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2023-03-16
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2023-03-16
2023-03-16
As filed with the Securities and Exchange Commission on March 16, 2023
Securities Act File No. 333-257573
Investment Company Act File No. 811-05715
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
Form N-2
(Check Appropriate Box or Boxes)
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REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 |
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Pre-Effective Amendment No. |
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Post-Effective Amendment No. 2 |
and/or
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REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 |
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Amendment No. 24 |
THE GABELLI CONVERTIBLE
AND INCOME SECURITIES FUND INC.
(Exact name of Registrant as specified in Charter)
One Corporate Center
Rye, New York 10580-1422
(Address of Principal Executive Offices)
Registrant’s Telephone Number, including Area Code: (800) 422-3554
John C. Ball
The Gabelli Convertible and Income Securities Fund Inc.
One Corporate Center
Rye, New York 10580-1422
(914) 921-5100
(Name and Address of Agent for Service)
Copies to:
Peter Goldstein, Esq. |
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The Gabelli Convertible and Income |
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Kenneth E. Burdon, Esq. |
Securities Fund Inc. |
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Skadden, Arps, Slate, Meagher & Flom LLP |
One Corporate Center |
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500 Boylston Street |
Rye, New York 10580-1422 |
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Boston, Massachusetts 02116 |
(914) 921-5100 |
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(617) 573-4800 |
Approximate Date of Commencement of Proposed Public Offering: From time to time after the effective date of this Registration Statement.
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Check box if the only securities being registered on this Form are being offered pursuant to dividend or interest reinvestment plans. |
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Check box if any securities being registered on this Form will be offered on a delayed or continuous basis in reliance on Rule 415 under the Securities Act of 1933 (“Securities Act”), other than securities offered in connection with a dividend reinvestment plan. |
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Check box if this Form is a registration statement pursuant to General Instruction A.2 or a post-effective amendment thereto. |
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Check box if this Form is a registration statement pursuant to General Instruction B or a post-effective amendment thereto that will become effective upon filing with the Commission pursuant to Rule 462(e) under the Securities Act. |
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Check box if this Form is a post-effective amendment to a registration statement filed pursuant to General Instruction B to register additional securities or additional classes of securities pursuant to Rule 413(b) under the Securities Act. |
It is proposed that this filing will become effective (check appropriate box):
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when declared effective pursuant to section 8(c) of the Securities Act |
If appropriate, check the following box:
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This [post-effective] amendment designates a new effective date for a previously filed [post-effective amendment] [registration statement]. |
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This Form is filed to register additional securities for an offering pursuant to Rule 462(b) under the Securities Act, and the Securities Act registration statement number of the earlier effective registration statement for the same offering is: . |
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This Form is a post-effective amendment filed pursuant to Rule 462(c) under the Securities Act, and the Securities Act registration statement number of the earlier effective registration statement for the same offering is: . |
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This Form is a post-effective amendment filed pursuant to Rule 462(d) under the Securities Act, and the Securities Act registration statement number of the earlier effective registration statement for the same offering is: 333-257573. |
Check each box that appropriately characterizes the Registrant:
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Registered Closed-End Fund (closed-end company that is registered under the Investment Company Act of 1940 (the “Investment Company Act”)). |
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Business Development Company (closed-end company that intends or has elected to be regulated as a business development company under the Investment Company Act). |
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Interval Fund (Registered Closed-End Fund or a Business Development Company that makes periodic repurchase offers under Rule 23c-3 under the Investment Company Act). |
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A.2 Qualified (qualified to register securities pursuant to General Instruction A.2 of this Form). |
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Well-Known Seasoned Issuer (as defined by Rule 405 under the Securities Act). |
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Emerging Growth Company (as defined by Rule 12b-2 under the Securities and Exchange Act of 1934). |
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If an Emerging Growth Company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 7(a)(2)(B) of the Securities Act. |
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New Registrant (registered or regulated under the Investment Company Act for less than 12 calendar months preceding this filing). |
Explanatory Note
This Post-Effective Amendment No. 2 to the
Registration Statement on Form N-2 (File No. 333-257573) of The Gabelli Convertible and Income Securities Fund Inc. (the “Registration
Statement”) is being filed pursuant to Rule 462(d) under the Securities Act of 1933, as amended (the “Securities
Act”), solely for the purpose of filing exhibits to the Registration Statement. Accordingly, this Post-Effective Amendment No. 2
consists only of a facing page, this explanatory note and Part C of the Registration Statement on Form N-2 setting forth the
exhibits to the Registration Statement. This Post-Effective Amendment No. 2 does not modify any other part of the Registration Statement.
