0000807249-18-000207.txt : 20181101 0000807249-18-000207.hdr.sgml : 20181101 20181101171957 ACCESSION NUMBER: 0000807249-18-000207 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181101 FILED AS OF DATE: 20181101 DATE AS OF CHANGE: 20181101 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: 181154814 MAIL ADDRESS: STREET 1: C/O GAMCO INVESTORS, INC STREET 2: ONE CORPORATE CENTER CITY: RYE STATE: NY ZIP: 10580 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: 0923 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 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2018-11-01 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 2018-11-01 4 J 0 709749 0 D 816501 I By: Gabelli & Company Investment Advisers, Inc. Class A Common Stock 2200000 I By: G.research, LLC Class A Common Stock 15000 I By: GGCP, Inc. Class B Common Stock 18313741 I By: GGCP Holdings, LLC Class A Common Stock 2000 D Class B Common Stock 453295 D Shares transferred in exchange for shares of Associated Capital Group, Inc., which were tendered in connection with an exchange offer. Pursuant to a resolution approved by the Issuer's Board of Directors, as of the date of this filing, there are 600,230 shares of Class B Stock that can be converted into Class A Stock. These shares of the Issuer's 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. /s/ Douglas R. Jamieson, Attorney-In-Fact for MARIO J. GABELLI, GGCP, INC., and GGCP HOLDINGS, LCC 2018-11-01