Grunnleggende statistikk
| LEI | 51A2MDO9SJ2HTOSMLZ76 |
| CIK | 1060349 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Gamco Investors Inc - Class A
SEC Filings (Chronological Order)
På denne siden finner du en fullstendig, kronologisk liste over SEC-arkiveringer, med unntak av eierskaps-arkiveringer som vi leverer andre steder.
| October 3, 2024 |
GAMI / GAMCO Investors, Inc. / Neuberger Berman Group LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 3)* GAMCO INVESTORS, INC. ET AL (Name of Issuer) Common (Title of Class of Securities) 361438104 (CUSIP Number) September 30, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which thi |
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| February 13, 2024 |
GBL / Gamco Investors Inc - Class A / Neuberger Berman Group LLC Passive Investment SC 13G/A 1 formsc13ga-02132024080252.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 2)* GAMCO INVESTORS, INC. ET AL (Name of Issuer) Common (Title of Class of Securities) 361438104 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to |
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| February 10, 2023 |
GBL / Gamco Investors Inc / Neuberger Berman Group LLC - NONE Passive Investment SC 13G/A 1 doc1.htm NONE UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* GAMCO INVESTORS INC CLASS A A (Name of Issuer) Common (Title of Class of Securities) 361438104 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the ru |
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| November 9, 2022 |
GBL / Gamco Investors Inc / GGCP, INC. Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 13) GAMCO Investors, Inc. (Name of Issuer) Class A Common Stock (Title of Class of Securities) 361438104 (CUSIP Number) GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 191 Mason Street Greenwich, Connecticut 10580 (914) 921-5000 (Name, Address and Tele |
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| October 7, 2022 |
OMB APPROVAL OMB Number: 3235-0167 Expires: July 31, 2024 Estimated average burden hours per response: 1. |
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| October 4, 2022 |
GAMCO Expects to Report Diluted EPS for the Third Quarter 2022 of $0.33 to $0.38 Per Share Exhibit 99.1 For Immediate Release: Contact: Kieran Caterina SVP, Chief Accounting Officer (914) 921-5149 For further information please visit www.gabelli.com GAMCO Expects to Report Diluted EPS for the Third Quarter 2022 of $0.33 to $0.38 Per Share Greenwich, Connecticut, October 4, 2022 ? GAMCO Investors, Inc. (?GAMCO?) (NYSE: GBL) announced today that it expects to report third quarter 2022 dil |
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| October 4, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): October 4, 2022 GAMCO INVESTORS, INC. ET AL (Exact name of registrant as specified in its charter) DE 001-14761 13-4007862 (State or other jurisdiction of incorporation) (Commission F |
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| September 26, 2022 |
OMB APPROVAL OMB Number: 3235-0080 Expires: May 31, 2024 Estimated average burden hours per response: 1. |
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| September 21, 2022 |
As filed with the Securities and Exchange Commission on September 20, 2022 As filed with the Securities and Exchange Commission on September 20, 2022 Registration No. |
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| September 20, 2022 |
As filed with the Securities and Exchange Commission on September 20, 2022 As filed with the Securities and Exchange Commission on September 20, 2022 Registration No. |
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| September 20, 2022 |
As filed with the Securities and Exchange Commission on September 20, 2022 As filed with the Securities and Exchange Commission on September 20, 2022 Registration No. |
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| September 20, 2022 |
As filed with the Securities and Exchange Commission on September 20, 2022 S-8 POS 1 s8pos0586703252509202022.htm As filed with the Securities and Exchange Commission on September 20, 2022 Registration No. 333-192525 Registration No. 333-172427 Registration No. 333-126095 Registration No. 333-76748 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 (NO. 333-192525) POST-EFFECTIVE AMENDMENT NO. 2 (NO. 333-172427) POST-EF |
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| September 20, 2022 |
As filed with the Securities and Exchange Commission on September 20, 2022 As filed with the Securities and Exchange Commission on September 20, 2022 Registration No. |
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| September 20, 2022 |
As filed with the Securities and Exchange Commission on September 20, 2022 As filed with the Securities and Exchange Commission on September 20, 2022 Registration No. |
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| September 20, 2022 |
As filed with the Securities and Exchange Commission on September 20, 2022 As filed with the Securities and Exchange Commission on September 20, 2022 Registration No. |
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| September 19, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): September 19, 2022 GAMCO INVESTORS, INC. ET AL (Exact name of registrant as specified in its charter) Delaware 001-14761 13-4007862 (State or other jurisdiction of incorporation) (Com |
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| September 19, 2022 |
GAMCO Update on Net Cash after Paying Debt Exhibit 99.1 For Immediate Release: Contact: Mario Gabelli Executive Chairman (914) 921-3900 For further information please visit www.gabelli.com GAMCO Update on Net Cash after Paying Debt Greenwich, Connecticut, September 19, 2022 ? GAMCO Investors, Inc. (?GAMCO?) (NYSE: GBL) announced today that GAMCO has $117 million of cash and cash equivalents and no debt subsequent to the September 15, 2022 |
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| September 16, 2022 |
GAMCO Investors, Inc. Announces Voluntary NYSE Delisting and SEC Deregistration Exhibit 99.1 For Immediate Release Contact:Peter D. Goldstein General Counsel For further information please visit www.gabelli.com GAMCO Investors, Inc. Announces Voluntary NYSE Delisting and SEC Deregistration Greenwich, CT September 16, 2022 ? GAMCO Investors, Inc. (NYSE: GBL) (?GAMCO? or the ?Company?) announced today that it has given formal notice to the New York Stock Exchange (?NYSE?) of it |
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| September 16, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): September 14, 2022 GAMCO INVESTORS, INC. ET AL (Exact name of registrant as specified in its charter) DE 001-14761 13-4007862 (State or other jurisdiction of incorporation) (Commissio |
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| August 9, 2022 |
GAMCO Calls Subordinated Notes Exhibit 99.1 For Immediate Release: Contact: Peter D. Goldstein General Counsel (914) 921-7774 For further information please visit www.gabelli.com GAMCO Calls Subordinated Notes Greenwich, CT, August 9, 2022 ? GAMCO Investors, Inc. (?GAMCO?) (NYSE: GBL) announced today that it has elected to call the remaining $33.7 million principal amount of its subordinated notes due June 15, 2023 (CUSIP No. 3 |
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| August 9, 2022 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 9, 2022 GAMCO INVESTORS, INC. ET AL (Exact name of registrant as specified in its charter) Delaware 001-14761 13-4007862 (State or other jurisdiction of incorporation) (Commiss |
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| August 3, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 3, 2022 GAMCO INVESTORS, INC. ET AL (Exact name of registrant as specified in its charter) Delaware 001-14761 13-4007862 (State or other jurisdiction of incorporation) (Commiss |