Pursuant to Rule 462(d) under the Securities
Act, this Post-Effective Amendment No. 2 shall become effective immediately upon filing with the Securities and Exchange Commission.
The contents of the Registration Statement are hereby incorporated by reference.
PART C
OTHER
INFORMATION
Item 25. Financial Statements and Exhibits
Part A
The audited financial statements, which include the Financial Highlights for years ended 2022, 2021, 2020, 2019 and 2018 included in the annual report to the Fund’s shareholders for the fiscal year ended December 31, 2022 (the “2022 Annual Report”), together with the report of Tait, Weller & Baker, LLP thereon, are incorporated by reference to the 2022 Annual Report in Part A.
The Financial Highlights for years ended 2017,
2016, 2015, 2014, and 2013 included in the 2022 Annual Report are incorporated by reference to the 2022 Annual Report in Part A.
Part B
None
(a)(1) |
Articles of Amendment and Restatement of Registrant (1) |
(a)(2) |
Articles of Amendment to the Articles of Amendment and Restatement of the Registrant, dated July 30, 2002 (2) |
(a)(3) |
Articles Supplementary Creating and Fixing the Rights of Series C Auction Rate Cumulative Preferred Stock, dated March 13, 2003 (3) |
(a)(4) |
Articles Supplementary for election to be subject to Section 3 - 804 (c) of the Maryland General Corporation Law (4) |
(a)(5) |
Articles Supplementary Creating and Fixing the Rights of Series E 4.00% Cumulative Preferred Stock (5) |
(a)(6) |
Articles Supplementary Creating and Fixing the Rights of Series G Cumulative Preferred Stock* |
(a)(7) |
Articles Supplementary for the Series [ ] Preferred Stock ** |
(b)(1) |
Amended and Restated Bylaws of the Registrant (4) |
(b)(2) |
Amendment No. 3 to the Amended and Restated Bylaws of Registrant, dated February 16, 2023* |
(b)(3) |
Amendment No. 2 to the Amended and Restated Bylaws of Registrant, dated August 17, 2022(12) |
(b)(2) |
Amendment No. 1 to the Amended and Restated Bylaws of the Registrant, dated February 22, 2018 (2) |
(c) |
Not applicable |
(d)(1) |
Form of Subscription Certificate for Shares of Common Stock ** |
(d)(2) |
Form of Subscription Certificate for Shares of [ ]% Series Cumulative Preferred Stock ** |
(d)(3) |
Form of Subscription Certificate for Shares of Common Stock and [ ]% Series Cumulative Preferred Shares ** |
(d)(4) |
Form of Indenture (5) |
(d)(5) |
Form T-1 Statement of Eligibility of Trustee with respect to the Form of Indenture ** |
(d)(6) |
Form of Notice of Guaranteed Delivery ** |
(e) |
Automatic Dividend Reinvestment and Voluntary Cash Purchase Plan (6) |
(f) |
Not applicable |
(g) |
Investment Advisory Agreement between the Registrant and Gabelli Funds, LLC (7) |
(h)(1) |
Form of Underwriting Agreement ** |
(h)(2) |
Form of Dealer Manager Agreement ** |
(i) |
Not applicable |
(j) |
Custodian Agreement between the Registrant and State Street Bank and Trust Company (7) |
(k)(1) |
Transfer Agency and Service Agreement among Registrant, Computershare Trust Company, N.A. and Computershare Inc. (2) |
(k)(2) |
Amendment No. 1 to Transfer Agency and Service Agreement among Registrant, Computershare Trust Company, N.A. and Computershare Inc. (2) |
(k)(3) |
Amendment No. 2 to Transfer Agency and Service Agreement among Registrant, Computershare Trust Company, N.A. and Computershare Inc. (2) |
