SEC Form 4 · accession 0000807249-18-000154
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
Aug 7, 2018
Accepted (ET)
Aug 9, 2018 · 4:17 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 StockF1 | Aug 7, 2018 | A | 15,000 | — | A | 28,439 | D | |
| Class A Common StockF2 | holding | — | — | — | 820 | I | Custodian of UGMA account | |
| Class B Common StockF3 | holding | — | — | — | 29,471 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares represent restricted stock that was awarded to the Reporting Person pursuant to the Issuer's Stock Award and Incentive Plan. Thirty percent of these shares vest after three years from the date of the award and the remaining seventy percent vest after five years from the date of the award.
- 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.