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| August 3, 2022 |
GAMCO Adding Doug Jamieson to Office of the CEO Exhibit 99.1 For Immediate Release Contact:Peter D. Goldstein General Counsel For further information please visit www.gabelli.com GAMCO Adding Doug Jamieson to Office of the CEO Greenwich, CT, August 3, 2022 - GAMCO Investors, Inc. ("GAMCO") (NYSE: GBL) a global leader in diversified financial services announced that it has created an Office of the CEO, and added Doug Jamieson to the role. Commen |
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| August 2, 2022 |
GAMCO Investors, Inc. Reports Results for the Second Quarter 2022 Exhibit 99.1 For Immediate Release: Contact: Howard Green SVP of Corporate Development (914) 921-7729 For further information please visit www.gabelli.com GAMCO Investors, Inc. Reports Results for the Second Quarter 2022 - Second quarter net income for 2022 was $17.3 million, an increase of $0.2 million vs. 2021 - GAAP earnings of $0.66 per share compared to $0.64 per share in 2021 - AUM of $28.7 |
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| August 2, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 2, 2022 GAMCO INVESTORS, INC. ET AL (Exact name of registrant as specified in its charter) Delaware 001-14761 13-4007862 (State or other jurisdiction of incorporation) (Commiss |
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| August 2, 2022 |
UNITED STATES SECURITIES & EXCHANGE COMMISSION WASHINGTON, D.C. 20549 UNITED STATES SECURITIES & EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-14761 GAMCO INVESTORS, INC. (Exac |
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| July 22, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): July 22, 2022 GAMCO INVESTORS, INC. ET AL (Exact name of registrant as specified in its charter) Delaware 001-14761 13-4007862 (State or other jurisdiction of incorporation) (Commissi |
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| July 22, 2022 |
GAMCO Expects to Report Diluted EPS for the Second Quarter 2022 of $0.62 to $0.67 Per Share Exhibit 99.1 For Immediate Release: Contact: Howard Green SVP of Corporate Development (914) 921-7729 For further information please visit www.gabelli.com GAMCO Expects to Report Diluted EPS for the Second Quarter 2022 of $0.62 to $0.67 Per Share Greenwich, Connecticut, July 22, 2022 ? GAMCO Investors, Inc. (?GAMCO?) (NYSE: GBL) announced today that it expects to report second quarter 2022 diluted |
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| July 6, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): July 1, 2022 GAMCO INVESTORS, INC. ET AL (Exact name of registrant as specified in its charter) DE 001-14761 13-4007862 (State or other jurisdiction of incorporation) (Commission File |
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| June 15, 2022 |
Alexis Glick joins GAMCO Board of Directors Exhibit 99.1 For Immediate Release Contact:Peter D. Goldstein General Counsel For further information please visit www.gabelli.com Alexis Glick joins GAMCO Board of Directors Greenwich, CT, June 15, 2022 - GAMCO Investors, Inc. ("GAMCO") (NYSE: GBL) a global leader in diversified financial services announced the appointment of Alexis Glick, a television personality and until earlier this year, the |
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| June 15, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): June 15, 2022 GAMCO INVESTORS, INC. ET AL (Exact name of registrant as specified in its charter) DE 001-14761 13-4007862 (State or other jurisdiction of incorporation) (Commission Fil |
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| June 6, 2022 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): June 2, 2022 GAMCO INVESTORS, INC. ET AL (Exact name of registrant as specified in its charter) DE 001-14761 13-4007862 (State or other jurisdiction of incorporation) (Commission File |
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| May 6, 2022 |
UNITED STATES SECURITIES & EXCHANGE COMMISSION WASHINGTON, D.C. 20549 UNITED STATES SECURITIES & EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-14761 GAMCO INVESTORS, INC. (Exa |
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| May 3, 2022 |
GAMCO Investors, Inc. Reports Results for the First Quarter 2022 Exhibit 99.1 For Immediate Release: Contact: Howard Green SVP of Corporate Development (914) 921-7729 For further information please visit www.gabelli.com GAMCO Investors, Inc. Reports Results for the First Quarter 2022 - First quarter net income for 2022 was $17.5 million, an increase of $1.5 million - GAAP earnings of $0.66 per share compared to $0.59 per share in 2021 and $0.41 per share for Q4 |
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| May 3, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 3, 2022 GAMCO INVESTORS, INC. ET AL (Exact name of registrant as specified in its charter) Delaware 001-14761 13-4007862 (State or other jurisdiction of incorporation) (Commission |
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| April 29, 2022 |
UNITED STATES SECURITIES & EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A (Rule 14a-101) SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule |
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| April 18, 2022 |
GAMCO Expects to Report Diluted EPS for the First Quarter 2022 of $0.64 to $0.68 Per Share Exhibit 99.1 For Immediate Release: Contact: Howard Green SVP of Corporate Development (914) 921-7729 For further information please visit www.gabelli.com GAMCO Expects to Report Diluted EPS for the First Quarter 2022 of $0.64 to $0.68 Per Share Greenwich, Connecticut, April 18, 2022 ? GAMCO Investors, Inc. (?GAMCO?) (NYSE: GBL) announced today that it expects to report first quarter 2022 diluted |
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| April 18, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): April 18, 2022 GAMCO INVESTORS, INC. ET AL (Exact name of registrant as specified in its charter) Delaware 001-14761 13-4007862 (State or other jurisdiction of incorporation) (Commiss |
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| March 28, 2022 |
Exhibit 99.1 For Immediate Release: Contact: Peter D. Goldstein General Counsel (914) 921-7774 For further information please visit www.gabelli.com GAMCO Commences Tender Offer for up to $10 Million of its 2-Year Puttable Subordinated Notes due 2023 At $1,014 per $1,000 Note Greenwich, Connecticut, March 28, 2022 ? GAMCO Investors, Inc. (?GAMCO?) (NYSE: GBL) announced today that it commenced a ten |
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| March 28, 2022 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 28, 2022 GAMCO INVESTORS, INC. ET AL (Exact name of registrant as specified in its charter) Delaware 001-14761 13-4007862 (State or other jurisdiction of incorporation) (Commiss |
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| March 11, 2022 |
GBL / Gamco Investors Inc / GGCP, INC. Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 12) GAMCO Investors, Inc. (Name of Issuer) Class A Common Stock (Title of Class of Securities) 361438104 (CUSIP Number) GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number of Person Authorized to Receive N |
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| March 10, 2022 |
Subsidiaries of GAMCO Investors, Inc. Exhibit 21.1 Subsidiaries of GAMCO Investors, Inc. The following table lists the direct and indirect subsidiaries of GAMCO Investors, Inc. (the ?Company?). In accordance with Item 601(21) of Regulation S-K, the omitted subsidiaries considered in the aggregate as a single subsidiary would not constitute a ?significant subsidiary? as defined under Rule 1-02(w) of Regulation S-X. Name Jurisdiction of |
