SEC Form 4 · accession 0000807249-15-000131
GAMCO INVESTORS, INC. ET AL · GBL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Raymond Avansino
Director
Period of report
Jun 16, 2015
Accepted (ET)
Jun 16, 2015 · 5:13 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001060349
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | Jun 16, 2015 | M | 6,000 | $51.74 | A | 30,000 | D | |
| Class A Common StockF1 | holding | — | — | — | 60,000 | I | By: Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Director Stock Option (Right to Buy)F2 | $51.74 | Jun 16, 2015 | M | 6,000 | D | May 22, 2011 | May 22, 2018 | Class A Common Stock | 6,000 | 0 | D |
Explanation of responses
- F1These shares are owned by two entities for which Mr. Avansino serves as a director and officer. Mr. Avansino disclaims beneficial ownership of these shares.
- F2The options became exercisable with respect to 75% of the shares on 5/22/11 and with respect to 100% of the shares on 5/22/12.