SEC Form 4 · accession 0000807249-18-000044

GAMCO INVESTORS, INC. ET AL · GBL

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Chairman & CEO · Director · 10% Owner

Period of report

Mar 12, 2018

Accepted (ET)

Mar 13, 2018 · 4:01 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	Mar 12, 2018	J	666,805	$0.00	D	1,526,500	I	By: Gabelli & Company Investment Advisers, Inc.
Class A Common Stock	holding	—	—		—	2,200,000	I	By: G.research, LLC
Class A Common Stock	holding	—	—		—	15,000	I	By: GGCP, Inc.
Class B Common Stock^F2,F3	holding	—	—		—	18,313,741	I	By: GGCP Holdings, LLC
Class A Common Stock	holding	—	—		—	2,000	D
Class B Common Stock^F2	holding	—	—		—	453,295	D

No Table II lines on this filing.

F1Shares transferred in exchange for shares of Associated Capital Group, Inc., which were tendered in connection with an exchange offer.
F2Pursuant 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.
F3These shares of the Issuer's Class B Stock are held by GGCP Holdings, LLC ("Holdings") via GGCP, Inc. ("GGCP"). The Reporting Person may be deemed to have beneficial ownership of the Class B Stock held by Holdings on the basis of (i) his position as the Chief Executive Officer of, a director of, and the controlling shareholder of, GGCP, which is the manager and a majority member of Holdings, and (ii) certain profit interests in Holdings. The Reporting Person disclaims any beneficial ownership of Class B Stock held by Holdings except to the extent of his pecuniary interest therein.