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| March 10, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 8, 2022 GAMCO INVESTORS, INC. ET AL (Exact name of registrant as specified in its charter) Delaware 001-14761 13-4007862 (State or other jurisdiction of incorporation) (Commissi |
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| March 10, 2022 |
UNITED STATES SECURITIES & EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K UNITED STATES SECURITIES & EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-14761 GAMCO INVESTORS, INC. (Exact na |
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| February 15, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 15, 2022 GAMCO INVESTORS, INC. ET AL (Exact name of registrant as specified in its charter) Delaware 001-14761 13-4007862 (State or other jurisdiction of incorporation) (Comm |
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| February 14, 2022 |
GBL / Gamco Investors Inc / Neuberger Berman Group LLC - NONE Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. n/a )* GAMCO INVESTORS INC CLASS A A (Name of Issuer) Common (Title of Class of Securities) 361438104 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which t |
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| February 4, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 4, 2022 GAMCO INVESTORS, INC. ET AL (Exact name of registrant as specified in its charter) Delaware 001-14761 13-4007862 (State or other jurisdiction of incorporation) (Commi |
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| February 4, 2022 |
GAMCO Names Doug Jamieson to Board Exhibit 99.1 For Immediate Release Contact: Peter D. Goldstein General Counsel For further information please visit www.gabelli.com GAMCO Names Doug Jamieson to Board Greenwich, CT, February 4, 2022 - GAMCO Investors, Inc. ("GAMCO") (NYSE: GBL) a global leader in diversified financial services announced that it has appointed Douglas R. Jamieson to its Board of Directors. Doug Jamieson has been wit |
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| February 3, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 3, 2022 GAMCO INVESTORS, INC. ET AL (Exact name of registrant as specified in its charter) DE 001-14761 13-4007862 (State or other jurisdiction of incorporation) (Commission |
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| February 3, 2022 |
GAMCO Investors, Inc. Reports Results for the Year Ended December 31, 2021 Exhibit 99.1 For Immediate Release: Contact: Howard Green SVP of Corporate Development (914) 921-7729 For further information please visit www.gabelli.com GAMCO Investors, Inc. Reports Results for the Year Ended December 31, 2021 - GAAP earnings of $2.73 per share compared to $2.20 per share in 2020 - Net income for 2021 was $73.2 million, an increase of $14.5 million - December 31, 2021 AUM was $ |
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| January 19, 2022 |
Exhibit 99.1 For Immediate Release: Contact: Howard Green SVP of Corporate Development (914) 921-7729 For further information please visit www.gabelli.com GAMCO plans to report 2021 full year results in the range of $2.71 to $2.77 per share Fourth Quarter 2021 diluted earnings expected to be in the range $0.39 to $0.45 per share Greenwich, Connecticut, January 19, 2022 ? GAMCO Investors, Inc. (?GA |
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| January 19, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): January 19, 2022 GAMCO INVESTORS, INC. ET AL (Exact name of registrant as specified in its charter) DE 001-14761 13-4007862 (State or other jurisdiction of incorporation) (Commission |
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| December 2, 2021 |
Exhibit 99.1 For Immediate Release: Contact: Douglas R. Jamieson President (914) 921-5020 For further information please visit www.gabelli.com GAMCO Announces $0.50 Per Share Shareholder Designated Charitable Contribution Creates Pool of Over $13 million for Registered Shareholders to Make Donations Greenwich, Connecticut, November 29, 2021 ? GAMCO Investors, Inc. (?GAMCO?) (NYSE: GBL) announced t |
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| December 2, 2021 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 29, 2021 GAMCO INVESTORS, INC. ET AL (Exact name of registrant as specified in its charter) Delaware 001-14761 13-4007862 (State or other jurisdiction of incorporation) (Comm |
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| November 5, 2021 |
UNITED STATES SECURITIES & EXCHANGE COMMISSION WASHINGTON, D.C. 20549 UNITED STATES SECURITIES & EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-14761 GAMCO INVESTORS, INC. |
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| November 4, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 4, 2021 GAMCO INVESTORS, INC. ET AL (Exact name of registrant as specified in its charter) Delaware 001-14761 13-4007862 (State or other jurisdiction of incorporation) (Commi |
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| November 4, 2021 |
GAMCO Investors, Inc. Reports 2021 Third Quarter Results Exhibit 99.1 For Immediate Release: Contact: Howard Green SVP of Corporate Development (914) 921-7729 For further information please visit www.gabelli.com GAMCO Investors, Inc. Reports 2021 Third Quarter Results - Net income for the third quarter was $29.2 million vs. $16.4 million in 2020 - Fully diluted third quarter EPS was $1.09 vs. $0.62 per share a year ago - September 30, 2021 AUM of $33.5 |
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| October 15, 2021 |
GAMCO Expects to Report Third Quarter 2021 Diluted Earnings of $1.08 to $1.12 Per Share Exhibit 99.1 For Immediate Release: Contact: Howard Green SVP of Corporate Development (914) 921-7729 For further information please visit www.gabelli.com GAMCO Expects to Report Third Quarter 2021 Diluted Earnings of $1.08 to $1.12 Per Share Greenwich, Connecticut, October 15, 2021 ? GAMCO Investors, Inc. (?GAMCO?) (NYSE: GBL) announced today that it expects to report third quarter 2021 diluted e |
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| October 15, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): October 15, 2021 GAMCO INVESTORS, INC. ET AL (Exact name of registrant as specified in its charter) Delaware 001-14761 13-4007862 (State or other jurisdiction of incorporation) (Commi |
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| August 3, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 3, 2021 GAMCO INVESTORS, INC. ET AL (Exact name of registrant as specified in its charter) DE 001-14761 13-4007862 (State or other jurisdiction of incorporation) (Commission Fi |
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| August 3, 2021 |
UNITED STATES SECURITIES & EXCHANGE COMMISSION WASHINGTON, D.C. 20549 UNITED STATES SECURITIES & EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-14761 GAMCO INVESTORS, INC. (Exac |
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| August 3, 2021 |
GAMCO Investors, Inc. Reports 2021 Second Quarter Results Exhibit 99.1 For Immediate Release: Contact: Howard Green SVP of Corporate Development (914) 921-7729 For further information please visit www.gabelli.com GAMCO Investors, Inc. Reports 2021 Second Quarter Results - Second quarter net income was $17.1 million vs. $11.3 million a year ago - Fully diluted second quarter earnings were $0.64 per share vs. $0.42 per share a year ago - June 30, 2021 AUM |
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| July 23, 2021 |
GAMCO Investors, Inc. One Corporate Center Rye, New York 10580 July 23, 2021 GAMCO Investors, Inc. One Corporate Center Rye, New York 10580 July 23, 2021 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance Mail Stop 4720 100 F Street, N.E. Washington, D.C. 20549 Attention: Jessica Livingston Re: GAMCO Investors, Inc. Registration Statement on Form S-3 Filed July 21, 2021 File No. 333-258065 Ladies and Gentlemen: The undersigned Regist |
