0000807249-14-000069.txt : 20140310 0000807249-14-000069.hdr.sgml : 20140310 20140310133158 ACCESSION NUMBER: 0000807249-14-000069 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140307 FILED AS OF DATE: 20140310 DATE AS OF CHANGE: 20140310 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: GABELLI MARIO J CENTRAL INDEX KEY: 0001185533 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14761 FILM NUMBER: 14679982 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 2014-03-07 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 A Common Stock 2014-03-07 4 G 0 10000 0 D 10000 D Class B Common Stock 434275 D Class A Common Stock 40000 I By: GGCP, Inc. Class B Common Stock 18743741 I By: GGCP Holdings, LLC Ownership of these shares was transferred to Gabelli Foundation, Inc. Pursuant to a resolution approved by the Issuer's Board of Directors, as of the date of the filing there are 955,278 shares of Class B Stock that may be converted into Class A Stock. 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 2014-03-10