SEC Form 4 · accession 0000807249-18-000034
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
Jun 19, 2017
Accepted (ET)
Feb 26, 2018 · 3:59 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 A Common StockF2 | Jun 19, 2017 | J | 1,640 | $0.00 | D | 820 | I | Custodian of UGMA account |
| Class A Common Stock | holding | — | — | — | 8,439 | D | ||
| Class B Common StockF3 | holding | — | — | — | 29,471 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares were transferred to Mr. Jamieson's childrens' accounts. Previously, Mr. Jamieson was the Uniform Gifts to Minors Act ("UGMA") custodian of these accounts.
- F2Mr. Jamieson is the UGMA custodian for his minor child's UGMA account. 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 600,230 shares of Class B Stock that can be converted into Class A Stock.