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| July 21, 2021 |
Exhibit 25.2 = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM T-1 STATEMENT OF ELIGIBILITY UNDER THE TRUST INDENTURE ACT OF 1939 OF A CORPORATION DESIGNATED TO ACT AS TRUSTEE CHECK IF AN APPLICATION TO DETERMINE ELIGIBILITY OF A TRUSTEE PURSUANT TO SECTION 305(b)(2) || THE BANK OF NE |
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| July 21, 2021 |
As filed with the Securities and Exchange Commission on July 21, 2021. As filed with the Securities and Exchange Commission on July 21, 2021. Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 GAMCO Investors, Inc. (Exact name of Registrant as specified in its charter) DELAWARE (State or other jurisdiction of incorporation or organization) 13-4007862 (I.R.S. Em |
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| July 21, 2021 |
Exhibit 25.1 = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM T-1 STATEMENT OF ELIGIBILITY UNDER THE TRUST INDENTURE ACT OF 1939 OF A CORPORATION DESIGNATED TO ACT AS TRUSTEE CHECK IF AN APPLICATION TO DETERMINE ELIGIBILITY OF A TRUSTEE PURSUANT TO SECTION 305(b)(2) || THE BANK OF NE |
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| July 20, 2021 |
Exhibit 99.1 For Immediate Release: Contact: Howard Green SVP of Corporate Development (914) 921-7729 For further information please visit www.gabelli.com GAMCO to file a new $500 million Shelf Registration tomorrow GAMCO Expects to Report Second Quarter 2021 Diluted Earnings of $0.62 to $0.66 Per Share Greenwich, Connecticut, July 20, 2021 ? GAMCO Investors, Inc. (?GAMCO?) (NYSE: GBL) announced t |
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| July 20, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): July 20, 2021 GAMCO INVESTORS, INC. ET AL (Exact name of registrant as specified in its charter) Delaware 001-14761 13-4007862 (State or other jurisdiction of incorporation) (Commissi |
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| July 20, 2021 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): July 20, 2021 GAMCO INVESTORS, INC. ET AL (Exact name of registrant as specified in its charter) DE 001-14761 13-4007862 (State or other jurisdiction of incorporation) (Commission Fil |
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| July 2, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of The Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Ru |
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| June 21, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of The Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confide |
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| June 15, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): June 14, 2021 GAMCO INVESTORS, INC. ET AL (Exact name of registrant as specified in its charter) Delaware 001-14761 13-4007862 (State or other jurisdiction of incorporation) (Commissi |
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| June 15, 2021 |
Exhibit 4.1 INDENTURE Dated as of June 14, 2021 between GAMCO INVESTORS, INC. as Issuer, and COMPUTERSHARE TRUST COMPANY, N.A. as Trustee $54,040,000 2-Year Puttable Subordinated Notes due 2023 CROSS-REFERENCE TABLE TIA SECTION INDENTURE SECTION 310(a)(1) ????????????????????????????? 7.1 (a)(2) ????????????????????????????? 7.1 (a)(3) ????????????????????????????? N/A (a)(4) ????????????????????? |
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| June 9, 2021 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): June 3, 2021 GAMCO INVESTORS, INC. ET AL (Exact name of registrant as specified in its charter) Delaware 001-14761 13-4007862 (State or other jurisdiction of incorporation) (Commissio |
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| June 9, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): June 8, 2021 GAMCO INVESTORS, INC. ET AL (Exact name of registrant as specified in its charter) Delaware 001-14761 13-4007862 (State or other jurisdiction of incorporation) (Commissio |
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| May 25, 2021 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 11) GAMCO Investors, Inc. (Name of Issuer) Class A Common Stock (Title of Class of Securities) 361438104 (CUSIP Number) GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number of Person Authorized to Receive N |
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| May 7, 2021 |
Quarterly Report - FORM 10-Q/A FOR THE PERIOD ENDING MARCH 31, 2021 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q/A Amendment No. 1 (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2021 ? TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-14761 |
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| May 6, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 5, 2021 GAMCO INVESTORS, INC. ET AL (Exact name of registrant as specified in its charter) Delaware 001-14761 13-4007862 (State or other jurisdiction of incorporation) (Commission |
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| May 6, 2021 |
GAMCO Investors, Inc. Reports Results for the First Quarter 2021 Exhibit 99.1 For Immediate Release: Contact: Howard Green SVP of Corporate Development (914) 921-7729 For further information please visit www.gabelli.com GAMCO Investors, Inc. Reports Results for the First Quarter 2021 - March 31, 2021 AUM of $33.4 billion vs. $27.5 billion a year ago - Equity AUM were $31.7 billion at March 31, 2021 vs. $24.5 billion at March 31, 2020 - First quarter net income |
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| May 6, 2021 |
Quarterly Report - FORM10Q12021 UNITED STATES SECURITIES & EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-14761 GAMCO INVESTORS, INC. (Exa |
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| April 29, 2021 |
- GAMCO INVESTORS, INC. DEFINITIVE PROXY UNITED STATES SECURITIES & EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A (Rule 14a-101) SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule |
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| April 16, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): April 16, 2021 GAMCO INVESTORS, INC. ET AL (Exact name of registrant as specified in its charter) Delaware 001-14761 13-4007862 (State or other jurisdiction of incorporation) (Commiss |
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| April 16, 2021 |
GAMCO Expects to Report First Quarter 2021 Diluted Earnings of $0.55 to $0.59 Per Share Exhibit 99.1 For Immediate Release: Contact: Howard Green SVP of Corporate Development (914) 921-7729 For further information please visit www.gabelli.com GAMCO Expects to Report First Quarter 2021 Diluted Earnings of $0.55 to $0.59 Per Share Greenwich, Connecticut, April 16, 2021 ? GAMCO Investors, Inc. (?GAMCO?) (NYSE: GBL) announced today that it expects to report first quarter 2021 diluted ear |
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| April 13, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): April 13, 2021 GAMCO INVESTORS, INC. ET AL (Exact name of registrant as specified in its charter) Delaware 001-14761 13-4007862 (State or other jurisdiction of incorporation) (Commiss |
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| April 13, 2021 |
Peter D. Goldstein Named General Counsel Exhibit 99.1 For Immediate Release Contact:Douglas R. Jamieson President & Chief Operating Officer For further information please visit www.gabelli.com Peter D. Goldstein Named General Counsel Greenwich, CT, April 13, 2021 - GAMCO Investors, Inc. (NYSE:GBL) has appointed Peter D. Goldstein as General Counsel of GAMCO Investors, Inc., effective April 16, 2021. On behalf of our shareholders, directo |
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| March 5, 2021 |
