0000807249-13-000063.txt : 20130311
0000807249-13-000063.hdr.sgml : 20130311
20130311191858
ACCESSION NUMBER: 0000807249-13-000063
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20130311
FILED AS OF DATE: 20130311
DATE AS OF CHANGE: 20130311
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: 13682267
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
2013-03-11
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
2013-03-11
4
D
0
60000
0
D
405360
D
Class A Common Stock
2013-03-11
4
A
0
60000
0
A
60000
D
Class B Common Stock
19003741
I
By: GGCP Holdings, LLC
Mr. Mario J. Gabelli exchanged with the Issuer shares of Class B Common Stock ("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.
These shares of the Issuer's Class B Stock are held by 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.
/s/ Douglas R. Jamieson, Attorney-In-Fact for Mario J. Gabelli
2013-03-11