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