(k)(4) |
Amendment No. 3 to Transfer Agency and Service Agreement among Registrant, Computershare Trust Company, N.A. and Computershare Inc. (2) |
(k)(5) |
Amendment No. 4 to Transfer Agency and Service Agreement among Registrant, Computershare Trust Company, N.A. and Computershare Inc. (2) |
(k)(6) |
Amendment No. 5 to Transfer Agency and Service Agreement among Registrant, Computershare Trust Company, N.A. and Computershare Inc. (2) |
(k)(7) |
Amendment No. 6 to Transfer Agency and Service Agreement among Registrant, Computershare Trust Company, N.A. and Computershare Inc. (2) |
(k)(8) |
Amendment No. 7 to Transfer Agency and Service Agreement among Registrant, Computershare Trust Company, N.A. and Computershare Inc. (2) |
(k)(9) |
Amendment No. 8 to Transfer Agency and Service Agreement among Registrant, Computershare Trust Company, N.A. and Computershare Inc. (2) |
(k)(10) |
Amendment No. 9 to Transfer Agency and Service Agreement among Registrant, Computershare Trust Company, N.A. and Computershare Inc. (2) |
(k)(11) |
Amendment No. 10 to Transfer Agency and Service Agreement among Registrant, Computershare Trust Company, N.A. and Computershare Inc. (2) |
(k)(12) |
Amendment No. 11 to Transfer Agency and Service Agreement among Registrant, Computershare Trust Company, N.A. and Computershare Inc. (2) |
(k)(13) |
Amendment No. 12 to Transfer Agency and Service Agreement among Registrant, Computershare Trust Company, N.A. and Computershare Inc. (8) |
(k)(14) |
Amendment No. 13 to Transfer Agency and Service Agreement among Registrant, Computershare Trust Company, N.A. and Computershare Inc. (8) |
(k)(15) |
Amendment No. 14 to Transfer Agency and Service Agreement among Registrant, Computershare Trust Company, N.A. and Computershare Inc. (8) |
(k)(16) |
Amendment No. 15 to Transfer Agency and Service Agreement among Registrant, Computershare Trust Company, N.A. and Computershare Inc. (8) |
(k)(17) |
Amendment No. 16 to Transfer Agency and Service Agreement among Registrant, Computershare Trust Company, N.A. and Computershare Inc. (8) |
| ** | To be filed by Amendment. |
| (1) | Incorporated by reference to the Registrant’s Registration Statement on Form N-2, File Nos.
333-26644 and 811-05715, as filed with the Securities and Exchange Commission on March 31, 1995. |
| (2) | Incorporated by reference to the Registrant’s Registration Statement on Form N-2, File Nos.
333-224305 and 811-05715, as filed with the Securities and Exchange Commission on April 16, 2018. |
| (3) | Incorporated by reference to the Registrant’s Pre-Effective Amendment No. 4 to the Registrant’s
Registration Statement on Form N-2, File Nos. 333-102494 and 811-05715, as filed with the Securities and Exchange Commission on March 13,
2003. |
| (4) | Incorporated by reference to the Registrant’s Form 8-K, File No. 811-05715, as filed with
the Securities and Exchange Commission on December 9, 2010. |
| (5) | Incorporated by reference to the Registrant’s Registration Statement on Form N-2, File Nos.
333-257573 and 811-05715, as filed with the Securities and Exchange Commission on June 30, 2021. |
| (6) | Included in Prospectus. |
| (7) | Incorporated by reference to the Registrant’s Registration Statement on Form N-2, File Nos.
