-----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, JCsfLQJz7gAF23AMwO2b00Pz+PEpeUmd4uauGq1ahzZJ9wmo8fqN9kgzHOY4ph37 THuFXIqkNI5VTAcO6JkMow== 0000807249-10-000193.txt : 20100602 0000807249-10-000193.hdr.sgml : 20100602 20100602162515 ACCESSION NUMBER: 0000807249-10-000193 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100602 FILED AS OF DATE: 20100602 DATE AS OF CHANGE: 20100602 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: 10873129 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 2010-06-02 0 0001060349 GAMCO INVESTORS, INC. ET AL GBL 0001185528 ALPERT BRUCE N C/O GABELLI ASSET MANAGEMENT INC ONE CORPORATE CENTER RYE NY 16580 0 1 0 0 Senior Vice President Class B Common Stock 2010-06-02 4 J 0 259 0 A 259 D Class A Common Stock 11555 D Employee Stock Option (Right to Buy) 29 2006-05-13 2013-05-13 Class A Common Stock 2000 2000 D These shares were received by the Reporting Person from a pro rata distribution of the Issuer's Class B Common Stock made by GGCP, Inc., the sole member of GGCP Holdings LLC and the majority shareholder of the Issuer. A total of 168,743 shares of the 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 & Incentive Plan. Thirty percent of these shares vest after three years from the date of the award and the remaining seventy percent vest five years from the date of the 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 2010-06-02 -----END PRIVACY-ENHANCED MESSAGE-----