0001193125-18-092328.txt : 20180323 0001193125-18-092328.hdr.sgml : 20180323 20180322180933 ACCESSION NUMBER: 0001193125-18-092328 CONFORMED SUBMISSION TYPE: 8-A12B PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20180323 DATE AS OF CHANGE: 20180322 FILER: COMPANY DATA: COMPANY CONFORMED NAME: GDL FUND CENTRAL INDEX KEY: 0001378701 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-A12B SEC ACT: 1934 Act SEC FILE NUMBER: 001-33265 FILM NUMBER: 18707878 BUSINESS ADDRESS: STREET 1: ONE CORPORATE CENTER CITY: RYE STATE: NY ZIP: 10580 BUSINESS PHONE: 914-921-5100 MAIL ADDRESS: STREET 1: ONE CORPORATE CENTER CITY: RYE STATE: NY ZIP: 10580 FORMER COMPANY: FORMER CONFORMED NAME: Gabelli Global Deal Fund DATE OF NAME CHANGE: 20061019 8-A12B 1 d524047d8a12b.htm GDL FUND 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.R.S. Employer Identification No.)

 

One Corporate Center

Rye, New York

   10580-1422
(Address of principal executive offices)   (zip code)

Securities to be registered pursuant to Section 12(b) of the Act:

 

Title of each class

to be so registered

  

Name of each exchange on which

each class is to be registered

Series C Cumulative Puttable and Callable Preferred Shares   New York Stock Exchange

 

 

If this form relates to the registration of a class of securities pursuant to Section 12(b) of the Exchange Act and is effective pursuant to General Instruction A.(c), check the following box.  ☒

If this form relates to the registration of a class of securities pursuant to Section 12(g) of the Exchange Act and is effective pursuant to General Instruction A.(d), check the following box.  ☐

Securities Act registration statement file number to which this form relates: 333-213902

Securities to be registered pursuant to Section 12(g) of the Act: None

 

 

 

Item 1. Description of Registrant’s Securities to be Registered.

The sections captioned “Description of the Securities” in the Registrant’s Prospectus, dated December 15, 2017, and “Summary of the Terms of the Series C Preferred Shares” and “Special Features and Risks of the Series C Preferred Shares” in the Registrant’s Prospectus Supplement, dated February 14, 2018, both filed pursuant to Rule 497 under the Securities Act of 1933 (File No. 333-213902) on February 14, 2018, are incorporated herein by reference.

 

Item 2. Exhibits.

The following exhibits have been filed with the Securities and Exchange Commission and are incorporated by reference to the Registrant’s Post-Effective Amendment No. 1 to the Registrant’s Registration Statement on Form N-2, File Nos. 333-213902 and 811-21969, as filed with the Securities and Exchange Commission on February 15, 2018:

 

(1)    Amended and Restated Agreement and Declaration of Trust of Registrant
(2)    Statement of Preferences of the Series C Cumulative Puttable And Callable Preferred Shares
(3)    Amended & Restated By-Laws of Registrant
(4)    Form of Subscription Certificate for Series C Preferred Shares

Pursuant to the requirements of Section 12 of the Securities Exchange Act of 1934, the registrant has duly caused this registration statement to be signed on its behalf by the undersigned, thereto duly authorized.

 

 

The GDL Fund

    (Registrant)
By:  

/s/ Bruce N. Alpert

  Name:   Bruce N. Alpert
  Title:   President and Principal Executive Officer

Date: March 22, 2018