Subsidiaries of GAMCO Investors, Inc. Exhibit 21.1 Subsidiaries of GAMCO Investors, Inc. The following table lists the direct and indirect subsidiaries of GAMCO Investors, Inc. (the ?Company?). In accordance with Item 601(21) of Regulation S-K, the omitted subsidiaries considered in the aggregate as a single subsidiary would not constitute a ?significant subsidiary? as defined under Rule 1-02(w) of Regulation S-X. Name Jurisdiction of |
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| March 5, 2021 |
UNITED STATES SECURITIES & EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2020 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-14761 GAMCO INVESTORS, INC. (Exact na |
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| February 10, 2021 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 1)* Name of issuer: GAMCO Investors Inc. Class A Title of Class of Securities: Common Stock CUSIP Number: 361438104 Date of Event Which Requires Filing of this Statement: December 31, 2020 Check the appropriate box to designate the rule pursuant to which this Schedule is |
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| February 2, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 2, 2021 GAMCO INVESTORS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 1-14761 13-4007862 (State or Other Jurisdiction of Incorporation) (Commission Fi |
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| February 2, 2021 |
GAMCO Investors, Inc. Reports Results for the Fourth Quarter 2020 and Year Ended December 31, 2020 Exhibit 99.1 For Immediate Release: Contact: Howard Green SVP of Corporate Development (914) 921-7729 For further information please visit www.gabelli.com GAMCO Investors, Inc. Reports Results for the Fourth Quarter 2020 and Year Ended December 31, 2020 - Fourth quarter net income was $19.7 million; $58.7 million for the full year - Fully diluted fourth quarter earnings were $0.74 per share; $2.20 |
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| January 22, 2021 |
GAMCO Expects to Report Fourth Quarter 2020 Diluted Earnings of $0.69 to $0.73 Per Share Exhibit 99.1 For Immediate Release: Contact: Howard Green SVP of Corporate Development (914) 921-7729 For further information please visit www.gabelli.com GAMCO Expects to Report Fourth Quarter 2020 Diluted Earnings of $0.69 to $0.73 Per Share Greenwich, Connecticut, January 22, 2021 – GAMCO Investors, Inc. (“GAMCO”) (NYSE: GBL) announced today that it expects to report fourth quarter 2020 diluted |
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| January 22, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 22, 2021 GAMCO INVESTORS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 1-14761 13-4007862 (State or Other Jurisdiction of Incorporation) (Commission Fi |
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| January 7, 2021 |
SC 13D/A 1 gamco10.htm SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 10) GAMCO Investors, Inc. (Name of Issuer) Class A Common Stock (Title of Class of Securities) 361438104 (CUSIP Number) GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number of Person |
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| December 18, 2020 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 9) GAMCO Investors, Inc. (Name of Issuer) Class A Common Stock (Title of Class of Securities) 361438104 (CUSIP Number) GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number of Person Authorized to Receive No |
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| November 24, 2020 |
OMB APPROVAL OMB Number 3235-0101 Expires: June 30, 2020 Estimated average burden hours per response . |
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| November 23, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 23, 2020 GAMCO INVESTORS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 1-14761 13-4007862 (State or Other Jurisdiction of Incorporation) (Commission F |
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| November 23, 2020 |
GAMCO Board Declares Special Dividend of $0.90 per share Exhibit 99.1 For Immediate Release: Contact: Howard Green SVP of Corporate Development (914) 921-7729 For further information please visit www.gabelli.com GAMCO Board Declares Special Dividend of $0.90 per share Greenwich, Connecticut, November 23, 2020 – GAMCO Investors, Inc. (“GAMCO”) (NYSE: GBL) announced today that its Board of Directors approved a special dividend of $0.90 per share to all of |
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| November 9, 2020 |
UNITED STATES SECURITIES & EXCHANGE COMMISSION WASHINGTON, D.C. 20549 UNITED STATES SECURITIES & EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2020 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-14761 GAMCO INVESTORS, INC. |
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| November 6, 2020 |
GAMCO Investors, Inc. Reports Results for the Third Quarter 2020 Exhibit 99.1 For Immediate Release: Contact: Howard Green SVP of Corporate Development (914) 921-7729 For further information please visit www.gabelli.com GAMCO Investors, Inc. Reports Results for the Third Quarter 2020 - Third quarter net income was $16.4 million vs. $13.6 million a year ago - Fully diluted third quarter earnings were $0.62 per share versus $0.50 per share a year ago - September |
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| November 6, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 6, 2020 GAMCO INVESTORS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 1-14761 13-4007862 (State or Other Jurisdiction of Incorporation) (Commission Fi |
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| October 16, 2020 |
GAMCO Expects to Report Third Quarter 2020 Diluted Earnings of $0.59 to $0.63 Per Share Exhibit 99.1 For Immediate Release: Contact: Howard Green SVP of Corporate Development For further information please visit www.gabelli.com GAMCO Expects to Report Third Quarter 2020 Diluted Earnings of $0.59 to $0.63 Per Share Greenwich, Connecticut, October 16, 2020 – GAMCO Investors, Inc. (“GAMCO”) (NYSE: GBL) announced today that it expects to report third quarter 2020 diluted earnings in the |
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| October 16, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 gbl8k101620.htm FORM 8-K, DATED OCTOBER 16, 2020 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 16, 2020 GAMCO INVESTORS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 1-14761 13-4007862 (State |
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| August 10, 2020 |
Quarterly Report - FORM10Q22020 UNITED STATES SECURITIES & EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2020 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-14761 GAMCO INVESTORS, INC. (Exac |
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| August 4, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 4, 2020 GAMCO INVESTORS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 1-14761 13-4007862 (State or Other Jurisdiction of Incorporation) (Commission File |
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| August 4, 2020 |
GAMCO Investors, Inc. Reports Results for the Second Quarter 2020 Exhibit 99.1 For Immediate Release: Contact: Howard Green SVP of Corporate Development (914) 921-7729 For further information please visit www.gabelli.com GAMCO Investors, Inc. Reports Results for the Second Quarter 2020 - Second quarter net income was $11.3 million vs. $24.0 million a year ago - Fully diluted second quarter earnings were $0.42 per share versus $0.88 per share a year ago - June 30 |
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| July 16, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 16, 2020 GAMCO INVESTORS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 1-14761 13-4007862 (State or Other Jurisdiction of Incorporation) (Commission File |
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| July 16, 2020 |
