express an
opinion on the effectiveness of the Fund's internal control
over financial reporting.
The management of the Fund is responsible for establishing and
maintaining effective internal control over financial
reporting. In fulfilling this responsibility, estimates and
judgments by management are required to assess the expected
benefits and related costs of controls. A fund's internal
control over financial reporting is a process designed to
provide reasonable assurance regarding the reliability of
financial reporting and the preparation of financial
statements for external purposes in accordance with generally
accepted accounting principles. A fund's internal control
over financial reporting includes those policies and
procedures that (1) pertain to the maintenance of records
that, in reasonable detail, accurately and fairly reflect the
transactions and dispositions of the assets of the fund; (2)
provide reasonable assurance that transactions are recorded as
necessary to permit preparation of financial statements in
accordance with generally accepted accounting principles, and
that receipts and expenditures of the fund are being made only
in accordance with authorizations of management and trustees
of the fund; and (3) provide reasonable assurance regarding
prevention or timely detection of unauthorized acquisition,
use or disposition of a fund's assets that could have a
material effect on the financial statements.
Because of its inherent limitations, internal control over
financial reporting may not prevent or detect misstatements.
Also, projections of any evaluation of effectiveness to future
periods are subject to the risk that controls may become
inadequate because of changes in conditions, or that the
degree of compliance with the policies or procedures may
deteriorate.
A deficiency in internal control over financial reporting
exists when the design or operation of a control does not
allow management or employees, in the normal course of
performing their assigned functions, to prevent or detect
misstatements on a timely basis. A material weakness is a
deficiency, or a combination of deficiencies, in internal
control over financial reporting, such that there is a
reasonable possibility that a material misstatement of the
Fund's annual or interim financial statements will not be
prevented or detected on a timely basis.
Our consideration of the Fund's internal control over
financial reporting was for the limited purpose described in
the first paragraph and would not necessarily disclose all
deficiencies in internal control over financial reporting that
might be material weaknesses under standards established by
the Public Company Accounting Oversight Board (United States).
However, we noted no deficiencies in the Fund's internal
control over financial reporting and its operation, including
controls over safeguarding securities, that we consider to be
material weaknesses as defined above as of December 31, 2016.
This report is intended solely for the information and use of
management and the Board of Trustees of the Fund and the
Securities and Exchange Commission and is not intended to be
and should not be used by anyone other than these specified
parties.
/s/PricewaterhouseCoopers LLP
February 28, 2017
2 of 3
3 of 3