Purchases and Sales Made in Q3 2023 in Gabelli Dividend & Income Trust (GDV)

This table provides information about the institutional ownership of Gabelli Dividend & Income Trust (GDV) during Q3 2023. The information is specifically focused on institutions that hold shares of GABELLI DIVIDEND & INCOME TRUST.

Report Date	Institution (Fund)	Operation	Option	Shares change	Value Range	Shares Held	Trade History
Report Date	Institution (Fund)	Operation	Option	Shares change	Value Range	Shares Held	Trade History
Nov 02, 2023 Q3 2023	Private Advisor Group, LLC	BUY	-	772 + 5.93%	$15K - $16.9K	13.8K $337K
Nov 14, 2023 Q3 2023	Flaharty Asset Management, LLC	BUY	-	652 New	$12.6K - $14.3K	652 $15.9K
Oct 25, 2023 Q3 2023	Kennedy Investment Group West Depford, NJ	BUY	-	641 + 1.53%	$12.4K - $14K	42.6K $1.04M
Nov 13, 2023 Q3 2023	Salomon & Ludwin, LLC	BUY	-	548 New	$10.6K - $12K	548 $13.4K
Nov 13, 2023 Q3 2023	Prospera Financial Services Inc	BUY	-	450 + 1.26%	$8.72K - $9.86K	36.1K $881K
Nov 07, 2023 Q3 2023	Pinnacle Wealth Planning Services, Inc.	BUY	-	383 + 3.88%	$7.42K - $8.39K	10.2K $250K
Oct 26, 2023 Q3 2023	Park Avenue Securities LLC	BUY	-	304 + 0.35%	$5.89K - $6.66K	86.3K $2.11M
Nov 14, 2023 Q3 2023	Baker Avenue Asset Management, LP	BUY	-	236 + 7.87%	$4.57K - $5.17K	3.24K $79K
Nov 08, 2023 Q3 2023	Morris Retirement Advisors, LLC Parsippany, NJ	BUY	-	217 + 1.98%	$4.2K - $4.75K	11.2K $274K
Nov 14, 2023 Q3 2023	Ameriprise Financial Inc Minneapolis, MN	BUY	-	210 + 1.75%	$4.07K - $4.6K	12.2K $298K
Nov 14, 2023 Q3 2023	Wedbush Securities Inc	BUY	-	202 + 0.62%	$3.91K - $4.43K	32.9K $803K
Nov 08, 2023 Q3 2023	Huntington National Bank Columbus, OH	BUY	-	167 + 16700.0%	$3.23K - $3.66K	168 $4.1K
Nov 01, 2023 Q3 2023	Ellis Investment Partners, LLC	BUY	-	165 + 1.59%	$3.2K - $3.62K	10.6K $258K
Nov 06, 2023 Q3 2023	North Star Investment Management Corp. Chicago, IL	BUY	-	152 + 0.43%	$2.94K - $3.33K	35.9K $877K
Nov 07, 2023 Q3 2023	Kestra Private Wealth Services, LLC	BUY	-	140 + 1.4%	$2.71K - $3.07K	10.1K $247K
Oct 10, 2023 Q3 2023	Integrated Capital Management, Inc.	BUY	-	135 + 1.23%	$2.61K - $2.96K	11.1K $271K
Oct 05, 2023 Q3 2023	Quad Cities Investment Group, LLC Davenport, IA	BUY	-	106 + 0.9%	$2.05K - $2.32K	11.9K $291K
Nov 14, 2023 Q3 2023	Northwestern Mutual Wealth Management CO	BUY	-	101 New	$1.96K - $2.21K	101 $2.47K
Oct 31, 2023 Q3 2023	Alpha Mark Advisors, LLC Ft. Wright, KY	BUY	-	100 New	$1.94K - $2.19K	100 $2.44K
Oct 18, 2023 Q3 2023	Aurora Private Wealth, Inc.	BUY	-	89 + 0.68%	$1.72K - $1.95K	13.3K $324K
Oct 24, 2023 Q3 2023	Eudaimonia Partners, LLC Winchester, TN	BUY	-	44 + 0.24%	$852 - $964	18.5K $451K
Oct 31, 2023 Q3 2023	Allworth Financial LP	BUY	-	32 + 0.7%	$620 - $701	4.63K $113K
Nov 13, 2023 Q3 2023	Baird Financial Group, Inc. Milwaukee, WI	BUY	-	31 + 0.25%	$600 - $679	12.3K $301K
Nov 08, 2023 Q3 2023	Atria Wealth Solutions, Inc. New York, NY	BUY	-	26 + 0.22%	$504 - $570	11.9K $291K
Oct 11, 2023 Q3 2023	Cwm, LLC	BUY	-	23 + 1.63%	$446 - $504	1.43K $35K
Oct 31, 2023 Q3 2023	Transcend Capital Advisors, LLC	BUY	-	18 + 0.04%	$349 - $394	41.3K $1.01M
Nov 15, 2023 Q3 2023	Harbour Investments, Inc. Madison, WI	BUY	-	18 + 1.63%	$349 - $394	1.12K $27.4K
Nov 01, 2023 Q3 2023	Focused Wealth Management, Inc	BUY	-	13 + 1.56%	$252 - $285	844 $20.6K
Oct 11, 2023 Q3 2023	Armstrong Advisory Group, Inc Needham, MA	BUY	-	12 + 1.5%	$232 - $263	810 $19.8K
Oct 25, 2023 Q3 2023	Concourse Financial Group Securities, Inc. Birmingham, AL	BUY	-	0 New	$0 - $0	0 $0
Oct 10, 2023 Q3 2023	Activest Wealth Management	BUY	-	0 New	$0 - $0	0 $0
Oct 30, 2023 Q3 2023	Concourse Financial Group Securities, Inc. Birmingham, AL	BUY	-	0 New	$0 - $0	0 $0
Nov 14, 2023 Q3 2023	Smith, Moore & Co. Clayton, MO	SELL	-	-100 - 0.68%	$1.94K - $2.19K	14.5K $355K
Oct 10, 2023 Q3 2023	Maltin Wealth Management, Inc.	SELL	-	-107 - 0.41%	$2.07K - $2.34K	25.7K $627K
Oct 23, 2023 Q3 2023	Commonwealth Equity Services, LLC	SELL	-	-284 - 0.35%	$5.5K - $6.22K	80.6K $1.97M
Nov 15, 2023 Q3 2023	Integrated Wealth Concepts LLC	SELL	-	-412 - 0.35%	$7.98K - $9.03K	118K $2.87M
Oct 10, 2023 Q3 2023	Stolper CO	SELL	-	-460 - 1.18%	$8.91K - $10.1K	38.5K $940K
Oct 12, 2023 Q3 2023	Ifp Advisors, Inc	SELL	-	-541 - 30.11%	$10.5K - $11.9K	1.26K $30.7K
Nov 14, 2023 Q3 2023	Cetera Advisor Networks LLC El Segundo, CA	SELL	-	-657 - 2.67%	$12.7K - $14.4K	23.9K $584K
Nov 13, 2023 Q3 2023	First Trust Advisors LP Wheaton, IL	SELL	-	-669 - 0.65%	$13K - $14.7K	103K $2.51M
Oct 19, 2023 Q3 2023	Oak Harbor Wealth Partners, LLC	SELL	-	-700 - 5.0%	$13.6K - $15.3K	13.3K $325K
May 20, 2024 Q3 2023	Parallel Advisors, LLC	SELL	-	-723 - 41.96%	$14K - $15.8K	1K $24.4K
Nov 13, 2023 Q3 2023	Parallel Advisors, LLC	SELL	-	-723 - 41.96%	$14K - $15.8K	1K $24.4K
Oct 10, 2023 Q3 2023	Avondale Wealth Management	SELL	-	-884 - 40.48%	$17.1K - $19.4K	1.3K $31.7K
Nov 08, 2023 Q3 2023	9258 Wealth Management, LLC	SELL	-	-933 - 3.08%	$18.1K - $20.4K	29.4K $717K
Nov 07, 2023 Q3 2023	First Republic Investment Management, Inc. San Francisco, CA	SELL	-	-1.23K - 6.93%	$23.7K - $26.9K	16.5K $402K
Nov 08, 2023 Q3 2023	High Tower Advisors, LLC Chicago, IL	SELL	-	-1.35K - 9.82%	$26.1K - $29.5K	12.4K $302K
Nov 13, 2023 Q3 2023	Tradition Wealth Management, LLC	SELL	-	-1.74K - 26.76%	$33.6K - $38K	4.75K $116K
Oct 13, 2023 Q3 2023	Institute For Wealth Management, Llc.	SELL	-	-2.32K - 9.89%	$44.9K - $50.8K	21.1K $516K
Nov 14, 2023 Q3 2023	Ancora Advisors, LLC Cleveland, OH	SELL	-	-2.35K - 24.28%	$45.5K - $51.5K	7.33K $179K

