SEC Form 5 · accession 0000040417-17-000023
GENERAL AMERICAN INVESTORS CO INC · GAM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Eugene S Stark
Officer — VP Administration/CCO/PFO
Period of report
Dec 31, 2016
Accepted (ET)
Feb 10, 2017 · 11:15 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000040417
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2 | Feb 1, 2016 | J | 13 | $27.75 | A | 3,646 | D | |
| Common StockF2 | Dec 30, 2016 | J | 357 | $31.375 | A | 4,003 | D | |
| Common StockF3,F4 | Dec 30, 2016 | J | 5,662 | — | A | 40,613 | I | By Thrift Plan Trust |
| 5.95% Preferred StockF5 | holding | — | — | — | 2,500 | I | By Spouse | |
| 5.95% Preferred StockF6 | holding | — | — | — | 7,500 | D | ||
| 5.95% Preferred StockF2 | holding | — | — | — | 5,000 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares received in payment of dividends.
- F2Shares held in joint tenancy with spouse.
- F3The securities reported herein were acquired on a periodic basis in open market transactions at the prevailing market price pursuant to the Issuer's Employees' Thrift Plan. The information is based upon a statement as of 12/31/2016 issued by the Plan Administrator.
- F4By Issuer's Employees' Thrift Plan Trust. The undersigned disclaims any beneficial interest in these shares.
- F5Shares held by the undersigned's spouse in an IRA account.
- F6Shares held by the undersigned in an IRA account.