8-K

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): June 15, 2022

GAMCO INVESTORS, INC. ET AL

(Exact name of registrant as specified in its charter)

DE	001-14761	13-4007862
(State or other jurisdiction of incorporation)	(Commission File Number)	(IRS Employer Identification No.)

191 Mason Street Greenwich, CT	06830
(Address of principal executive offices)	(Zip code)

Registrant's telephone number, including area code (203) 629-2726

Not Applicable

(Former Name or Former Address, if Changed Since Last Report)

Securities registered pursuant to Section 12(b) of the Securities Exchange Act of 1934:

Title of each class	Trading Symbol(s)	Name of each exchange on which registered
Class A Common Stock, $0.001 par value	GBL	New York Stock Exchange

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))

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter):

Emerging growth company ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

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

Director Appointment

Om June 15, 2022, the board of directors (the "Board") of GAMCO Investors, Inc. (the "Company") appointed Alexis Glick as a member of the Board, effective June 15, 2022.  Ms. Glick will serve as a Director until the Company's 2023 Annual Meeting of Stockholders and until her successor is duly elected and qualified, effective immediately.

On June 15, 2022, the Company issued a press release announcing Ms. Glick's appointment. 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

Exhibit
Number	Description
99.1	GAMCO's Press Release, dated June 15, 2022

Exhibit Index

Exhibit
Number	Description
99.1	GAMCO's Press Release, dated June 15, 2022

SIGNATURES

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/ Kieran Caterina

Kieran Caterina

Senior Vice President and Principal Financial Officer

Date:June 15, 2022

EX-99.1

Exhibit 99.1

For Immediate ReleaseContact:Peter D. Goldstein

General Counsel

For further information please visit

www.gabelli.com

Alexis Glick joins GAMCO Board of Directors

Greenwich, CT, June 15, 2022 - GAMCO Investors, Inc. ("GAMCO") (NYSE: GBL) a global leader in diversified financial services announced the appointment of Alexis Glick, a television personality and until earlier this year, the CEO of GENYOUth, a program to promote the health and well-being of public school youth, to its Board of Directors.

Prior to GENYOUth, Glick helped launch the Fox Business Network, building on her experience as a news anchor and national correspondent on NBC's "Today Show" and CNBC's "Squawk Box”.   Earlier in her career, Glick was an executive at Morgan Stanley where she was the first and youngest woman to manage NYSE floor operations for a bulge bracket firm.  She began her career as an analyst at Goldman Sachs in the Equities Division after graduating Columbia University. 

Commenting on her appointment, Mario Gabelli, Chairman said, “We are delighted to have Alexis join our Board.  Her background, energy and enthusiasm will serve our shareholders well.  We look forward to her many contributions.”

“I am delighted to be joining the Board of Directors of GAMCO Investors, Inc.   Mario Gabelli’s track record and his value-based investment style are legendary,” said Alexis Glick. “As a student of the financial markets and a former Wall Street executive, I couldn’t be more excited to work with Mario, the Board, and the management team and play a meaningful role in the growth of one the most recognized asset managers in the industry.”

About GAMCO Investors, Inc.

GAMCO is known for its research-driven approach to equity investing. GAMCO conducts its investment advisory business principally through two subsidiaries: GAMCO Asset Management Inc. (approximately 1,400 institutional and private wealth separate accounts, principally in the U.S.) and Gabelli Funds, LLC (24 open-end funds, 14 closed-end funds, 4 actively managed semi-transparent ETFs and a SICAV). GAMCO serves a broad client base including institutions, intermediaries, offshore investors, private wealth, and direct retail investors.  In recent years, GAMCO has successfully integrated new teams of RIAs by providing attractive compensation arrangements and offering finder’s fees.

GAMCO offers a wide range of solutions for clients across Value and Growth Equity, ESG, Convertibles, actively managed semi-transparent ETFs,  sector-focused strategies including Gold and Utilities, Merger Arbitrage, and Fixed Income. In 1977, GAMCO launched its flagship All Cap Value strategy, Gabelli Value, and in 1986 launched its mutual fund business.

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XML

Document and Entity Information	Jun. 15, 2022
Cover [Abstract]
Document Type	8-K
Amendment Flag	false
Document Period End Date	Jun. 15, 2022
Entity Registrant Name	GAMCO INVESTORS, INC. ET AL
Entity Incorporation, State or Country Code	DE
Entity File Number	001-14761
Entity Tax Identification Number	13-4007862
Entity Address, Address Line One	191 Mason Street
Entity Address, City or Town	Greenwich
Entity Address, State or Province	CT
Entity Address, Postal Zip Code	06830
City Area Code	203
Local Phone Number	629-2726
Written Communications	false
Soliciting Material	false
Pre-commencement Tender Offer	false
Pre-commencement Issuer Tender Offer	false
Entity Emerging Growth Company	false
Entity Central Index Key	0001060349
Title of 12(b) Security	Class A Common Stock, $0.001 par value
Trading Symbol	GBL
Security Exchange Name	NYSE