0000860759-05-000002.txt : 20120703
0000860759-05-000002.hdr.sgml : 20120703
20050119152524
ACCESSION NUMBER: 0000860759-05-000002
CONFORMED SUBMISSION TYPE: SC 13G/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20050119
DATE AS OF CHANGE: 20050119
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: GABELLI ASSET MANAGEMENT INC
CENTRAL INDEX KEY: 0001060349
STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211]
IRS NUMBER: 134007862
STATE OF INCORPORATION: NY
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13G/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-56335
FILM NUMBER: 05536215
BUSINESS ADDRESS:
STREET 1: ONE CORPORATE CENTER
CITY: RYE
STATE: NY
ZIP: 10580
BUSINESS PHONE: 9149213700
MAIL ADDRESS:
STREET 1: ONE CORPORATE CENTER
CITY: RYE
STATE: NY
ZIP: 10580
FORMER COMPANY:
FORMER CONFORMED NAME: ALPHA G INC
DATE OF NAME CHANGE: 19980423
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: PASADENA CAPITAL CORP
CENTRAL INDEX KEY: 0000860759
STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000]
IRS NUMBER: 954187880
STATE OF INCORPORATION: CA
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13G/A
BUSINESS ADDRESS:
STREET 1: 600 NORTH ROSEMEAD BLVD
CITY: PASADENA
STATE: CA
ZIP: 91107
BUSINESS PHONE: 6263519686
MAIL ADDRESS:
STREET 1: 600 NORTH ROSEMEAD BLVD
CITY: PASADENA
STATE: CA
ZIP: 91107
SC 13G/A
1
yearend13g_12-2004.txt
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. ______5_____)*
GABELLI ASSET MANAGEMENT INC.
(Name of Issuer)
COMMON STOCK
(Title of Class of Securities)
36239Y102
(CUSIP Number)
DECEMBER 31, 2004
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule
is filed:
[X] Rule 13d-1(b)
[ ] Rule 13d-1(c)
[ ] Rule 13d-1(d)
*The remainder of this cover page shall be filled out for a reporting
person's initial filing on this form with respect to the subject class
of securities, and for any subsequent amendment containing information
which would alter the disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not
be deemed to be "filed" for the purpose of Section 18 of the Securities
Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of
that section of the Act but shall be subject to all other provisions of
the Act (however, see the Notes).
CUSIP No. 36239Y102
1. Names of Reporting Persons
Pasadena Capital Corporation
I.R.S. Identification Nos. of above persons (entities only).
95-4187880
2. Check the Appropriate Box if a Member of a Group (See Instructions)
(a) N/A
(b) N/A
3. SEC Use Only
4. Citizenship or Place of Organization
USA
Number of Shares Beneficially Owned by Each Reporting Person With
5. Sole Voting Power
6. Shared Voting Power
503,917
7. Sole Dispositive Power
8. Shared Dispositive Power
503,917
9. Aggregate Amount Beneficially Owned by Each Reporting Person.
503,917
10. Check if the Aggregate Amount in Row (11) Excludes Certain Shares
N/A
11. Percent of Class Represented by Amount in Row (11)
8.05%
12. Type of Reporting Person
HC
CUSIP No. 36239Y102
1. Names of Reporting Persons
Engemann Asset Management (fka Roger Engemann & Associates, Inc.)
I.R.S. Identification Nos. of above persons (entities only).
95-2755531
2. Check the Appropriate Box if a Member of a Group (See Instructions)
(a) N/A
(b) N/A
3. SEC Use Only
4. Citizenship or Place of Organization
USA
Number of Shares Beneficially Owned by Each Reporting Person With
5. Sole Voting Power
6. Shared Voting Power
503,917
7. Sole Dispositive Power
8. Shared Dispositive Power
503,917
9. Aggregate Amount Beneficially Owned by Each Reporting Person.
503,917
10. Check if the Aggregate Amount in Row (11) Excludes Certain Shares
N/A
11. Percent of Class Represented by Amount in Row (11)
8.05%
12. Type of Reporting Person
IA
Item 1.
(a) Name of Issuer
GABELLI ASSET MANAGEMENT INC.
(b) Address of Issuer's Principal Executive Offices
One Corporate Center
Rye, New York 10580
Item 2.
(a) Name of Person Filing
Pasadena Capital Corporation and controlled entities - see Item 7
(b) Address of Principal Business Office or, if none, Residence
600 North Rosemead Blvd.
Pasadena, California 91107
(c) Citizenship
USA
(d) Title of Class of Securities
Common Stock
(e) CUSIP Number
36239Y102
Item 3.
