-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, D+LV7iu+EMrGsre2CtNcpXZxJ95gog9xCOPEoFUN1YzVg9YUj3Gz+BXgtaZyy4jy 5ScA0iunIlgY00sOzCjX1g== 0001004726-98-000133.txt : 19980402 0001004726-98-000133.hdr.sgml : 19980402 ACCESSION NUMBER: 0001004726-98-000133 CONFORMED SUBMISSION TYPE: NSAR-B/A PUBLIC DOCUMENT COUNT: 5 CONFORMED PERIOD OF REPORT: 19971231 FILED AS OF DATE: 19980401 SROS: NONE FILER: COMPANY DATA: COMPANY CONFORMED NAME: GABELLI CONVERTIBLE SECURITIES FUND INC /DE CENTRAL INDEX KEY: 0000845611 STANDARD INDUSTRIAL CLASSIFICATION: [] FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: NSAR-B/A SEC ACT: SEC FILE NUMBER: 811-05715 FILM NUMBER: 98585775 BUSINESS ADDRESS: STREET 1: ONE CORPORATE CENTER CITY: RYE STATE: NY ZIP: 10580 BUSINESS PHONE: 2123098408 MAIL ADDRESS: STREET 1: ONE CORPORATE CENTER CITY: RYE YORK STATE: NY ZIP: 10580 FORMER COMPANY: FORMER CONFORMED NAME: GABELLI SERIES FUNDS INC DATE OF NAME CHANGE: 19920703 NSAR-B/A 1 N-SAR (3.0.A) PAGE 1 000 B000000 12/31/97 000 C000000 845611 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 Y 000 H000000 N 000 I000000 3.0.a 000 J000000 A 001 A000000 THE GABELLI CONVERTIBLE SECURITIES FUND, INC. 001 B000000 811-5715 001 C000000 9149215100 002 A000000 ONE CORPORATE CENTER 002 B000000 RYE 002 C000000 NY 002 D010000 10580 002 D020000 1434 003 000000 N 004 000000 N 005 000000 N 006 000000 N 007 A000000 N 007 B000000 0 007 C010100 1 007 C010200 2 007 C010300 3 007 C010400 4 007 C010500 5 007 C010600 6 007 C010700 7 007 C010800 8 007 C010900 9 007 C011000 10 008 A000001 GABELLI FUNDS, INC. 008 B000001 A 008 C000001 801-37706 008 D010001 RYE 008 D020001 NY 008 D030001 10580 008 D040001 1434 010 A000001 GABELLI FUNDS, INC. 010 B000001 801-37706 010 C010001 RYE 010 C020001 NY 010 C030001 10580 010 C040001 1434 010 A000002 BISYS FUND SERVICES L.P. 010 B000002 8-32480 010 C010002 COLUMBUS 010 C020002 OH 010 C030002 43219 PAGE 2 012 A000001 STATE STREET BANK & TRUST COMPANY 012 B000001 85-05003 012 C010001 BOSTON 012 C020001 MA 012 C030001 02171 013 A000001 PRICE WATERHOUSE LLP 013 B010001 NEW YORK 013 B020001 NY 013 B030001 10036 014 A000001 GABELLI & COMPANY, INC. 014 B000001 8-21373 014 A000002 IFG NETWORK SECURITIES 014 B000002 8-37937 014 A000003 KEELEY INVESTMENT CORP. 014 B000003 8-20353 015 A000001 STATE STREET BANK & TRUST COMPANY 015 B000001 C 015 C010001 BOSTON 015 C020001 MA 015 C030001 02171 015 E010001 X 018 000000 Y 019 A000000 Y 019 B000000 16 019 C000000 GABELLIGRP 020 A000001 GABELLI & COMPANY, INC. 020 B000001 13-2885006 020 C000001 60 020 A000002 ALLEN & CO., INC 020 B000002 13-6176976 020 C000002 24 020 A000003 MERRILL LYNCH & CO., INC. 020 B000003 13-5674085 020 C000003 14 020 A000004 EVEREN SECURITIES 020 B000004 34-1542819 020 C000004 13 020 A000005 ASIEL & CO., INC 020 B000005 13-3618919 020 C000005 6 020 A000006 PAINEWEBBER & CO., INC 020 B000006 13-2638166 020 C000006 5 020 A000007 LEHMAN BROTHERS INC. 020 B000007 13-2518466 020 C000007 4 020 A000008 SALOMON BROTHERS, INC. 020 B000008 13-3082694 020 C000008 4 020 A000009 J.P. 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6 0000845611 THE GABELLI CONVERTIBLE SECURITIES FUND, INC. 01 THE GABELLI CONVERTIBLE SECURITIES FUND, INC. YEAR DEC-31-1997 JAN-01-1997 DEC-31-1997 114,872,726 124,122,073 1,490,038 2,624 0 125,614,735 319,416 0 2,913,309 3,232,725 30,000,000 83,375,040 8,048,345 8,092,945 0 152,426 0 89,888 9,249,284 122,382,010 1,191,084 4,277,973 0 1,546,680 3,922,377 5,390,142 4,526,049 13,838,568 0 3,206,103 4,536,237 0 0 44,600 0 32,722,719 0 0 241,821 64,030 1,117,059 0 1,546,680 111,623,569 11.08 0.92 0.44 0.40 0.56 0 11.48 1.68 0 0
