0000807249-13-000336.txt : 20131202 0000807249-13-000336.hdr.sgml : 20131202 20131202120047 ACCESSION NUMBER: 0000807249-13-000336 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131127 FILED AS OF DATE: 20131202 DATE AS OF CHANGE: 20131202 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: DE 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: Caterina Kieran CENTRAL INDEX KEY: 0001406326 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14761 FILM NUMBER: 131251095 MAIL ADDRESS: STREET 1: ONE CORPORATE CENTER CITY: RYE STATE: NY ZIP: 10580 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2013-11-27 0 0001060349 GAMCO INVESTORS, INC. ET AL GBL 0001406326 Caterina Kieran ONE CORPORATE CENTER RYE NY 10580 0 1 0 0 Co-Chief Accounting Officer Class A Common Stock 2013-11-27 4 A 0 1000 A 7000 D These shares represent restricted stock that was awarded to the Reporting Person pursuant to the Issuer's Stock Award and Incentive Plan. Thirty percent of these shares vest after three years from the date of the award and the remaining seventy percent vest after five years from the date of the award. /s/ Kieran Caterina 2013-12-02