SEC Form 5 · accession 0000040417-18-000018
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, 2017
Accepted (ET)
Feb 1, 2018 · 6:34 pm 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 StockF1 | Dec 29, 2017 | J | 395 | $33.575 | A | 5,098 | D | |
| Common StockF2,F3 | Dec 29, 2017 | J | 5,972 | — | A | 46,585 | I | By Thrift Plan Trust |
| 5.95% Preferred StockF4 | holding | — | — | — | 11,250 | D | ||
| 5.95% Preferred StockF5 | holding | — | — | — | 3,750 | I | By Spouse | |
| 5.95% Preferred StockF1 | holding | — | — | — | 5,000 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares held in joint tenancy with spouse.
- F2The 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 12/31/2017 issued by the Plan Administrator.
- F3By Issuer's Employees' Thrift Plan Trust. The undersigned disclaims any beneficial interest in these shares.
- F4Shares held by the undersigned in an IRA account.
- F5Shares held by the undersigned's spouse in an IRA account.
- F6Shares received in payment of dividends.