GAMCO Expects to Report Second Quarter 2020 Diluted Earnings of $0.39 to $0.43 Per Share Exhibit 99.1 For Immediate Release: Contact: Howard Green SVP of Corporate Development For further information please visit www.gabelli.com GAMCO Expects to Report Second Quarter 2020 Diluted Earnings of $0.39 to $0.43 Per Share Greenwich, Connecticut, July 16, 2020 – GAMCO Investors, Inc. (“GAMCO”) (NYSE: GBL) announced today that it expects to report second quarter 2020 diluted earnings in the r |
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| July 1, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 29, 2020 GAMCO INVESTORS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 1-14761 13-4007862 (State or Other Jurisdiction of Incorporation) (Commission File |
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| June 9, 2020 |
OMB APPROVAL OMB Number 3235-0101 Expires: June 30, 2020 Estimated average burden hours per response . |
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| June 8, 2020 |
OMB APPROVAL OMB Number 3235-0101 Expires: June 30, 2020 Estimated average burden hours per response . |
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| June 5, 2020 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 5, 2020 GAMCO INVESTORS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 1-14761 13-4007862 (State or Other Jurisdiction of Incorporation) (Commission File N |
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| May 8, 2020 |
GAMCO Investors, Inc. Reports Results for the First Quarter 2020 Exhibit 99.1 For Immediate Release: Contact: Howard Green SVP of Corporate Development (914) 921-7729 For further information please visit www.gabelli.com GAMCO Investors, Inc. Reports Results for the First Quarter 2020 - First quarter net income was $11.2 million vs. $19.9 million a year ago - Fully diluted first quarter earnings were $0.42 per share versus $0.70 per share a year ago - March 31, |
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| May 8, 2020 |
Quarterly Report - FORM10Q12020 UNITED STATES SECURITIES & EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2020 or TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-14761 GAMCO INVESTORS, INC. (Exact n |
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| May 8, 2020 |
UNITED STATES SECURITIES & EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ⌧ Filed by a Party other than the Registrant □ Check the appropriate box: □ Preliminary Proxy Statement □ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2 |
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| May 8, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 8, 2020 GAMCO INVESTORS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 1-14761 13-4007862 (State or Other Jurisdiction of Incorporation) (Commission File Num |
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| April 29, 2020 |
- GAMCO INVESTORS, INC. DEFINITIVE PROXY UNITED STATES SECURITIES & EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A (Rule 14a-101) SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ⌧ Filed by a Party other than the Registrant □ Check the appropriate box: □ Preliminary Proxy Statement □ Confidential, for Use of the Commission Only (as permitted by Rule |
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| April 17, 2020 |
GBL / GAMCO Investors, Inc. PRE 14A - - PRELIMINARY PROXY UNITED STATES SECURITIES & EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A (Rule 14a-101) SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ⌧ Filed by a Party other than the Registrant □ Check the appropriate box: ⌧ Preliminary Proxy Statement □ Confidential, for Use of the Commission Only (as permitted by Rule |
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| April 2, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 2, 2020 GAMCO INVESTORS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 1-14761 13-4007862 (State or Other Jurisdiction of Incorporation) (Commission File N |
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| April 2, 2020 |
GAMCO Expects to Report First Quarter 2020 Diluted Earnings of $0.40 to $0.44 Per Share Exhibit 99.1 For Immediate Release: Contact: Howard Green SVP of Corporate Development (914) 921-7729 For further information please visit www.gabelli.com GAMCO Expects to Report First Quarter 2020 Diluted Earnings of $0.40 to $0.44 Per Share Rye, New York, April 2, 2020 – GAMCO Investors, Inc. (“GAMCO”) (NYSE: GBL) announced today that it expects to report first quarter 2020 diluted earnings in t |
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| March 19, 2020 |
GAMCO Announces the Termination of its Modified Dutch Auction Tender Offer Exhibit 99.1 For Immediate Release: Contact: Kevin Handwerker General Counsel (914) 921-5192 For further information please visit www.gabelli.com GAMCO Announces the Termination of its Modified Dutch Auction Tender Offer Rye, New York, March 18, 2020 – GAMCO Investors, Inc. (the “Company” or “GAMCO”) (NYSE: GBL) announced today that it has terminated its offer to purchase up to $30,000,000 in aggr |
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| March 19, 2020 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 18, 2020 GAMCO INVESTORS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 1-14761 13-4007862 (State or Other Jurisdiction of Incorporation) (Commission File |
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| March 18, 2020 |
GBL / GAMCO Investors, Inc. SC TO-I/A - - SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE TO (Rule 14d-100) TENDER OFFER STATEMENT UNDER SECTION 14(d)(1) OR 13(e)(1) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 1) GAMCO Investors, Inc. (Name of Subject Company) GAMCO Investors, Inc. (Names of Filing Persons - Offeror) Class A Common Stock, $0.001 Par Value (Title of Class of Securities) 361438104 (CUSIP Number |
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| March 18, 2020 |
GAMCO Announces the Termination of its Modified Dutch Auction Tender Offer EX-99.A5B 2 exa5btotoia105867007031820.htm Exhibit (A)(5)(B) One Corporate Center Rye, NY 10580-1422 t 914.921.3700 GABELLI.COM For Immediate Release: Contact: Kevin Handwerker General Counsel (914) 921-5192 For further information please visit www.gabelli.com GAMCO Announces the Termination of its Modified Dutch Auction Tender Offer Rye, New York, March 18, 2020 – GAMCO Investors, Inc. (the “Comp |
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| March 11, 2020 |
GBL / GAMCO Investors, Inc. SC TO-I - - SC TO-I 1 e619453sctoi-gamco.htm SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE TO (Rule 14d-100) TENDER OFFER STATEMENT UNDER SECTION 14(d)(1) OR 13(e)(1) OF THE SECURITIES EXCHANGE ACT OF 1934 GAMCO Investors, Inc. (Name of Subject Company) GAMCO Investors, Inc. (Names of Filing Persons - Offeror) Class A Common Stock, $0.001 Par Value (Title of Class of Securities) 361438104 |
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| March 11, 2020 |
EX-99.1A1E 6 e619453ex99-e1.htm Offer to Purchase for Cash by GAMCO Investors, inc. Up to $30,000,000 of Shares of its Class A Common Stock At a Cash Purchase Price not Less than $15.00 nor Greater than $17.00 per Share The Offer, Proration Period and Withdrawal Rights will Expire at 5:00 P.M., Eastern Time, on April 8, 2020, Unless the Offer is Extended (the “Expiration Date”) March 11, 2020 To O |
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| March 11, 2020 |
Offer to Purchase for Cash by GAMCO Investors, Inc. Up to $30,000,000 of Shares of its Class A Common Stock At a Cash Purchase Price not Less than $15.00 nor Greater than $17.00 per Share The Offer, Proration Period and Withdrawal Rights will Expire at 5:00 P.M., Eastern Time, on April 8, 2020, Unless the Offer is Extended GAMCO Investors, Inc., a Delaware corporation (“we,” “us,” “our,” “GAMCO,” |
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| March 11, 2020 |
