-----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, Lg4W8wqCoTu1dz3OxTuaMoBbdpEFWZJzO76LmIX9i0URAvrtB3X/OolgUmI9znek HTPcCXGhyI4t+nD7LLM2Hw== 0000807249-09-000418.txt : 20090529 0000807249-09-000418.hdr.sgml : 20090529 20090529154032 ACCESSION NUMBER: 0000807249-09-000418 CONFORMED SUBMISSION TYPE: 144 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20090529 DATE AS OF CHANGE: 20090529 SUBJECT COMPANY: 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 FILING VALUES: FORM TYPE: 144 SEC ACT: 1933 Act SEC FILE NUMBER: 001-14761 FILM NUMBER: 09861451 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 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: GGCP, INC. CENTRAL INDEX KEY: 0001238894 RELATIONSHIP: OWNER IRS NUMBER: 133056041 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 144 BUSINESS ADDRESS: STREET 1: ONE CORPORATE CENTER CITY: RYE STATE: NY ZIP: 10580 BUSINESS PHONE: 9149215100 MAIL ADDRESS: STREET 1: 140 GREENWICH AVENUE CITY: GREENWICH STATE: CT ZIP: 06830 FORMER COMPANY: FORMER CONFORMED NAME: GABELLI GROUP CAPITAL PARTNERS INC DATE OF NAME CHANGE: 20030604 144 1 ggcp144_052909a.htm ggcp144_052909a.htm
 
 
 

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                                         60;                                           DOCUMENT SEQUENCE NO.


                                                                                    CUSIP NUMBER


                                                                                    WORK LOCATION


    UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

FORM 144

NOTICE OF PROPOSED SALE OF SECURITIES
PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933

ATTENTION:                                Transmit for filing 3 copies of this form concurrently with either placing an order with a broker to execute sale or executing a sale
directly with a market maker.
1(a)  NAME OF ISSUER (Please type or print)
(b) IRS IDENT. NO.
(c) S.E.C. FILE NO.
    
 
GAMCO Investors, Inc.
 
13-4007862
 
1-106
    

1(d)  ADDRESS OF ISSUER                                                      STREET                                                      CITY                                           STATEZIP CODE
(e) TELEPHONE NO.
 
One Corporate Center                                                                                Rye                                                   NY                                     0; 10580
AREA CODE
914
NUMBER
921-5000
 

2(a)  NAME OF PERSON FOR WHOSE ACCOUNT THE
         SECURITIES ARE TO BE SOLD
(b)  RELATIONSHIP
       TO ISSUER
(d)  ADDRESS                              STREET                               CITY                      STATE              ZIP CODE
 
GGCP, Inc.
 
Note
 
 
140 Greenwich Avenue                         Greenwich         CT              06830
INSTRUCTION:  The person filing this notice should contact the issuer to obtain the I.R.S. Identification Number and the S.E.C. File Number.
3(a)
Title of the
Class of Securities
To Be Sold
(b)
Name and Address of Each Broker Through Whom the Securities are to be Offered or Each Market Maker who is Acquiring the Securities
SEC USE ONLY
 
Broker-Dealer
File Number
(c)
Number of Shares
or Other Units To Be Sold
[See instr. 3(c)]
(d)
Aggregate
Market Value
([See instr. 3(d)]
(e)
Number of Shares or Other
Units Outstanding
[See instr. 3(e)]
(f)
Approximate Date of Sale
[See instr. 3(f)]
(MO          DAY          YR)
(g)
Name of Each Securities Exchange
[See instr. 3(g)]
  
 
Class A Common
Stock
BNY Conergex Execution Solutions, LLC
1633 Broadway
New York, NY 10019
(*other broker dealers in conformity with Rule 144 may be used)
  
 
2,000 (in addition to the 2,500 previously filed today)
 
$129,225
 
7,399,483
as of 4/30/09
 
05/29/2009
 
NYSE
  
                 
 
