0001225208-16-038369.txt : 20160825 0001225208-16-038369.hdr.sgml : 20160825 20160825170215 ACCESSION NUMBER: 0001225208-16-038369 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20160815 FILED AS OF DATE: 20160825 DATE AS OF CHANGE: 20160825 ISSUER: 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 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GATES WILLIAM H III CENTRAL INDEX KEY: 0000902012 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14761 FILM NUMBER: 161852161 MAIL ADDRESS: STREET 1: ONE MICROSOFT WAY CITY: REDMOND STATE: WA ZIP: 98052 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CASCADE INVESTMENT, L.L.C. CENTRAL INDEX KEY: 0001052192 STATE OF INCORPORATION: WA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14761 FILM NUMBER: 161852162 BUSINESS ADDRESS: STREET 1: 2365 CARILLON POINT CITY: KIRKLAND STATE: WA ZIP: 98033 BUSINESS PHONE: 4258897900 MAIL ADDRESS: STREET 1: 2365 CARILLON POINT CITY: KIRKLAND STATE: WA ZIP: 98033 FORMER NAME: FORMER CONFORMED NAME: CASCADE INVESTMENT LLC DATE OF NAME CHANGE: 19980102 3 1 doc3.xml X0206 3 2016-08-15 0 0001060349 GAMCO INVESTORS, INC. ET AL GBL 0001052192 CASCADE INVESTMENT, L.L.C. 2365 CARILLON POINT KIRKLAND WA 98033 1 0000902012 GATES WILLIAM H III ONE MICROSOFT WAY REDMOND WA 98052 1 Convertible Promissory Note 55.0000 2016-08-15 2021-08-15 Class A Common Stock, .001 par value 2000000.0000 D The shares of the Class A Common Stock $.001 par value (the "Common Stock"), of GAMCO Investors, Inc. (the "Issuer") that are the subject of this Form 3 are issuable by the Issuer pursuant to the terms of a convertible promissory note due 2021 (the "Note") purchased by Cascade Investment, L.L.C. ("Cascade") in the aggregate principal amount of $110,000,000 pursuant to a note purchase agreement, dated as of August 15, 2016, by and among Cascade, the Issuer, Mario J. Gabelli and GGCP, Inc. The Note bears interest at a rate of 4.5% per annum and is convertible into shares of Common Stock at an initial conversion price of $55.00 per share, subject to certain adjustments. mlahmrpoa.txt, mlahpoa.txt /s/ Alan Heuberger, Attorney-in-fact for Michael Larson, Business Manager of Cascade Investment, L.L.C. 2016-08-25 /s/ Alan Heuberger, Attorney-in-fact for William H. Gates III 2016-08-25 EX-24 2 mlahmrpoa.txt Special Limited Power Of Attorney The undersigned, Michael Larson, does hereby constitute and appoint Alan Heuberger and Mike Rodden, and each of them, with full power to act without the other, as attorneys-in-fact, on behalf of the undersigned and in the undersigned's name, place and stead, to execute, acknowledge, deliver and/or file any documents or filings and any amendments thereto made by or on behalf of the undersigned in respect of any securities held by him, directly, indirectly or beneficially, or required in connection with his position as a director, officer, manager or security holder of any entity under any laws, rules or regulations of any pertinent jurisdiction or any relevant securities market or exchange. The undersigned acknowledges that the foregoing attorneys-in-fact, in serving in such capacity, are not assuming any of the undersigned's responsibilities to comply with such laws. This Special Limited Power of Attorney shall remain in full force and effect with respect to each foregoing attorneys-in-fact until withdrawn by the undersigned by written notice to such attorneys-in-fact. IN WITNESS WHEREOF, the undersigned has caused this Special Limited Power of Attorney to be executed as of this 11th day of October, 2013. /s/ Michael Larson Michael Larson State of Washington ) ) ss County of King ) I certify that I know or have satisfactory evidence that Michael Larson is the person who appeared before me, and said person acknowledged that he signed this instrument as his free and voluntary act for the uses and purposes mentioned in the instrument. Dated: October 11, 2013 /s/ Robin S. Orwiler Robin S. Orwiler Notary Public My commission expires: 11/01/2014 EX-24 3 mlahpoa.txt Special Limited Power Of Attorney The undersigned, Michael Larson, pursuant to lawfully granted authority by the principal, William H. Gates III hereby appoints Alan Heuberger with full power to act as attorney-in-fact, on behalf of Mr. Gates and in his name, place and stead, to execute, acknowledge, deliver and/or file any documents or filings and any amendments thereto made by or on behalf of Mr. Gates in respect of any securities held by him, directly, indirectly or beneficially, or required in connection with his position as a director or officer of any entity, with the Securities and Exchange Commission, including, without limitation: (i) Schedules 13D ,13G and 13F pursuant to Section 13 of the Securities Exchange Act of 1934 (the "Act") and (ii) Forms 3, 4 and 5 pursuant to Section 16 of the Act. The undersigned acknowledges that the foregoing attorney-in-fact, in serving in such capacity, is not assuming any of Mr. Gates' responsibilities to comply with such laws. This Special Limited Power of Attorney shall remain in full force and effect with respect to the foregoing attorney-in-fact until withdrawn by the undersigned or Mr. Gates by written notice to the foregoing attorney-in-fact. Nothing herein is intended to destroy or alter the rights of the undersigned to also act as attorney-in-fact for Mr. Gates under any Power of Attorney separately granted to the undersigned by Mr. Gates. IN WITNESS WHEREOF, the undersigned has caused this Special Limited Power of Attorney to be executed as of this 12th day of August, 2008. /s/ Michael Larson Michael Larson State of Washington ) ) ss County of King ) I certify that I know or have satisfactory evidence that Michael Larson is the person who appeared before me, and said person acknowledged that he signed this instrument as his free and voluntary act for the uses and purposes mentioned in the instrument. Dated: August 12, 2008 /s/ Christine Welch Christine Welch Notary Public My commission expires: 2/19/2009