333-24541 and 811-05715, as filed with the Securities and Exchange Commission on May 9, 1997. |
| (8) | Incorporated by reference to The Gabelli Multimedia Trust Inc.’s post-effective amendment No. 4
to the Registration Statement on Form N-2, File No. 333-218771 and 811-08476, as filed with the Securities and Exchange Commission
on December 20, 2019. |
| (9) | Incorporated by reference to The Gabelli Dividend & Income Trust’s Tender Offer Statement
on Schedule TO, File No. 005- 84324, filed on March 17, 2021. |
| (10) | Incorporated by reference to the Registrant’s Pre-Effective Amendment No. 1 to the Registration
Statement on Form N-2, File Nos. 333-257573 and 811-05715, as filed with the Securities and Exchange Commission on August 11,
2021. |
| (11) | Incorporated by reference to the Registrant’s Annual Report on Form N-CSR for the year ended
December 31, 2022, as filed with the Securities and Exchange Commission on March 9, 2023 |
| (12) | Incorporated by reference to the Registrant’s Post-Effective Amendment No. 1 to the Registration
Statement on Form N-2, File Nos. 333-257573 and 811-05715, as filed with the Securities and Exchange Commission on August 25,
2022. |
Item 26. Marketing Arrangements
The information contained under the heading “Plan
of Distribution” in the Prospectus is incorporated by reference, and any information concerning any underwriters will be contained
in the accompanying Prospectus Supplement, if any.
Item 27. Other Expenses of Issuance and Distribution
The following table sets forth the estimated expenses
to be incurred in connection with the offering described in this Registration Statement:
SEC registration fees | |
$ | 13,638 | |
NYSE listing fee | |
$ | 65,328 | |
Rating Agency fees | |
$ | 50,000 | |
Printing/engraving expenses | |
$ | 202,000 | |
Auditing fees and expenses | |
$ | 40,000 | |
Legal fees and expenses | |
$ | 365,000 | |
Miscellaneous | |
$ | 128,034 | |
Total | |
$ | 864,000 | |
Item 28. Persons Controlled by or Under Common Control with Registrant
None.
Item 29. Number of Holders of Securities as of March 7, 2023
Title of Class | |
Number of Record Holders | |
Common Shares of Beneficial Interest | |
| 701 | |
Series G Cumulative Preferred Stock | |
| 16 | |
Item 30. Indemnification
Maryland law permits a Maryland corporation to
include in its charter a provision limiting the liability of its directors and officers to the corporation and its shareholders for money
damages except for liability resulting from (a) actual receipt of an improper benefit or profit in money, property or services or
(b) active and deliberate dishonesty established by a final judgment as being material to the cause of action. The Registrant’s
charter contains such a provision which eliminates directors’ and officers’ liability to the maximum extent permitted by Maryland
law, subject to the requirements of the Investment Company Act of 1940, as amended (the “1940 Act”).
The Registrant’s charter and bylaws obligate
the Registrant to the maximum extent permitted by Maryland law and subject to the requirements of the 1940 Act to indemnify any present
or former director or officer and the Registrant’s bylaws obligate the Registrant to the maximum extent permitted by Maryland law
and the Securities Act of 1933, as amended, and subject to the requirements of the 1940 Act, to indemnify any individual who, while serving
as the
Registrant’s director or officer and at
the Registrant’s request, serves or has served another corporation, partnership, joint venture, trust, enterprise or employee benefit
plan as a director, officer, partner, trustee employee, agent or fiduciary, from and against any claim or liability to which that person
may become subject or which that person may incur by reason of his or her service in any such capacity and to pay or reimburse their
reasonable expenses in advance of final disposition of a proceeding. The bylaws also permit the Registrant to indemnify and advance expenses
to any of the Registrant’s employees or agents. In accordance with the 1940 Act, the Registrant’s will not indemnify any
person for any liability to which such person would be subject by reason of such person’s willful misfeasance, bad faith, gross
negligence or reckless disregard of the duties involved in the conduct of his or her office.
