-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, O1eJ+Hi2+lyWy/VjMcD5WFWn9SaCD0Sj4kqLkWAH62RBkp0FIDbvn+wNrrie8OPv W7VWyCY6Sm03dt66XPSoSg== 0000807249-09-000362.txt : 20090511 0000807249-09-000362.hdr.sgml : 20090511 20090511162057 ACCESSION NUMBER: 0000807249-09-000362 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090507 FILED AS OF DATE: 20090511 DATE AS OF CHANGE: 20090511 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ALPERT BRUCE N CENTRAL INDEX KEY: 0001185528 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14761 FILM NUMBER: 09815260 MAIL ADDRESS: STREET 1: C/O GABELLI ASSET MANAGEMENT INC STREET 2: ONE CORPORATE CENTER CITY: RYE STATE: NY ZIP: 16580 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: GAMCO INVESTORS, INC. ET AL CENTRAL INDEX KEY: 0001060349 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 134007862 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: ONE CORPORATE CENTER STREET 2: 401 THEODORE FREMD AVENUE CITY: RYE STATE: NY ZIP: 10580 BUSINESS PHONE: 9149213700 MAIL ADDRESS: STREET 1: ONE CORPORATE CENTER STREET 2: 401 THEODORE FREMD AVENUE CITY: RYE STATE: NY ZIP: 10580 FORMER COMPANY: FORMER CONFORMED NAME: GABELLI ASSET MANAGEMENT INC DATE OF NAME CHANGE: 19990112 FORMER COMPANY: FORMER CONFORMED NAME: ALPHA G INC DATE OF NAME CHANGE: 19980423 4 1 primary_doc.xml PRIMARY DOCUMENT X0303 4 2009-05-07 0 0001060349 GAMCO INVESTORS, INC. ET AL GBL 0001185528 ALPERT BRUCE N C/O GAMCO INVESTORS, INC. ONE CORPORATE CENTER RYE NY 10580 0 1 0 0 Senior Vice President Class B Common Stock 655 D Class A Common Stock 2009-05-07 4 S 0 8600 50.5058 D 23790 D Class A Common Stock 2009-05-08 4 S 0 6700 52.4084 D 17090 D Class A Common Stock 2009-05-11 4 S 0 2200 53.1982 D 14890 D Employee Stock Option (Right to Buy) 29 2006-05-13 2013-05-13 Class A Common Stock 2000 2000 D These shares of Class B Common Stock are convertible into Class A Common Stock pursuant to a resolution by the Issuer's Board of Directors. 5,000 of these shares represent restricted stock that was awarded to the Reporting Person on 12/7/2007 pursuant to the Issuer's Stock Award and Incentive Plan. Thirty percent of these shares vest after three years from the date of award and the remaining seventy percent vest five years from the date of award. Seventy five percent of this employee stock option was exercisable on 5/13/2006, the remaining twenty five percent of this employee stock option was exercisable on 5/13/2007. /s/ Bruce N. Alpert 2009-05-11 -----END PRIVACY-ENHANCED MESSAGE-----