SEC Form 4 · accession 0000807249-17-000095
GAMCO INVESTORS, INC. ET AL · GBL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Douglas R Jamieson
Officer — President & COO
Period of report
Jun 16, 2017
Accepted (ET)
Jun 16, 2017 · 5:32 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 StockF2 | Jun 16, 2017 | J | 820 | $0.00 | D | 2,460 | I | Custodian of UGMA account |
| Class A Common Stock | holding | — | — | — | 11,115 | D | ||
| Class B Common StockF3 | holding | — | — | — | 29,471 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares transferred from an Uniform Gifts to Minors Act ("UGMA") account over which Mr. Jamieson had voting and dispositive control to an Individual account which Mr. Jamieson does not have voting or dispositive control.
- F2Mr. Jamieson is the Uniform Gifts to Minors Act ("UGMA") custodian for his minor childrens' UGMA accounts. Mr. Jamieson has voting and dispositive control of these shares.
- F3Pursuant to a resolution approved by the Issuer's Board of Directors, as of the date of this filing, there are 668,027 shares of Class B Stock that can be converted into Class A Stock.