Maryland law requires a corporation (unless its
charter provides otherwise, which the Registrant’s charter does not) to indemnify a director or officer who has been successful
in the defense of any proceeding to which he or she is made, or threatened to be made, a party by reason of his or her service in that
capacity. Maryland law permits a corporation to indemnify its present and former directors and officers, among others, against judgments,
penalties, fines, settlements and reasonable expenses actually incurred by them in connection with any proceeding to which they may be
made, or threatened to be made, a party by reason of their service in those or other capacities unless it is established that (a) the
act or omission of the director or officer was material to the matter giving rise to the proceeding and (1) was committed in bad
faith or (2) was the result of active and deliberate dishonesty, (b) the director or officer actually received an improper personal
benefit in money, property or services or (c) in the case of any criminal proceeding, the director or officer had reasonable cause
to believe that the act or omission was unlawful. However, under Maryland law, a Maryland corporation may not indemnify for an adverse
judgment in a suit by or in the right of the corporation or for a judgment of liability on the basis that a personal benefit was improperly
received unless, in either case, a court orders indemnification, and then only for expenses. In addition, Maryland law permits a corporation
to advance reasonable expenses to a director or officer in advance of final disposition of a proceeding upon the corporation’s receipt
of (a) a written affirmation by the director or officer of his or her good faith belief that he or she has met the standard of conduct
necessary for indemnification by the corporation and (b) a written undertaking by him or her or on his or her behalf to repay the
amount paid or reimbursed by the corporation if it is ultimately determined that the standard of conduct was not met. The advancement
of expenses is subject to additional limitations pursuant to the 1940 Act.
Section 9 of the Registrant’s Investment Advisory Agreement
provides as follows:
9. Indemnity
(a) The Registrant hereby agrees to indemnify
the Adviser and each of the Adviser’s trustees, officers, employees, and agents (including any individual who serves at the Adviser’s
request as director, officer, partner, trustee or the like of another corporation) and controlling persons (each such person being an
“indemnitee”) against any liabilities and expenses, including amounts paid in satisfaction of judgments, in compromise or
as fines and penalties, and counsel fees (all as provided in accordance with applicable corporate law) reasonably incurred by such indemnitee
in connection with the defense or disposition of any action, suit or other proceeding, whether civil or criminal, before any court or
administrative or investigative body in which he may be or may have been involved as a party or otherwise or with which he may be or may
have been threatened, while acting in any capacity set forth above in this paragraph or thereafter by reason of his having acted in any
such capacity, except with respect to any matter as to which he shall have been adjudicated not to have acted in good faith in the reasonable
belief that his action was in the best interest of the Fund and furthermore, in the case of any criminal proceeding, so long as he had
no reasonable cause to believe that the conduct was unlawful, provided, however, that (1) no indemnitee shall be indemnified hereunder
against any liability to the Fund or its shareholders or any expense of such indemnitee arising by reason of (i) willful misfeasance,
(ii) bad faith, (iii) gross negligence, (iv) reckless disregard of the duties involved in the conduct of his position (the
conduct referred to in such clauses (i) through (v) being sometimes referred to herein as “disabling conduct”),
(2) as to any matter disposed of by settlement or a compromise payment by such indemnitee, pursuant to a consent decree or otherwise,
no indemnification either for said payment or for any other expenses shall be provided unless there has been a determination that such
settlement or compromise is in the best interests of the Fund and that such indemnitee appears to have acted in good faith in the reasonable
belief that his action was in the best interest of the Fund and did not involve disabling conduct by such indemnitee and (3) with
respect to any action, suit or other proceeding voluntarily prosecuted by any indemnitee as plaintiff, indemnification shall be mandatory
only if the prosecution of such action, suit or other proceeding by such indemnitee was authorized by a majority of the full Board of
the Fund.
Notwithstanding the foregoing the Fund shall not be obligated to provide any such indemnification to the extent such provision
would waive any right which the Fund cannot lawfully waive.
