SEC Form 4 · accession 0000807249-17-000156
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 of GAMCO Asset
Period of report
Sep 15, 2017
Accepted (ET)
Sep 18, 2017 · 11:27 am 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 | Sep 15, 2017 | F | 310 | $28.79 | D | 10,495 | D | |
| Class A Common StockF1 | holding | — | — | — | 2,460 | I | Custodian of UGMA accounts | |
| Class B Common StockF2 | holding | — | — | — | 29,471 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Mr. 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.
- F2Pursuant 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.