LETTER OF TRANSMITTAL TO Tender Shares of class A Common Stock of GAMCO Investors, inc. |
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| March 11, 2020 |
EX-99.1A1C 4 e619453ex99-c1.htm NOTICE OF GUARANTEED DELIVERY for Tender of Shares of class a Common Stock BY GAMCO Investors, inc. PURSUANT TO ITS OFFER TO PURCHASE FOR CASH DATED MARCH 11, 2020 THE OFFER, PRORATION PERIOD AND WITHDRAWAL RIGHTS WILL EXPIRE AT 5:00 P.M., Eastern Time, on APRIL 8, 2020, UNLESS EXTENDED (THE “EXPIRATION DATE”). As set forth in Section 3 of the Offer to Purchase (as |
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| March 11, 2020 |
EX-99.1A1D 5 e619453ex99-d1.htm Offer to Purchase for Cash by GAMCO Investors, inc. Up to $30,000,000 of Shares of its Class A Common Stock At a Cash Purchase Price not Less than $15.00 nor Greater than $17.00 per Share The Offer, Proration Period and Withdrawal Rights will Expire at 5:00 P.M., Eastern Time, on April 8, 2020, Unless the Offer is Extended (the “Expiration Date”) March 11, 2020 To B |
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| March 9, 2020 |
GBL / GAMCO Investors, Inc. SC TO-C - - SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE TO (Rule 14d-100) TENDER OFFER STATEMENT UNDER SECTION 14(d)(1) OR 13(e)(1) OF THE SECURITIES EXCHANGE ACT OF 1934 GAMCO Investors, Inc. (Name of Subject Company) GAMCO Investors, Inc. (Names of Filing Persons - Offeror) Class A Common Stock, $0.001 Par Value (Title of Class of Securities) 361438104 (CUSIP Number of Class of Securi |
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| March 6, 2020 |
Subsidiaries of GAMCO Investors, Inc. Exhibit 21.1 Subsidiaries of GAMCO Investors, Inc. The following table lists the direct and indirect subsidiaries of GAMCO Investors, Inc. (the “Company”). In accordance with Item 601(21) of Regulation S-K, the omitted subsidiaries considered in the aggregate as a single subsidiary would not constitute a “significant subsidiary” as defined under Rule 1-02(w) of Regulation S-X. Name Jurisdiction of |
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| March 6, 2020 |
GBL / GAMCO Investors, Inc. 10-K - Annual Report - FORM 10-K UNITED STATES SECURITIES & EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ⌧ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2019 or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-14761 GAMCO INVESTORS, INC. (Exact |
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| March 6, 2020 |
Exhibit 4.9 DESCRIPTION OF THE REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 Unless otherwise stated or the context otherwise requires, references in this summary to “GAMCO,” “we,” “our,” or “us” refer to GAMCO Investors, Inc. and its direct and indirect subsidiaries, while references to “GAMCO Investors, Inc.” refer only to the holding company on |
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| February 21, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 20, 2020 GAMCO INVESTORS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 1-14761 13-4007862 (State or Other Jurisdiction of Incorporation) (Commission Fi |
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| February 21, 2020 |
Amendment No. 2 to Amended and Restated Bylaws of the Company Exhibit 3.4 AMENDMENT NO. 2 TO THE AMENDED AND RESTATED BY-LAWS OF GAMCO INVESTORS, INC. The Amended and Restated By-laws of GAMCO Investors, Inc. (the “Company”) are hereby amended by renumbering Article XI Section 5(a) of the By-laws as Article XI Section 5 (and all references to a section number within such section shall be to Article XI Section 5) and by deleting in its entirety Article XI Sec |
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| February 11, 2020 |
GBL / GAMCO Investors, Inc. / VANGUARD GROUP INC - SCHEDULE 13G Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 Name of issuer: GAMCO Investors Inc Title of Class of Securities: Common Stock CUSIP Number: 361438104 Date of Event Which Requires Filing of this Statement: December 31, 2019 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: ☒ Rule 13d-1(b) ☐ Rul |
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| February 4, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 4, 2020 GAMCO INVESTORS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 1-14761 13-4007862 (State or Other Jurisdiction of Incorporation) (Commission Fil |
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| February 4, 2020 |
GAMCO Investors, Inc. Reports Results for the Fourth Quarter and Year Ended December 31, 2019 Exhibit 99.1 For Immediate Release: Contact: Howard Green SVP of Corporate Development (914) 921-7729 For further information please visit www.gabelli.com GAMCO Investors, Inc. Reports Results for the Fourth Quarter and Year Ended December 31, 2019 - Fourth quarter net income was 5% higher at $24.4 million vs. $23.3 million a year ago - Fully diluted fourth quarter earnings were 12% higher at $0.9 |
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| December 31, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 31, 2019 GAMCO INVESTORS, INC. (Exact name of registrant as specified in its charter) Delaware 1-14761 13-4007862 (State or other jurisdiction of incorporation) (Commission Fi |
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| December 26, 2019 |
OMB APPROVAL OMB Number 3235-0101 Expires: June 30, 2020 Estimated average burden hours per response . |
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| December 18, 2019 |
OMB APPROVAL OMB Number:3235-0101 Expires: June 30, 2020 Estimated average burden hours per response 1. |
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| November 8, 2019 |
GBL / GAMCO Investors, Inc. 10-Q - Quarterly Report - FORM10Q32019 UNITED STATES SECURITIES & EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ⌧ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2019 or □ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-14761 GAMCO INVESTORS, INC. |
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| November 8, 2019 |
GAMCO Investors, Inc. Reports Third Quarter 2019 Earnings Exhibit 99.1 For Immediate Release: Contact: Howard Green SVP of Corporate Development (914) 921-7729 For further information please visit www.gabelli.com GAMCO Investors, Inc. Reports Third Quarter 2019 Earnings - Net income of $13.6 million - Diluted earnings of $0.50 per share - September 30, 2019 AUM of $35.7 billion - Our “Giving Back” program continued with shareholder designated contributio |
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| November 8, 2019 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 8, 2019 GAMCO INVESTORS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 1-14761 13-4007862 (State or Other Jurisdiction of Incorporation) (Commission Fil |
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| August 29, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 27, 2019 GAMCO INVESTORS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 1-14761 13-4007862 (State or Other Jurisdiction of Incorporation) (Commission File |
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| August 7, 2019 |
GBL / GAMCO Investors, Inc. 10-Q - Quarterly Report - FORM10Q22019 UNITED STATES SECURITIES & EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ⌧ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2019 or □ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-14761 GAMCO INVESTORS, INC. (Exac |
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| August 6, 2019 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 6, 2019 GAMCO INVESTORS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 1-14761 13-4007862 (State or Other Jurisdiction of Incorporation) (Commission File |
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| August 6, 2019 |
