SEC Form 4 · accession 0001104659-17-070230
GAMCO INVESTORS, INC. ET AL · GBL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Nov 21, 2017
Accepted (ET)
Nov 22, 2017 · 5:04 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001060349
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Convertible Promissory NoteF1 | $55.00 | Nov 21, 2017 | J | — | D | Aug 15, 2016 | Aug 15, 2021 | Class A Common Stock, $0.001 par value | 2,000,000 | 0 | D |
Explanation of responses
- F1On November 21, 2017, GAMCO Investors, Inc., redeemed the Convertible Promissory Note, dated August 15, 2016, held by Cascade Investment, L.L.C. for $114,629,041, an amount equal to 103% of the unpaid principal amount of the note plus unpaid accrued interest.