0000807249-11-000186.txt : 20110518 0000807249-11-000186.hdr.sgml : 20110518 20110518155838 ACCESSION NUMBER: 0000807249-11-000186 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110517 FILED AS OF DATE: 20110518 DATE AS OF CHANGE: 20110518 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GABELLI MARIO J CENTRAL INDEX KEY: 0001185533 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14761 FILM NUMBER: 11854918 MAIL ADDRESS: STREET 1: C/O GAMCO INVESTORS, INC STREET 2: ONE CORPORATE CENTER CITY: RYE STATE: NY ZIP: 10580 4 1 primary_doc.xml PRIMARY DOCUMENT X0303 4 2011-05-17 0 0001060349 GAMCO INVESTORS, INC. ET AL GBL 0001185533 GABELLI MARIO J C/O GAMCO INVESTORS, INC ONE CORPORATE CENTER RYE NY 10580 1 1 1 0 Chairman and CEO Class B Common Stock 2011-05-17 4 D 0 25000 D 350426 D Class A Common Stock 2011-05-17 4 A 0 25000 A 25000 D Class A Common Stock 2011-05-18 4 G 0 12500 0 D 12500 D Class B Common Stock 19679500 I See Footnote The Reporting Person exchanged with the Issuer shares of Class B Common Stock ("Class B Stock") for an equal number of Class A Common Stock ("Class A Stock"). This transaction was effected pursuant to Rule 16b-3 under the Securities Act of 1934 for the purpose of exempting such acquisition and disposition. A total of 540,966 shares of Class B Stock are available for exchange by GGCP, Inc. ("GGCP") or its shareholders for an equal number of the Issuer's Class A Stock pursuant to authorization by the Issuer's Board of Directors. These shares of the Issuer's Class B Stock are held by GGCP Holdings, LLC ("Holdings") via GGCP. The Reporting Person may be deemed to have beneficial ownership of the Class B Stock held by Holdings on the basis of (i) his position as the Chief Executive Officer of, a director of, and the controlling shareholder of, GGCP, which is the manager and a majority member of Holdings, and (ii) certain profit interests in Holdings. The Reporting Person disclaims any beneficial ownership of Class B Stock held by Holdings except to the extent of his pecuniary interest therein. /s/ Christopher J. Michailoff, Attorney-In-Fact for MARIO J. GABELLI 2011-05-18