(b) The Fund will make advance payments in
connection with the expenses of defending any action with respect to which indemnification might be sought hereunder if the Fund receives
a written affirmation of the indemnitee’s good faith belief that the standard of conduct necessary for indemnification has been
met and a written undertaking to reimburse the Fund unless it is subsequently determined that he is entitled to such indemnification and
if the trustees of the Fund determine that the facts then known to them would not preclude indemnification. In addition, at least one
of the following conditions must be met: (A) the indemnitee shall provide a security for his undertaking, (B) the Fund shall
be insured against losses arising by reason of any lawful advances, or (C) a majority of a quorum of trustees of the Fund who are
neither “interested persons” of the Fund (as defined in Section 2(a)(19) of the Act) nor parties to the proceeding (“Disinterested
Non-Party Directors”) or an independent legal counsel in a written opinion, shall determine, based on a review of readily available
facts (as opposed to a full trial-type inquiry), that there is reason to believe that the indemnitee ultimately will be found entitled
to indemnification.
(c) All determinations with respect to indemnification
hereunder shall be made (1) by a final decision on the merits by a court or other body before whom the proceeding was brought that
such indemnitee is not liable by reason of disabling conduct or, (2) in the absence of such a decision, by (i) a majority vote
of a quorum of the Disinterested Non-party Directors of the Fund, or (ii) if such a quorum is not obtainable or even, if obtainable,
if a majority vote of such quorum so directs, independent legal counsel in a written opinion.
The rights accruing to any indemnitee under these
provisions shall not exclude any other right to which he may be lawfully entitled.
Other
Underwriter indemnification provisions to be filed
by amendment.
Additionally, the Registrant and the other funds
in the Gabelli/GAMCO Fund Complex jointly maintain, at their own expense, E&O/D&O insurance policies for the benefit of its directors/trustees,
officers and certain affiliated persons. The Registrant pays a pro rata portion of the premium on such insurance policies.
Insofar as indemnification for liability arising
under the Securities Act of 1933 may be permitted to directors, officers and controlling persons of the registrant pursuant to the foregoing
provisions, or otherwise, the registrant has been advised that in the opinion of the Securities and Exchange Commission such indemnification
is against public policy as expressed in the Securities Act and is, therefore, unenforceable. In the event that a claim for indemnification
against such liabilities (other than the payment by the registrant of expenses incurred or paid by a director, officer or controlling
person of the registrant in the successful defense of any action, suit or proceeding) is asserted by such director, officer or controlling
person in connection with the securities being registered, the registrant will, unless in the opinion of its counsel the matter has been
settled by controlling precedent, submit to a court of appropriate jurisdiction the question whether such indemnification by it is against
public policy as expressed in the Securities Act and will be governed by the final adjudication of such issue.
Item 31. Business and Other Connections of Investment Adviser
The Investment Adviser, a limited liability company
organized under the laws of the State of New York, acts as investment adviser to the Registrant. The Registrant is fulfilling the requirement
of this Item 31 to provide a list of the officers and directors of the Investment Adviser, together with information as to any other business,
profession, vocation or employment of a substantial nature engaged in by the Investment Adviser or those officers and directors during
the past two years, by incorporating by reference the information contained in the Form ADV of the Investment Adviser filed with
the Securities and Exchange Commission pursuant to the Investment Advisers Act of 1940 (Securities and Exchange Commission File No. 801-37706).
Item 32. Location of Accounts and Records
The accounts and records of the Registrant are
maintained in part at the office of the Investment Adviser at One Corporate Center, Rye, New York 10580-1422, in part at the offices of
the Fund’s custodian, State Street Bank and
Trust Company, State Street Financial Center, One Lincoln Street,
Boston, Massachusetts 02111, in part at the offices of the Fund’s sub-administrator, Bank of New York Mellon, at 240 Greenwich
Street, New York, New York 10286, and in part at the offices of the Fund’s transfer agent, Computershare Trust Company, N.A., at
462 South Fourth Street, Suite 1600, Louisville, KY 40202.
Item 33. Management Services
Not applicable.
