EX-99.(D)(6) 3 d489236dex99d6.htm FORM OF NOTICE OF GUARANTEED DELIVERY Form of Notice of Guaranteed Delivery

Notice of Guaranteed Delivery For Shares of Common Stock of

The Gabelli Convertible and Income Securities Fund

Subscribed for Via Primary Subscription

and the Over-Subscription Privilege

As set forth in the Prospectus Supplement, dated September 4, 2018, and the accompanying Prospectus, dated July 13, 2018 (collectively, the “Prospectus”), for this offering, this form or one substantially equivalent hereto may be used as a means of effecting subscription and payment for all shares of the Fund’s common stock, par value $0.001 per share (the “Shares”), subscribed for via the primary subscription and the over-subscription privilege. Such form may be delivered by email, first class mail, express mail or overnight courier to the Subscription Agent and must be received prior to 5:00 p.m., Eastern time, on October 17, 2018, as such date may be extended from time to time (the “Expiration Date”). The terms and conditions of the offering set forth in the Prospectus are incorporated by reference herein. Capitalized terms used and not otherwise defined herein have the meaning attributed to them in the Prospectus.

THE SUBSCRIPTION AGENT IS:

Computershare Trust Company, N.A.

 

BY FIRST CLASS MAIL:   

BY EXPRESS MAIL OR

OVERNIGHT COURIER:

    VIA EMAIL:

The Gabelli Convertible and Income

Securities Fund

c/o Computershare Trust Company, N.A.

P.O. Box 43011

Providence, RI 02940-3011

   

The Gabelli Convertible and Income Securities Fund

c/o Computershare Trust Company, N.A.

250 Royall Street, Suite V

Canton, Massachusetts 02021

   

canoticeofguarantee@ computershare.com

This email address can only be used for delivery of this Notice of Guaranteed Delivery.

DELIVERY OF THIS INSTRUMENT TO AN ADDRESS, OTHER THAN AS SET FORTH ABOVE, DOES NOT CONSTITUTE A VALID DELIVERY.

The New York Stock Exchange member firm or bank or trust company that completes this form must communicate this guarantee and the number of Shares subscribed for in connection with this guarantee (separately disclosed as to the primary subscription and the over-subscription privilege) to the Subscription Agent and must deliver this Notice of Guaranteed Delivery, to the Subscription Agent, prior to 5:00 p.m. Eastern Time, on the Expiration Date, guaranteeing delivery of a properly completed and signed Subscription Certificate (which certificate must then be delivered to the Subscription Agent no later than the close of business of the second Business Day after the Expiration Date). Failure to do so will result in a forfeiture of the Rights. Payment of the full Subscription Price for the Shares subscribed for must accompany this Notice of Guaranteed Delivery.

GUARANTEE

The undersigned, a member firm of the New York Stock Exchange or a bank or trust company having an office or correspondent in the United States, guarantees delivery to the Subscription Agent by no later than 5:00 p.m., Eastern Time, on the second Business Day after the Expiration Date of a properly completed and executed Subscription Certificate, as subscription for such Shares as indicated herein or in the Subscription Certificate. Participants should notify the Depositary prior to covering through the submission of a physical security directly to the Depositary based on a guaranteed delivery that was submitted via DTC’s PTOP platform.

BROKER ASSIGNED CONTROL #                                                                      

      

THE GABELLI CONVERTIBLE AND INCOME SECURITIES FUND

 

1. Primary Subscription    Number of Rights to be exercised    Number of primary Shares requested for which you are guaranteeing delivery of Rights    Payment to be made in connection with primary Shares
   Rights                         Shares                         $                        
2. Over-Subscription    Not applicable    Number of over-subscription Shares requested pursuant to the over- subscription privilege    Payment to be made in connection with over-subscription Shares
      Shares                         $                        
3. Totals    Total Number of Rights Exercised    Total number of Shares subscribed for and/or requested   
   Rights                         Shares                         $                        
         Total Payment

Method of delivery (circle one):

A. Through DTC

B. Direct to Computershare Trust Company, N.A., as Subscription Agent.

Please reference below the registration of the Rights to be delivered.

 

                                                         

 

                                                         

 

                                                         

PLEASE ASSIGN A UNIQUE CONTROL NUMBER FOR EACH GUARANTEE SUBMITTED. This number needs to be referenced on any direct delivery of Rights or any delivery through DTC.

 

Name of Firm                                                                                                                                             
     Authorized Signature
        
DTC Participant Number      Title
        
Address      Name (Please Type or Print)
        
Zip Code      Phone Number
        
Contact Name      Date

 

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BENEFICIAL OWNER LISTING CERTIFICATION

The Gabelli Convertible and Income Securities Fund Rights Offering

The undersigned, a bank, broker or other nominee holder of Rights (“Rights”) to purchase shares of common stock, $0.001 par value per share (“Common Shares”), of The Gabelli Convertible and Income Securities Fund (the “Fund”) pursuant to the rights offering (the “Offer”) described and provided for in the Fund’s Prospectus Supplement, dated September 4, 2018, and the accompanying Prospectus, dated July 13, 2018 (collectively the “Prospectus”), hereby certifies to the Fund and to Computershare Trust Company, N.A., as Subscription Agent for such Offer, that for each numbered line filled in below, the undersigned has exercised, on behalf of the beneficial owner thereof (which may be the undersigned), the number of Rights specified on such line pursuant to the primary subscription (as specified in the Prospectus) and such beneficial owner wishes to subscribe for the purchase of additional Common Shares pursuant to the over-subscription privilege (as specified in the Prospectus), in the amount set forth in the third column of such line.

 

Number of Record Date

Common Shares Owned

       

NUMBER OF RIGHTS

exercised pursuant to the

Primary Subscription

        

NUMBER OF

COMMON SHARES

requested pursuant to the

Over-Subscription Privilege

     

1.                                                                

                  

2.                                                                

                  

3.                                                                

                  

4.                                                                

                  

5.                                                                

                  

6.                                                                

                  

7.                                                                

                  

8.                                                                

                  

9.                                                                

                  

10.                                                              

                  

 

Name of Nominee Holder

By:                                                                  

Name:                                                                  

Title:                                                                  

Dated:                                                                  , 2018

 

Provide the following information, if applicable:     
      
Depository Trust Corporation (“DTC”) Participant Number       
     Name of Broker
        
DTC Primary Subscription Confirmation Number(s)      Address

 

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