Filing Details

Accession Number:
0000807249-18-000235
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-12-13 16:44:50
Reporting Period:
2018-12-13
Accepted Time:
2018-12-13 16:44:50
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1060349 Gamco Investors Inc. Et Al GBL Security Brokers, Dealers & Flotation Companies (6211) 134007862
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1185533 J Mario Gabelli C/O Gamco Investors, Inc
One Corporate Center
Rye NY 10580
Chairman & Ceo Yes Yes Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Class A Common Stock Acquisiton 2018-12-13 1,503 $18.97 16,503 No 4 P Indirect By: GGCP, Inc.
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect By: GGCP, Inc.
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Class A Common Stock 2,000,000 Indirect By: Associated Capital Group, Inc.
Class A Common Stock 200,000 Indirect By: G.research, LLC
Class A Common Stock 816,501 Indirect By: Gabelli & Company Investment Advisers, Inc.
Class A Common Stock 2,000 Direct
Class B Common Stock 453,295 Direct
Class B Common Stock 18,313,741 Indirect By: GGCP Holdings, LLC
Footnotes
  1. Pursuant to a resolution approved by the Issuer's Board of Directors, as of the date of this filing, there are 600,066 shares of Class B Stock that can be converted into Class A Stock.
  2. These shares of the Issuer's Class B Stock are held by GGCP Holdings, LLC ("Holdings") via GGCP, Inc. ("GGCP"). The Reporting Person may be deemed to have beneficial ownership of the Class B Stock held by Holdings on the basis of (i) his position as the Chief Executive Officer of, a director of, and the controlling shareholder of, GGCP, which is the manager and a majority member of Holdings, and (ii) certain profit interests in Holdings. The Reporting Person disclaims any beneficial ownership of Class B Stock held by Holdings except to the extent of his pecuniary interest therein.