Item 34. Undertakings
| a. | to file, during a period in which offers or sales are being made, a post-effective amendment to this |
| (1) | to include any prospectus required by Section 10(a)(3) of the Securities Act; |
| (2) | to reflect in the prospectus any facts or events after the effective date of the registration statement
(or the most recent post- effective amendment thereof) which, individually or in the aggregate, represent a fundamental change in the
information set forth in the registration statement. Notwithstanding the foregoing, any increase or decrease in volume of securities offered
(if the total dollar value of securities offered would not exceed that which was registered) and any deviation from the low or high end
of the estimated maximum offering range may be reflected in the form of prospectus filed with the Commission pursuant to Rule 424(b) if,
in the aggregate, the changes in volume and price represent no more than 20% change in the maximum aggregate offering price set forth
in the “Calculation of Registration Fee” table in the effective registration statement. |
| (3) | to include any material information with respect to the plan of distribution not previously disclosed
in the Registration Statement or any material change to such information in the Registration Statement. |
Provided, however, that paragraphs a(1), a(2),
and a(3) of this section do not apply to the extent the information required to be included in a post-effective amendment by those
paragraphs is contained in reports filed with or furnished to the Commission by the Registrant pursuant to Section 13 or Section 15(d) of
the Exchange Act that are incorporated by reference into the registration statement, or is contained in a form of prospectus filed pursuant
to Rule 424(b) that is part of the registration statement.
| b. | that for the purpose of determining any liability under the Securities Act, each post-effective amendment
shall be deemed to be a new registration statement relating to the securities offered therein, and the offering of such securities at
that time shall be deemed to be the initial bona fide offering thereof; |
| c. | to remove from registration by means of a post-effective amendment any of the securities being registered
which remain unsold at the termination of the offering; |
| d. | that, for the purpose of determining liability under the Securities Act to any purchaser: |
| (1) | if the Registrant is subject to Rule 430B: |
| (A) | Each prospectus filed by the Registrant pursuant to Rule 424(b)(3) shall be deemed to be part
of the registration statement as of the date the filed prospectus was deemed part of and included in the registration statement; and |
| (B) | Each prospectus required to be filed pursuant to Rule 424(b)(2), (b)(5), or (b)(7) as part of
a registration statement in reliance on Rule 430B relating to an offering made pursuant to
Rule 415(a)(1)(i), (x), or (xi) for the purpose of providing the information required by Section 10(a) of the Securities
Act shall be deemed to be part of and included in the registration statement as of the earlier of the date such form of prospectus is
first used after effectiveness or the date of the first contract of sale of securities in the offering described in the prospectus. As
provided in Rule 430B, for liability purposes of the issuer and any person that is at that date an underwriter, such date shall be
deemed to be a new effective date of the registration statement relating to the securities in the registration statement to which that
prospectus relates, and the offering of such securities at that time shall be deemed to be the initial bona fide offering thereof. Provided,
however, that no statement made in a registration statement or prospectus that is part of the registration statement or made in a document
incorporated or deemed incorporated by reference into the registration statement or prospectus that is part of the registration statement
will, as to a purchaser with a time of contract of sale prior to such effective date, supersede or modify any statement that was made
in the registration statement or prospectus that was part of the registration statement or made in any such document immediately prior
to such effective date; or |
| (2) | if the Registrant is subject to Rule 430C: each prospectus filed pursuant to Rule 424(b) under
the Securities Act as part of a registration statement relating to an offering, other than registration statements relying on Rule 430B
or other than prospectuses filed in reliance on Rule 430A, shall be deemed to be part of and included in the registration statement
as of the date it is first used after effectiveness. Provided, however, that no statement made in a registration statement or prospectus
that is part of the registration statement or made in a document incorporated or deemed incorporated by reference into the registration
statement or prospectus that is part of the registration statement will, as to a purchaser with a time of contract of sale prior to such
first use, supersede or modify any statement that was made in the registration statement or prospectus that was part of the registration
