0000807249-12-000257.txt : 20120821
0000807249-12-000257.hdr.sgml : 20120821
20120821153602
ACCESSION NUMBER: 0000807249-12-000257
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120820
FILED AS OF DATE: 20120821
DATE AS OF CHANGE: 20120821
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: 121047697
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
X0306
4
2012-08-20
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 & CEO
Class B Common Stock
2012-08-20
4
J
0
100000
0
D
19296500
I
By: GGCP Holdings, LLC
Class B Common Stock
2012-08-20
4
J
0
100000
0
A
19396500
I
By: GGCP, Inc.
Class B Common Stock
2012-08-20
4
D
0
100000
0
D
19296500
I
By: GGCP, Inc.
Class A Common Stock
2012-08-20
4
A
0
100000
0
A
135000
I
By: GGCP, Inc.
Class A Common Stock
28000
D
Class B Common Stock
465360
D
Pursuant to a resolution approved by the Issuer's Board of Directors, as of the date of this filing there are 296,556 shares of Class B Stock that may be converted into Class A Stock.
These shares of the Issuer's Class B Common Stock ("Class B Stock") are held by GGCP Holdings, LLC ("Holdings") via GGCP, Inc. ("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. Holdings transferred 100,000 of the Issuers Class B Stock to GGCP.
These shares represent 100,000 Class B Shares that were received by GGCP from Holdings.
This includes 19,296,500 shares of Class B Common Stock held by Holdings, as described in and subject to the disclaimers set forth in footnote 1, and 100,000 shares held directly by GGCP following the transfer described in footnotes 1 and 2. The Reporting Person may be deemed to have beneficial ownership of the Class B Stock held by GGCP on the basis of his position as the Chief Executive Officer of, a director of, and the controlling shareholder of, GGCP. The Reporting Person disclaims any beneficial ownership of Class B Stock held by GGCP except to the extent of his pecuniary interest therein.
GGCP exchanged with the Issuer shares of Class B Stock for an equal number of shares of Class A Common Stock ("Class A Stock"). These transactions were effected pursuant to Rule 16b-3 under the Securities Act of 1934 for the purpose of exempting such acquisition and disposition.
/s/ Douglas R. Jamieson, Attorney-In-Fact for Mario J. Gabelli
2012-08-21