INSTRUCTIONS:
1.   (a)        Name of Issuer
  (b)        Issuer’s I.R.S. Identification Number
  (c)        Issuer’s S.E.C. file number, if any
(d)  Issuer’s address, including zip code
(e)   Issuer’s telephone number, including area code
 
2.   (a)       Name of person for whose account the securities are to be sold
(b) Such person’s  relationship to the issuer (e.g., officer, director, 10% stockholder, or member of immediate family of any of the foregoing)
(c) Such person’s address, including zip code
3.   (a)      Title of the class of securities to be sold
      (b)      Name and address of each broker through whom the securities are intended to be sold
      (c)       Number of shares or other units to be sold (if debt securities, give the aggregate face amount)
(d)  Aggregate market value of the securities to be sold as of a specified date within 10 days prior to the filing of this notice
(e) Number of shares or other units of the class outstanding, or if debt securities the face amount thereof outstanding, as shown by the most recent
                 report or statement published by the issuer
(f) Approximate date on which the securities are to be sold
     (g)        Name of each securities exchange, if any, on which the securities are intended to be sold
Potential persons who are to respond to the collection of information contained in this form are not
required to respond unless the form displays a currently valid OMB control number.

SEC 1147 (02-08)
 
 
 

TABLE I – SECURITIES TO BE SOLD
Furnish the following information with respect to the acquisition of the securities to be sold
and with respect to the payment of all or any part of the purchase price or other consideration _herefore:
Title of
the Class
Date You
Acquired
 
Nature of Acquisition Transaction
Name of Person from Whom Acquired
(if gift, also give date donor acquired)
Amount of
Securities Acquired
Date of
Payment
 
Nature of Payment
 
Class A Common Stock
 
 
5/29/2009
 
On May 29, 2009, GGCP, Inc. (“GGCP”) exchanged 4,500 shares of the Issuer’s Class B Common Stock (“Class B Shares”) for 4,500 shares of the Issuer’s Class A Common Stock. This exchange was in accordance with a resolution of the Issuer’s Board of Directors.
 
The Class B Shares were acquired by GGCP from the Issuer prior to the Issuer’s initial public offering on February 11, 1999.
 
 
             4,500
 
N/A
 
             None

INSTRUCTIONS:
If the securities were purchased and full payment therefore was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given.  If the consideration consisted of any note or other obligation, or if payment was made in installments, describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.
    
TABLE II – SECURITIES SOLD DURING THE PAST 3 MONTHS
Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

Name and Address of Seller
Title of Securities Sold
Date of Sale
Amount of Securities Sold
Gross Proceeds
GGCP, Inc.
140 Greenwich Ave
Greenwich, CT 06830
Class A Common Stock
05/19/2009
05/20/2009
05/22/2009
05/26/2009
05/27/2009
05/29/2009
5,000
5,000
4,000
4,000
6,000
2,500
265,877
250,674
208,812
211,649
313,592
133,061
REMARKS:
Note – GGCP is the controlling shareholder and the majority owner of the Issuer’s Class B Common Stock.

INSTRUCTIONS:
See the definition of “person” in paragraph (a) of Rule 144.  Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition.  In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.
ATTENTION:
The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed.  If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.
GGCP, Inc.

May 29, 2009                                                      By:    /s/ Michael G. Chieco                                                            
DATE OF NOTICE                                                                                                           (SIGNATURE)
                                                                                                                                     0;                           Michael G. Chieco
__________________________________________________                                                                     Chief Financial Officer/Secretary
DATE OF PLAN ADOPTION OR GIVING OF INSTRUCTION
 
IF RELYING ON RULE 10B5-1
The notice shall be signed by the person for whose account the securities are to be sold.  At least one copy of the notice shall be manually signed. Any copies not manually signed shall bear typed or printed signatures.
ATTENTION:  Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)


SEC 1147 (02-08)
 
 
 

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