-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, QvqqGXWs0UG3cRHILVp/zgtOWVY6L8IdEJ82Jc1w3GooQasaA6cdg96EBryN5hx0 QozYmAykeFIDVZBYigqkEw== 0000914121-02-001130.txt : 20021021 0000914121-02-001130.hdr.sgml : 20021021 20021021162923 ACCESSION NUMBER: 0000914121-02-001130 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20021017 FILED AS OF DATE: 20021021 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: GABELLI ASSET MANAGEMENT INC CENTRAL INDEX KEY: 0001060349 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 134007862 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14761 FILM NUMBER: 02794068 BUSINESS ADDRESS: STREET 1: ONE CORPORATE CENTER CITY: RYE STATE: NY ZIP: 10580 BUSINESS PHONE: 9149213700 MAIL ADDRESS: STREET 1: ONE CORPORATE CENTER CITY: RYE STATE: NY ZIP: 10580 FORMER COMPANY: FORMER CONFORMED NAME: ALPHA G INC DATE OF NAME CHANGE: 19980423 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: CHILTON INVESTMENT CO INC CENTRAL INDEX KEY: 0001085969 RELATIONSHIP: OTHER IRS NUMBER: 133667517 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 1266 EAST MAIN STREET STREET 2: 7TH FLOOR CITY: STAMFORD STATE: CT ZIP: 06902 BUSINESS PHONE: 2033524000 MAIL ADDRESS: STREET 1: 1266 EAST MAIN STREET STREET 2: 7TH FLOOR CITY: STAMFORD STATE: CT ZIP: 06902 4 1 ch-gabelli_form4.txt STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP - ------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION ------------------------------ FORM 4 WASHINGTON, D.C. 20549 OMB Approval - ------------------------- ------------------------------ [ ] Check this box if no STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OMB Number: 3235-0287 longer subject to Expires: January 31, 2005 Section 16. Form 4 Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Estimated average burden or Form 5 obligations Section 17(a) of the Public Utility Holding Company Act of 1935 or hours per response.......0.5 may continue. See Section 30(h) of the Investment Company Act of 1940 ------------------------------ Instruction 1(b).
(Print or Type Responses) - ------------------------------------------------------------------------------------------------------------------------------------ 1. Name and Address of Reporting Person* 2. Issuer Name and Ticker or Trading Symbol 6. Relationship of Reporting Person(s) to Issuer Gabelli Asset Management, Inc. (GBL) (Check all applicable) Chilton Investment Company, Inc. [ ] Director [ ] 10% Owner ------------------------------------ ----------------------------------------------- [ ] Officer (give [X] Other (specify (Last) (First) (Middle) 3. I.R.S. Identification 4. Statement for title below) Number of Reporting Month/Day/Year below) Person, if an entity (Voluntary) October 17, 2002 Deemed to be a 10% Owner 1266 East Main Street, 7th Floor -------------------------------------- ------------------------------------ ----------------------------------------------------------- (Street) 5. If Amendment, 7. Individual or Joint/Group Filing Date of (Check Applicable Line) Original [X] Form filed by One Reporting Person Stamford, Connecticut 06902 (Month/Day/Year) [ ] Form filed by More than One ------------------------------------ Reporting Person (City) (State) (Zip) - ------------------------------------------------------------------------------------------------------------------------------------ TABLE I -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Security 2. Trans- 2A. Deemed 3. Transaction 4. Securities Acquired (A) 5. Amount of 6. Ownership 7. Nature of (Instr. 3) action Execu- Code (Instr. or Disposed of (D) Securities Form: Indirect Date tion 8) (Instr. 3, 4 and 5) Beneficially Direct (D) Beneficial Date, Owned or Indirect Ownership if any Following (I) (Instr. 4) Reported (Instr. 4) (Month/ (Month/ Transaction(s) Day/ Day/ (Instr. 3 Year) Year) and 4) - ------------------------------------------------------------------------------------------------------------------------------------ Code V Amount (A) or (D) Price - ------------------------------------------------------------------------------------------------------------------------------------ Class A Common Stock, 10/17/02 S 216 D $30.47 I Investment $0.001 par value Mgr. - ------------------------------------------------------------------------------------------------------------------------------------ Class A Common Stock, 10/17/02 S 2,384 D $30.47 I Investment $0.001 par value Mgr. - ------------------------------------------------------------------------------------------------------------------------------------ Class A Common Stock, 10/17/02 S 20,782 D $30.2952 I Investment $0.001 par value Mgr. - ------------------------------------------------------------------------------------------------------------------------------------ Class A Common Stock, 10/17/02 S 8,093 D $30.2952 I Investment $0.001 par value Mgr. - ------------------------------------------------------------------------------------------------------------------------------------ Class A Common Stock, 10/17/02 S 1,580 D $30.2952 I Investment $0.001 par value Mgr. - ------------------------------------------------------------------------------------------------------------------------------------ Class A Common Stock, 10/17/02 S 9,516 D $30.2952 I Investment $0.001 par value Mgr. - ------------------------------------------------------------------------------------------------------------------------------------ Class A Common Stock, 10/17/02 S 17,429 D $30.2952 856,300* I Investment $0.001 par value Mgr. - ------------------------------------------------------------------------------------------------------------------------------------ Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * If the form is filed by more than one reporting person, see Instruction 4(b)(v). Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number. (Over) SEC 1474 (9-02)
FORM 4 (continued)
TABLE II -- DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) - ----------------------------------------------------------------------------------------------------------------------------------- 1. Title 2. Conver- 3. Trans- 3A. 4. Trans- 5. Number of 6. Date 7. Title 8. Price 9. Number 10. Owner- 11. Nature of of sion or action Deemed action Derivative Exer- and of of ship Indirect Deriv- Exercise Date Execu- Code Securities cisable Amount Deriv- deriv- Form of Beneficial ative Price of tion (Instr. Acquired (A) and Expi- of ative ative Deriv- Ownership Secu- Deriv- (Month/ Date, 8) or Disposed ration Under- Secu- Secu- ative (Instr. 4) rity ative Day/ if any of (D) Date lying rity rities Secu- (Instr. Security Year) (Instr. 3, (Month/ Securi- (Instr. Benefi- rity: 3) (Month/ 4, and 5) Day/ ties 5) cially Direct Day/ Year) (Instr. Owned (D) or Year) 3 and 4) Follow- Indirect ing (I) Reported (Instr. Trans- 4) action(s) (Instr. 4) - ----------------------------------------------------------------------------------------------------------------------------------- Code V (A) (D) Date Expir- Title Amount Exerci- ation or sable Date Number of Shares - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- Explanation of Responses: * Chilton Investment Company, Inc. is the general partner of some of the entities that own the reported securities. Chilton disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. /s/ P. Mallon 10/21/02 ------------------------------------------ --------------------------- ** Signature of Reporting Person Date Patricia Mallon, Managing Director ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. Page 2
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