statement or made in any such document immediately prior to such date of first use. |
| e. | that for the purpose of determining liability of the Registrant under the Securities Act to any purchaser
in the initial distribution of securities: |
The undersigned Registrant undertakes that in
a primary offering of securities of the undersigned Registrant pursuant to this registration statement, regardless of the underwriting
method used to sell the securities to the purchaser, if the securities are offered or sold to such purchaser by means of any of the following
communications, the undersigned Registrant will be a seller to the purchaser and will be considered to offer or sell such securities to
the purchaser:
| (1) | any preliminary prospectus or prospectus of the undersigned Registrant relating to the offering required
to be filed pursuant to Rule 424 under the Securities Act; |
| (2) | free writing prospectus relating to the offering prepared by or on behalf of the undersigned Registrant
or used or referred to by the undersigned Registrant; |
| (3) | the portion of any other free writing prospectus or advertisement pursuant to Rule 482 under the
Securities Act relating to the offering containing material information about the undersigned Registrant or its securities provided by
or on behalf of the undersigned Registrant; and |
| (4) | any other communication that is an offer in the offering made by the undersigned Registrant to the purchaser. |
| 5. | The undersigned Registrant hereby undertakes that, for purposes of determining any liability under
the Securities Act of 1933, each filing of the Registrant’s annual report pursuant to Section 13(a) or
Section 15(d) of the Securities Exchange Act of 1934 that is incorporated by reference
into the registration statement shall be deemed to be a new registration statement relating to the securities offered therein, and the
offering of such securities at that time shall be deemed to be the initial bona fide offering thereof. |
| 6. | Insofar as indemnification for liabilities arising under the Securities Act of 1933 may be permitted to
directors, officers and controlling persons of the Registrant pursuant to the foregoing provisions, or otherwise, the Registrant has been
advised that in the opinion of the Securities and Exchange Commission such indemnification is against public policy as expressed in the
Act and is, therefore, unenforceable. In the event that a claim for indemnification against such liabilities (other than the payment by
the Registrant of expenses incurred or paid by a director, officer or controlling person of the Registrant in the successful defense of
any action, suit or proceeding) is asserted by such director, officer or controlling person in connection with the securities being registered,
the Registrant will, unless in the opinion of its counsel the matter has been settled by controlling precedent, submit to a court of appropriate
jurisdiction the question whether such indemnification by it is against public policy as expressed in the Act and will be governed by
the final adjudication of such issue. |
| 7. | Registrant undertakes to send by first class mail or other means designed to ensure equally prompt delivery,
within two business days of receipt of a written or oral request, any prospectus or Statement of Additional Information. |
| 8. | Registrant undertakes to only offer rights to purchase common and preferred shares together after a post-effective
amendment to the Registration Statement relating to such rights has been declared effective. |
SIGNATURES
Pursuant to the requirements of the Securities
Act of 1933 and the Investment Company Act of 1940, the Registrant has duly caused this registration statement to be signed on
its behalf by the undersigned, thereunto duly authorized, in the City of Rye, and State of New York, on the 16th day
of March, 2023.
|
The Gabelli Convertible and Income Securities Fund Inc. |
|
By: |
/s/ John C. Ball |
|
|
Name: John C. Ball |
|
|
Title: President |
Pursuant to the requirements of the Securities
Act of 1933, this Registration Statement has been signed below by the following persons in the capacities indicated and on the 16th day of March, 2023.
NAME |
|
TITLE |
|
|
|
/s/ John C. Ball |
|
President and Treasurer
(Principal Executive, Financial and Accounting Officer) |
John C. Ball |
|
|
|
|
* |
|
Director |
John Birch |
|
|
|
|
* |
|
Director |
E. Val Cerutti |
|
|
|
|
* |
|
Director |
Anthony S. Colavita |
|
|
|
|
* |
|
Director |
Thomas H. Dinsmore |
|
|
|
|
* |
|
Director |
Vincent D. Enright |
|
|
|
|
* |
|
Director |
Leslie F. Foley |
|
|
|
|
* |
|
Director |
Daniel D. Harding |
|
|
|
|
* |
|
Director |
Michael J. Melarkey |
|
* |
|
Director |
Agnes Mullady |
|
|
|
* |
|
Director |
Kuni Nakamura |
|
|
|
* |
|
Director |
Werner J. Roeder |
|
|
|
* |
|
Director |
Anthonie C. van Ekris |
|
|
|
* |
|
Director |
Salvatore J. Zizza |
|
|
|
/s/ John C. Ball |
|
Attorney-in-Fact |
John C. Ball |
|
* Pursuant
to a Power of Attorney
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