SEC Form 4 · accession 0000807249-15-000282
GAMCO INVESTORS, INC. ET AL · GBL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Mario J Gabelli
Officer — Chairman & CEO · Director · 10% Owner
GGCP, INC.
10% Owner
GGCP Holdings LLC
10% Owner
Period of report
Dec 30, 2015
Accepted (ET)
Dec 31, 2015 · 2:21 pm EST
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 B Common StockF2 | Dec 30, 2015 | D | 40,000 | $0.00 | D | 303,295 | D | |
| Class A Common Stock | Dec 30, 2015 | A | 40,000 | $0.00 | A | 40,000 | D | |
| Class A Common Stock | Dec 30, 2015 | G | 40,000 | $0.00 | D | 0 | D | |
| Class A Common Stock | holding | — | — | — | 4,393,055 | I | By: Gabelli Securities, Inc. | |
| Class B Common StockF2 | holding | — | — | — | 18,423,741 | I | By: GGCP Holdings, LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Mario J. Gabelli exchanged with the Issuer shares of Class B Common Stock ("Class B Stock") for an equal number of shares of Class A Common Stock ("Class A Stock"). These transactions were effected pursuant to Rule 16b-3 under the Securities Act of 1934 for the purpose of exempting such acquisition and disposition.
- F2Pursuant to a resolution approved by the Issuer's Board of Directors, as of the date of this filing, there are 732,618 shares of Class B Stock that can be converted into Class A Stock.