-----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, EC5cCMRd9YtCwBCBS9dbSfpx8BDkzOBk8+jk9yxLRUboD/xhu5P7Pr8mBfgUnji3 F+K+uBebFaJktd/YQ9yBmw== 0001060349-09-000054.txt : 20090508 0001060349-09-000054.hdr.sgml : 20090508 20090508170454 ACCESSION NUMBER: 0001060349-09-000054 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20090505 ITEM INFORMATION: Other Events ITEM INFORMATION: Financial Statements and Exhibits FILED AS OF DATE: 20090508 DATE AS OF CHANGE: 20090508 FILER: 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 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-14761 FILM NUMBER: 09811661 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 8-K 1 form8k050809.htm FORM 8-K, DATED MARCH 5, 2009 form8k050809.htm


UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 
 
FORM 8-K
 
CURRENT REPORT
 
Pursuant to Section 13 or 15(d) of The
Securities Exchange Act of 1934
 
Date of Report (Date of earliest event reported) May 5, 2009
 
 
GAMCO INVESTORS, INC.
(Exact name of registrant as specified in its charter)
 
New York
 
1-14761
 
13-4007862
(State or other
jurisdiction of incorporation)
 
(Commission File Number)
 
(IRS Employer
Identification No.)
     
One Corporate Center, Rye, NY
     
10580
(Address of principal executive offices)
     
(Zip Code)
 
Registrant’s telephone number, including area code     (914) 921-5000
 
 
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2 below):

[ ] Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

[ ] Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

[ ] Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

[ ] Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

 

 
 

 
 

Item 8.01. Other Events.
 
    On May 5, 2009, Agnes Mullady was appointed a Senior Vice President of GAMCO Investors, Inc. ("GAMCO").  Attached to this filing is GAMCO's release regarding the appointment of Ms. Mullady.
 
 
Item 9.01. Financial Statements and Exhibits.
 

(d) Exhibits

99.1     GAMCO’s Press Release, regarding the appointment of Agnes Mullady.

 
SIGNATURE
 
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.


GAMCO Investors, Inc.

By:  /s/ Jeffrey M. Farber

Jeffrey M. Farber
Executive Vice-President and Chief Financial Officer
 
Date:
May 8, 2009
 

 
 
Exhibit Index

Exhibit No.
 
   
99.1 GAMCO’s Press Release, regarding the appointment of Agnes Mullady.
 

 


EX-99.1 2 ex99_1050809.htm EXHIBIT 99.1 DATED MARCH 5, 2009 ex99_1050809.htm


One Corporate Center
Rye, NY 10580-1422
GAMCO Investors, Inc
Fax (914) 921-5392
www.gabelli.com
 
For Immediate Release:
Contact:
Jeffrey M. Farber
   
Executive Vice-President and Chief Financial Officer
   
(914) 921-5147
     
   
For further information please visit
   
www.gabelli.com
 
Agnes Mullady Named Senior Vice President

Rye, New York, May 8, 2009 – GAMCO Investors, Inc. (NYSE:GBL) today announced that Agnes Mullady has been named a Senior Vice President.  Ms. Mullady will continue to serve as President and C.O.O. of the Closed End Fund division of Gabelli Funds, LLC, Vice President of Gabelli Funds, LLC, and Treasurer of all Gabelli/GAMCO investment companies, both open end and closed end.
 
Commenting on Ms. Mullady’s appointment, Bruce N. Alpert, Executive Vice President and C.O.O. of Gabelli Funds, LLC and a Senior Vice President of GAMCO said, “Agnes has consistently demonstrated a high degree of  professionalism, ethics, and mutual fund industry knowledge since she joined the firm.  I look forward to her continued success.”
 
Ms. Mullady joined GAMCO in December 2005 with twenty years of experience in mutual fund treasury operations with various fund complexes.  Ms. Mullady was a Senior Vice President at U.S. Trust Company, N.A., where she served as the Treasurer, Chief Financial and Chief Accounting Officer since February 2004 with the Excelsior Funds complex.  Agnes Mullady graduated with an accounting degree from Queens College, New York and has an MBA in Finance from the New York Institute of Technology.
 
        GAMCO Investors, Inc., through its subsidiaries, manages approximately $18.5 billion in assets as of March 31, 2009, comprised of private advisory accounts (GAMCO), mutual funds and closed-end funds (Gabelli Funds, LLC), and partnerships and offshore funds (Investment Partnerships).

SPECIAL NOTE REGARDING FORWARD-LOOKING INFORMATION

Our disclosure and analysis in this press release contain some forward-looking statements. Forward-looking statements give our current expectations or forecasts of future events. You can identify these statements because they do not relate strictly to historical or current facts. They use words such as “anticipate,” “estimate,” “expect,” “project,” “intend,” “plan,” “believe,” and other words and terms of similar meaning. They also appear in any discussion of future operating or financial performance. In particular, these include statements relating to future actions, future performance of our products, expenses, the outcome of any legal proceedings, and financial results. Although we believe that we are basing our expectations and beliefs on reasonable assumptions within the bounds of what we currently know about our business and operations, there can be no assurance that our actual results will not differ materially from what we expect or believe. Some of the factors that could cause our actual results to differ from our expectations or beliefs include, without limitation: the adverse effect from a decline in the securities markets; a decline in the performance of our products; a general downturn in the economy; changes in government policy or regulation; changes in our ability to attract or retain key employees; and unforeseen costs and other effects related to legal proceedings or investigations of governmental and self-regulatory organizations. We also direct your attention to any more specific discussions of risk contained in our Form 10-K and other public filings. We are providing these statements as permitted by the Private Litigation Reform Act of 1995. We do not undertake to update publicly any forward-looking statements if we subsequently learn that we are unlikely to achieve our expectations or if we receive any additional information relating to the subject matters of our forward-looking statements.
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