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Operation

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Value

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Type

P - Open market or private purchase×

S - Open market or private sale×

V - Transaction voluntarily reported earlier than required×

A - Grant, award, or other acquisition×

D - Sale (or disposition) back to the issuer×

F - Payment of exercise price or tax liability×

I - Discretionary transaction×

M - Exercise of conversion of derivative security×

C - Conversion of derivative security×

E - Expiration of short derivative position×

H - Expiration (or cancellation) of long derivative position with value received×

O - Exercise of out-of-the-money derivative securities×

X - Exercise of in-the-money or at-the-money derivatives securities×

G - Bona fide gift×

L - Small Acquisition×

W - Acquisition or disposition by will or laws×

Z - Deposit into or withdrawal from voting trust×

J - Other acquisition or disposition×

K - Transaction in equity swap or similar instrument×

U - Disposition due to a tender of shares in a change of control transaction×

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Account

Purchases and Sales Made in Q3 2023 in Gabelli Dividend & Income Trust (GDV)

772

652

641

548

450

383

304

236

217

210

202

167

165

152

140

135

106

101

100

89

44

32

31

26

23

18

18

13

12

0

0

0

-100

-107

-284

-412

-460

-541

-657

-669

-700

-723

-723

-884

-933

-1.23K

-1.35K

-1.74K

-2.32K

-2.35K

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