0001060349-15-000014.txt : 20150505 0001060349-15-000014.hdr.sgml : 20150505 20150505172000 ACCESSION NUMBER: 0001060349-15-000014 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150505 ITEM INFORMATION: Submission of Matters to a Vote of Security Holders FILED AS OF DATE: 20150505 DATE AS OF CHANGE: 20150505 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: 15834101 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 gbl8kvote050515.htm FORM 8-K, DATED MAY 5, 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) May 5, 2015
 
 
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) 921-3700


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 5.07
 
Submission of Matters to a Vote of Security Holders.

 
The annual meeting of shareholders of GAMCO Investors, Inc. (“GAMCO”) was held on May 5, 2015.  At the annual meeting: (1) eight persons were elected to serve as directors of GAMCO; (2) the appointment of Deloitte & Touche LLP as GAMCO’s independent registered public accounting firm for the year ending December 31, 2015 was ratified; and (3) the Amended and Restated Employment Agreement with Mario J. Gabelli, the Company's Chairman and Chief Executive Officer, was re-approved.
 
Set forth below, with respect to each of the matters submitted to shareholders, are the number of votes cast for or against or withheld, and the number of abstentions and broker non-votes, where applicable.
 
 
 
  
VOTES FOR
    
VOTES WITHHELD
    
BROKER NON-VOTES
  
(1) Election of Directors
  
   
   
 
NOMINEE
  
   
   
 
Edwin L. Artzt
    
191,227,516
      
523,797
      
909,071
  
Raymond C. Avansino, Jr.
    
190,193,275
      
1,558,038
      
909,071
  
Richard L. Bready
    
190,221,205
      
1,530,108
      
909,071
  
Marc Gabelli  191,502,349 248,964
909,071
Mario J. Gabelli
    
190,756,825
      
994,488
      
909,071
  
Eugene R. McGrath
    
190,675,458
      
1,075,855
      
909,071
  
Robert S. Prather, Jr.
    
190,249,115
      
1,502,198
      
909,071
  
Elisa M. Wilson
    
190,676,490
      
1,074,823
      
909,071
  
 
 
 
  
VOTES FOR
    
VOTES AGAINST
    
ABSTAINED
    
BROKER NON-VOTES
  
(2) Ratification of independent registered public accounting firm
    
192,646,345
      
10,406
      
3,633
      
-
  
 
 
 
  
VOTES FOR
    
VOTES AGAINST
    
ABSTAINED
    
BROKER NON-VOTES
  
(3) Re-approval of the Amended and Restated Employment Agreement with Mario J. Gabelli, the Company's Chairman and Chief Executive Officer
    
190,492,172
      
1,256,648
      
2,493
      
909,071
  
 
 
 
 
  
 
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/ Robert S. Zuccaro
 
Robert S. Zuccaro
Executive Vice-President and Chief Financial Officer
 
Date:May 5, 2015