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