EX-99 3 February 20, 1998 To the Shareholders and Board of Directors of The Gabelli Convertible Securities Fund, Inc. In planning and performing our audit of the financial statements of The Gabelli Convertible Securities Fund, Inc. (the "Fund") for the year ended December 31, 1997, we considered its internal control, including control activities for safeguarding securities, in order to determine our auditing procedures for the purpose of expressing our opinion on the financial statements and to comply with the requirements of Form N-SAR, not to provide assurance on internal control. The management of the Fund is responsible for establishing and maintaining internal control. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of control activities. Generally, control activities that are relevant to an audit pertain to the entity's objective of preparing financial statements for external purposes that are fairly presented in conformity with generally accepted accounting principles. Those control activities include the safeguarding of assets against unauthorized acquisition, use or disposition. Because of inherent limitations in internal control, errors or irregularities may occur and not be detected. Also, projection of any evaluation of internal control to future periods is subject to the risk that it may become inadequate because of changes in conditions or that the effectiveness of the design and operation may deteriorate. Our consideration of internal control would not necessarily disclose all matters in internal control that might be material weaknesses under standards established by the American Institute of Certified Public Accountants. A material weakness is a condition in which the design or operation of any specific internal control components does not reduce to a relatively low level the risk that errors or irregularities in amounts that would be material in relation to the financial statements being audited may occur and not be detected within a timely period by employees in the normal course of performing their assigned functions. However, we noted no matters involving internal control, including control activities for safeguarding securities, that we consider to be material weaknesses as defined above as of December 31, 1997. This report is intended solely for the information and use of management and the Board of Directors of the Fund and the Securities and Exchange Commission. PRICE WATERHOUSE LLP EX-99 4 EXHIBIT 77.I. The 8% Cumulative Preferred Stock, liquidation preference $25 per share to be issued by The Gabelli Convertible Securities Fund, Inc. will be senior securities of the Fund. The Fund is a closed-end diversified management investment company. Dividends on the Cumulative Preferred Stock offered hereby, at the annual rate of 8% of the liquidation preference of $25 per share, are cumulative from the Date of Original Issue and payable quarterly. EX-22 5 Annual Meeting of Stockholders of The Gabelli Convertible Securities Fund May 12, 1997 PROPOSAL I To elect three Directors of The Gabelli Convertible Securities Fund, Inc. Number of Shares/Votes For Authority Withheld Dugald A. Fletcher 4,887,660.4983 227,264.8432 Anthony R. Pustorino 4,868,821.6091 246,103.7324 E. Val Cerutti 4,884,983.1543 229,942.1872 PROPOSAL II To ratify the selection of Price Waterhouse LLP as the independent accountants of The Gabelli Convertible Securities Fund, Inc. for the year ending December 31, 1997. For 4,934,918.6221 Against 146,066.1099 Abstain 33,940.6095 -----END PRIVACY-ENHANCED MESSAGE-----