GCV Gabelli Converitble and Income Securities Fund Inc

1(a)  NAME OF ISSUER (Please type or print)

(b) IRS IDENT. NO.

(c) S.E.C. FILE NO.

 

Gabelli Convertible & Income Securities Fund Inc.

 

13-3523423

 

811-05715

1(d)  ADDRESS OF ISSUER 

STREET CITY STATE ZIP CODE

(e) TELEPHONE NO.

 

One Corporate Center                                               Rye                                                              NY          10580

AREA CODE

914

NUMBER

921-8821

 

3(a)

(b)

Name and Address of Each Broker Through Whom the Securities are to be Offered or Each Market Maker who is Acquiring the Securities

SEC USE ONLY

 

Broker-Dealer

File Number

(c)

Number of Shares

or Other Units To Be Sold

[See instr. 3(c)]

(d)

Aggregate

Market Value

([See instr. 3(d)]

(e)

Number of Shares or Other

Units Outstanding

[See instr. 3(e)]

(f)

Approximate Date of Sale

[See instr. 3(f)]

(MO          DAY          YR)

(g)

Name of Each Securities Exchange

[See instr. 3(g)]

 

Common Stock

 

G.research, LLC

One Corporate Center

Rye, NY 10580

 

2,869

 

$16,243

as of 11/18/2019

 

     18,757,524

 

11/18/2019

 

NYSE

INSTRUCTIONS:

1.  (a)  Name of Issuer

     (b)  Issuer’s I.R.S. Identification Number

     (c)  Issuer’s S.E.C. file number, if any

     (d)  Issuer’s address, including zip code

     (e)  Issuer’s telephone number, including area code

 

2.  (a)  Name of person for whose account the securities are to be sold

     (b)  Such person’s  relationship to the issuer (e.g., officer, director, 10% stockholder, or member of immediate family of any of the foregoing)

     (c)  Such person’s address, including zip code

3.  (a)  Title of the class of securities to be sold

     (b)  Name and address of each broker through whom the securities are intended to be sold

     (c)  Number of shares or other units to be sold (if debt securities, give the aggregate face amount)

     (d)  Aggregate market value of the securities to be sold as of a specified date within 10 days prior to the filing of this notice

     (e)  Number of shares or other units of the class outstanding, or if debt securities the face amount thereof outstanding, as shown by the most recent

           report or statement published by the issuer

     (f)  Approximate date on which the securities are to be sold

     (g)  Name of each securities exchange, if any, on which the securities are intended to be sold

INSTRUCTIONS:

If the securities were purchased and full payment therefore was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given.  If the consideration consisted of any note or other obligation, or if payment was made in installments, describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

INSTRUCTIONS:

See the definition of “person” in paragraph (a) of Rule 144.  Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition.  In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.

ATTENTION:

The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed.  If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.

ATTENTION:  Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)