If this statement is filed pursuant to 240.13d-1(b) or 240.13d-2(b)
or (c), check whether the person filing is a:
(a) [ ]
Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).
(b) [ ]
Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).
(c) [ ]
Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).
(d) [ ]
Investment company registered under section 8 of the Investment Company
Act of 1940 (15 U.S.C 80a-8).
(e) [ ]
An investment adviser in accordance with 240.13d-1(b)(1)(ii)(E);
(f) [ ]
An employee benefit plan or endowment fund in accordance with
240.13d-1(b)(1)(ii)(F);
(g) [X]
A parent holding company or control person in accordance with
240.13d-1(b)(1)(ii)(G);
(h) [ ]
A savings associations as defined in Section 3(b) of the Federal
Deposit Insurance Act (12 U.S.C. 1813);
(i) [ ]
A church plan that is excluded from the definition of an investment
company under section 3(c)(14) of the Investment Company Act of 1940
(15 U.S.C. 80a-3);
(j) [ ]
Group, in accordance with 240.13d-1(b)(1)(ii)(J).
Item 4.
Ownership.
Provide the following information regarding the aggregate number and
percentage of the class of securities of the issuer identified in Item 1.
(a) Amount beneficially owned: 503,917
(b) Percent of class: 8.05%.
(c) Number of shares as to which the person has:
(i) Sole power to vote or to direct the vote
(ii) Shared power to vote or to direct the vote
503,917
(iii) Sole power to dispose or to direct the disposition of.
(iv) Shared power to dispose or to direct the disposition of
503,917
Item 5.
Ownership of Five Percent or Less of a Class
If this statement is being filed to report the fact that as of the date
hereof the reporting person has ceased to be the beneficial owner of more
than five percent of the class of securities, check the following [ ].
Item 6.
Ownership of More than Five Percent on Behalf of Another Person.
The shares covered by this report are held for the benefit of discretionary
accounts managed by Engemann Asset Management. See Item 7 Exhibit.
Item 7.
Identification and Classification of the Subsidiary Which Acquired the Security
Being Reported on By the Parent Holding Company
See Exhibit.
Item 8.
Identification and Classification of Members of the Group
N/A
Item 9.
Notice of Dissolution of Group
N/A
Item 10.
Certification
By signing below we certify that, to the best of our knowledge and belief,
the securities referred to above were acquired and are held in the ordinary
course of business and were not acquired and are not held for the purpose
of or with the effect of changing or influencing the control of the issuer
of the securities and were not acquired and are not held in connection with
or as a participant in any transaction having that purpose or effect.
SIGNATURE
After reasonable inquiry and to the best of our knowledge and belief,
we certify that the information set forth in this statement is true,
complete and correct.
________________________________
Date
Engemann Asset Management
By_____________________________________
Tina L. Mitchell, Senior Vice President and
Chief Compliance Officer
Pasadena Capital Corporation
By_____________________________________
Malcolm Axon, CFO
SCHEDULE 13G
ITEM 7 EXHIBIT
The joint filers are 1) Pasadena Capital Corporation, a holding company,
and 2) Engemann Asset Management, an investment adviser.
The relationships of the joint filers are as follows:
1. Pasadena Capital Corporation, a holding company, owns 100% of
Engemann Asset Management.
NUMBER OF SHARES BY JOINT FILER
SHARES CONTROL
PERSON
Engemann Asset Management 503,917* 503,917
Pasadena Capital Corporation 0 503,917
*These shares are beneficially owned by and held in the accounts of various
clients of the above-named investment adviser, which the adviser has
investment discretion and voting authority with respect to such shares.
SCHEDULE 13G
JOINT FILING AGREEMENT PURSUANT TO RULE 13D-1(f)(1)
This agreement is made pursuant to Rule 13d-1(f)(1) under the Securities
Exchange Act of 1934 (the "Act") by and between the parties listed below,
each referred to herein as a "Joint Filer". The Joint Filers agree that a
statement of beneficial ownership as required by Section 13(d) of the Act
and the Rules thereunder may be filed on each of their behalf on Schedule
13D or Schedule 13G, as appropriate, and that said joint filing may
thereafter be amended by further joint filings. The Joint Filers state that
they each satisfy the requirement for making a join filing
under Rule 13d-1.
Engemann Asset Management
By____________________________________
Tina L. Mitchell, Senior Vice President
and Chief Compliance Officer
Pasadena Capital Corporation
By____________________________________
Malcolm Axon, CFO