0001060349-15-000009.txt : 20150417 0001060349-15-000009.hdr.sgml : 20150417 20150417163238 ACCESSION NUMBER: 0001060349-15-000009 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20150417 ITEM INFORMATION: Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements of Certain Officers ITEM INFORMATION: Financial Statements and Exhibits FILED AS OF DATE: 20150417 DATE AS OF CHANGE: 20150417 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: DE FISCAL YEAR END: 0923 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-14761 FILM NUMBER: 15778596 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 gbl8kcfo04172015.htm FORM 8-K, DATED APRIL 17, 2015
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) April 17, 2015
 
 
GAMCO INVESTORS, INC.
(Exact name of registrant as specified in its charter)
 
Delaware
 
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) 921-3700


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 5.02
 
Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

  On April 17, 2015, GAMCO Investors, Inc. ("GAMCO") announced that Robert S. Zuccaro, Executive Vice President and Chief Financial Officer, will be resigning as of July 1, 2015.  A copy of the related press release is being filed as Exhibit 99.1 to this Form 8-K and is incorporated herein by reference in its entirety.
 
 
 
 
Item 9.01
 
Financial Statements and Exhibits

(d) Exhibits
 
99.1 GAMCO's Press Release, dated April 17, 2015.
 
  
 
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/ Douglas R. Jamieson
 
Douglas R. Jamieson
President and Chief Operating Officer
 
Date:April 17, 2015
 
Exhibit Index
 
Exhibit No.
 
99.1 GAMCO's Press Release, dated April 10, 2015
 
 

 EX-99.1 2 gbl8k04171599_1.htm PRESS RELEASE DATED APRIL 17, 2015
Exhibit 99.1
 
 
For Immediate Release: Contact:Mario J. Gabelli
Chaiman
(914) 921-5043

Kevin Handwerker
Exectuive Vice President
General Counsel
(914) 921-5192

For further information please visit
www.gabelli.com

GAMCO Investors Chief Financial Officer to resign as of July 1, 2015

Rye, New York, April 17, 2015 – GAMCO Investors, Inc. (“GAMCO”) (NYSE: GBL) announced today that Robert S. Zuccaro, our Chief Financial Officer, has indicated that he will be resigning as of July 1, 2015.
Mr. Zuccaro originally joined GAMCO in June 1998 and served as Controller, then Chief Financial Officer until 2003.  He was instrumental in helping the company with its initial public offering.
He returned in February 2011 and assumed the role of Chief Financial Officer.  Prior to rejoining us, he was the Chief Financial Officer of Commonwealth Management Partners, LLP, a privately-held investment management company.  Previously, he was Executive Vice President and Chief Accounting Officer with National Financial Partners Corp. Mr. Zuccaro also served in senior financial roles at National Financial Partners, Cybex International, Shearson Lehman Brothers and began his career with the international accounting firm of Ernst & Young.   Mr. Zuccaro received a B.S. in Accounting from C.W. Post College and is a certified public accountant.
Mario J. Gabelli indicated that “Bob has served us well as our Chief Financial Officer and he has contributed significantly to our firm.  We are delighted that he will assist us in finding a replacement for himself as well as serve with us as a consultant through the end of 2015.”
GAMCO Investors, Inc., through its subsidiaries, manages private advisory accounts (GAMCO Asset Management Inc.), mutual funds and closed-end funds (Gabelli Funds, LLC), and partnerships and offshore funds (Gabelli Securities, Inc.).   As of December 31, 2014, GAMCO had $47.5 billion in assets under management.
SPECIAL NOTE REGARDING FORWARD-LOOKING INFORMATION

Our disclosure and analysis in this press release that does not present historical information, including statements relating to the Company’s proposed spin-off, contain “forward-looking statements” within the meaning of the U.S. Private Securities Litigation Reform Act of 1995. Forward-looking statements convey 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, the economy and other conditions, there can be no assurance that our actual results will not differ materially from what we expect or believe. Therefore, you should proceed with caution in relying on any of these forward-looking statements. They are neither statements of historical fact nor guarantees or assurances of future performance.

Forward-looking statements involve a number of known and unknown risks, uncertainties and other important factors, some of which are listed below, that are difficult to predict and could cause actual results and outcomes to differ materially from any future results or outcomes expressed or implied by such forward-looking statements.  Some of the factors that could cause our actual results to differ from our expectations or beliefs include a decline in the securities markets that adversely affect our assets under management, negative performance of our products, the failure to perform as required under our investment management agreements, a general downturn in the economy that negatively impacts our operations. We also direct your attention to the more specific discussions of these and other risks, uncertainties and other important factors contained in our Form 10-K and other public filings. Other factors that could cause our actual results to differ may emerge from time to time, and it is not possible for us to predict all of them. We do not undertake to update publicly any forward-looking statements if we subsequently learn that we are unlikely to achieve our expectations whether as a result of new information, future developments or otherwise, except as may be required by law.