SEC Form 4 · accession 0000807249-15-000136
GAMCO INVESTORS, INC. ET AL · GBL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Elisa M. Wilson
Director
Period of report
Jun 19, 2015
Accepted (ET)
Jun 22, 2015 · 4:56 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 19, 2015 | M | 10,000 | $45.77 | A | 10,000 | D | |
| Class A Common StockF1 | Jun 19, 2015 | S | 3,300 | $69.6206 | D | 6,700 | D | |
| Class A Common StockF1 | Jun 22, 2015 | S | 500 | $69.92 | D | 6,200 | D | |
| Class B Common StockF2 | holding | — | — | — | 14,460 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F3 | $45.77 | Jun 19, 2015 | M | 10,000 | D | — | Feb 8, 2021 | Class A Common Stock | 10,000 | 0 | D |
Explanation of responses
- F1Shares were sold to satisfy the exercise price of the options.
- F2Pursuant to a resolution approved by the Issuer's Board of Directors, as of the date of this filing there are 794,640 shares of Class B Stock that may be converted into Class A Stock.
- F3Seventy-five percent of this stock option is exercisable on 2/8/2014, the remaining twenty-five percent of this stock option is exercisable on 2/8/2015.