-----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, HJ6a/P807bFxEP/WScHfdOGrCpjcC2EwjQLhUGqKGCXZxssKHXISrN/w0zEZx8yv mPlLS9dVHg3uk7ijKxyS0A== 0001157523-06-004343.txt : 20060428 0001157523-06-004343.hdr.sgml : 20060428 20060428170955 ACCESSION NUMBER: 0001157523-06-004343 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20060424 ITEM INFORMATION: Departure of Directors or Principal Officers; Election of Directors; Appointment of Principal Officers ITEM INFORMATION: Financial Statements and Exhibits FILED AS OF DATE: 20060428 DATE AS OF CHANGE: 20060428 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: 06791123 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 a5136162.txt GAMCO INVESTORS, INC. 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) April 24, 2006 GAMCO INVESTORS, INC. (Exact name of registrant as specified in its charter) New York 1-14761 13-4007862 (State or other (Commission File Number) (IRS Employer jurisdiction of incorporation) 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 Principal Officers; Election of Directors; Appointment of Principal Officers. On April 24, 2006, Michael R. Anastasio, Vice President and Chief Financial Officer of GAMCO Investors, Inc. (the "Company"), informed the Company that he would be resigning from his position with the Company effective after the filing of the Company's Form 10-Q for the first quarter but no later than May 31, 2006. On April 28, 2006, the Company announced that John C. Ferrara, a director of the Company since December 1999, would be appointed interim Chief Financial Officer effective with Mr. Anastasio's departure. On April 28, 2006, the Company issued a press release announcing, among other things, the Company's appointment of Mr. Ferrara as interim Chief Financial Officer. A copy of the press release is attached hereto as Exhibit 99.1 and is hereby incorporated by reference. Item 9.01. Financial Statements and Exhibits. (c) Exhibits 99.1 Company's Press Release, dated April 28, 2006. Exhibit Index ------------- Exhibit No. Description - ----------- ----------- 99.1 Company's Press Release, dated April 28, 2006 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 28, 2006 -------------- EX-99.1 2 a5136162ex991.txt GAMCO INVESTORS, INC. EXHIBIT 99.1 Exhibit 99.1 GAMCO Appoints John Ferrara as Interim Chief Financial Officer RYE, N.Y.--(BUSINESS WIRE)--April 28, 2006--GAMCO Investors, Inc. (NYSE: GBL) announced today that John C. Ferrara, a senior executive with more than twenty-five years of experience in operations, acquisitions, financing, business development and strategic planning, will serve as interim Chief Financial Officer. Mr. Ferrara has been a member of the Board of GAMCO Investors, Inc. since December 1999. "We are pleased to have John available in this transition," Mario Gabelli, Chairman and C.E.O. of GAMCO, said. "John's broad-based financial experience will be extremely helpful as we search for a CFO." Mr. Ferrara was the President and CEO of Space Holding Corporation and its Chief Financial Officer from November 1999 to December 2000. He was the Executive Vice President and Chief Financial Officer of Golden Books Family Entertainment, Inc. from 1998 to 1999, and Vice President and Chief Financial Officer of Renaissance Communications Corp. from 1989 to 1997. Mr. Ferrara, a CPA, previously held financial positions at the American Express Company, the National Broadcasting Company and Deloitte & Touche LLP. Mr. Ferrara has an MBA in Finance from Columbia University and a BS in Accounting from the University of Maryland. Mr. Ferrara assumes the post from Michael R. Anastasio, Jr. who will be leaving the company next month to pursue another career opportunity after the completion of the Form 10-Q filing. Mr. Gabelli added, "All of us at GAMCO wish Michael well on his new endeavors." GAMCO Investors, Inc., through its subsidiaries, manages assets of private advisory accounts (GAMCO), mutual funds and closed-end funds (Gabelli Funds, LLC), and partnerships and offshore funds (Investment Partnerships). CONTACT: For GAMCO Investors Douglas R. Jamieson, 914-921-5020 www.gabelli.com -----END PRIVACY-ENHANCED MESSAGE-----