GAMCO Investors, Inc. Reports Second Quarter 2019 Earnings Exhibit 99.1 For Immediate Release: Contact: Howard Green SVP of Corporate Development (914) 921-7729 For further information please visit www.gabelli.com GAMCO Investors, Inc. Reports Second Quarter 2019 Earnings - Net income of $24.0 million - Diluted earnings of $0.88 per share - June 30, 2019 AUM of $36.9 billion Rye, New York, August 6, 2019 – GAMCO Investors, Inc. (“GAMCO”) (NYSE: GBL) today |
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| May 7, 2019 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 7, 2019 GAMCO INVESTORS, INC. (Exact name of registrant as specified in its charter) Delaware 1-14761 13-4007862 (State or other jurisdiction of incorporation) (Commission File Num |
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| May 7, 2019 |
GAMCO Investors, Inc. Reports First Quarter 2019 Earnings Exhibit 99.1 For Immediate Release: Contact: Kieran Caterina or Diane M. LaPointe SVPs and Co-Chief Accounting Officers (914) 921-5149 or 7763 For further information please visit www.gabelli.com GAMCO Investors, Inc. Reports First Quarter 2019 Earnings - Net income of $19.9 million - Fully diluted earnings of $0.70 per share - March 31, 2019 AUM of $37.3 billion vs. $34.4 billion at December 31, |
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| May 7, 2019 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 7, 2019 GAMCO INVESTORS, INC. (Exact name of registrant as specified in its charter) Delaware 1-14761 13-4007862 (State or other jurisdiction of incorporation) (Commission File Num |
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| May 7, 2019 |
GBL / GAMCO Investors, Inc. 10-Q Quarterly Report FORM10Q12019 SECURITIES & EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2019 or TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-14761 GAMCO INVESTORS, INC. (Exact |
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| April 25, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* GAMCO INVESTORS, INC. ET AL (Name of Issuer) CLASS A COMMON STOCK, $.001 PAR VALUE (Title of Class of Securities) 361438104 (CUSIP Number) April 18, 2019 (Date of Event Which Requires Filing of This Statement) Check the appropriate box to designate the r |
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| April 22, 2019 |
GBL / GAMCO Investors, Inc. GBL DEFINITIVE PROXY 2019 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy State |
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| April 22, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 18, 2019 GAMCO INVESTORS, INC. (Exact name of registrant as specified in its charter) Delaware 1-14761 13-4007862 (State or other jurisdiction of incorporation) (Commission File |
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| April 18, 2019 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 18, 2019 GAMCO INVESTORS, INC. (Exact name of registrant as specified in its charter) Delaware 1-14761 13-4007862 (State or other jurisdiction of incorporation) (Commission File |
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| April 18, 2019 |
GAMCO Repurchases Shares from Mancheski Estate Exhibit 99.1 For Immediate Release: Contact: Kevin Handwerker General Counsel (914) 921-5192 For further information please visit www.gabelli.com GAMCO Repurchases Shares from Mancheski Estate Rye, New York, April 18, 2019 – GAMCO Investors, Inc. (“GAMCO”) (NYSE: GBL) announced today that it has repurchased 1.2 million shares from the Frederick J. Mancheski Revocable Trust and a related foundation |
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| April 18, 2019 |
GBL / GAMCO Investors, Inc. / GGCP, INC. Activist Investment SC 13D/A 1 gamco08.htm SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 8) GAMCO Investors, Inc. (Name of Issuer) Class A Common Stock (Title of Class of Securities) 361438104 (CUSIP Number) GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number of Person A |
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| March 11, 2019 |
GBL / GAMCO Investors, Inc. FORM 10-K (Annual Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K [x] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2018 or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-14761 GAMCO Investors, Inc. |
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| March 11, 2019 |
Subsidiaries of GAMCO Investors, Inc. Exhibit 21.1 Subsidiaries of GAMCO Investors, Inc. The following table lists the direct and indirect subsidiaries of GAMCO Investors, Inc. (the “Company”), except those investment partnerships and offshore funds which are consolidated. In accordance with Item 601 (21) of Regulation S-K, the omitted subsidiaries considered in the aggregate as a single subsidiary would not constitute a “significant |
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| February 6, 2019 |
Exhibit 1 As required by Item 7 to Schedule 13G, Edward S. Barr is a control person of E.S. Barr & Company, classified under Item 3 as an investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E). 1 |
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| February 6, 2019 |
GBL / GAMCO Investors, Inc. / E.S. Barr & CO - SC 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO §240. |
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| February 6, 2019 |
Exhibit 2 As required by Item 7 to Schedule 13G, E.S. Barr Holdings, LLC is the parent holding company of E.S. Barr & Company, classified under Item 3 as an investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E). 1 |
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| February 6, 2019 |
Exhibit 3 Joint Filing Agreement In accordance with § 240.13d-1(k) under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree to the joint filing on behalf of each of them of a statement on Schedule 13G (including amendments thereto) with respect to the Class A Common Stock of GAMCO INVESTORS, INC. ET AL, and that this Joint Filing Agreement be included as an Exhibit to su |
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| February 5, 2019 |
GAMCO Investors, Inc. Reports Record Full Year Earnings Exhibit 99.1 For Immediate Release: Contact: Kieran Caterina or Diane M. LaPointe SVPs and Co-Chief Accounting Officers (914) 921-5149 or 7763 For further information please visit www.gabelli.com GAMCO Investors, Inc. Reports Record Full Year Earnings - Fourth quarter net income was $23.3 million vs. $13.5 million a year ago - Fully diluted earnings were $0.81 per share versus $0.46 per share - Av |
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| February 5, 2019 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 5, 2019 GAMCO INVESTORS, INC. (Exact name of registrant as specified in its charter) Delaware 1-14761 13-4007862 (State or other jurisdiction of incorporation) (Commission Fil |
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| January 22, 2019 |
GBL / GAMCO Investors, Inc. / MANCHESKI FREDERICK J - AMENDMENT NO. 8 Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 8)* GAMCO INVESTORS, INC. ET AL (Name of Issuer) CLASS A COMMON STOCK, $.001 PAR VALUE (Title of Class of Securities) 361438104 (CUSIP Number) Philip M. Halpern, Esq. Collier, Halpern & Newberg, LLP One North Lexington Avenue White Plains, New York 10601 ( |
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| January 22, 2019 |
SC 13G 1 p118190sc13g.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* GAMCO INVESTORS, INC. ET AL (Name of Issuer) CLASS A COMMON STOCK, $.001 PAR VALUE (Title of Class of Securities) 361438104 (CUSIP Number) January 18, 2019 (Date of Event Which Requires Filing of This Statement) Check the appropr |
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| December 26, 2018 |
Exhibit 99.1 For Immediate Release: Contact: Kieran Caterina or Diane M. LaPointe SVPs and Co-Chief Accounting Officers (914) 921-5149 or 7763 For further information please visit www.gabelli.com GAMCO Will Benefit from Executive Decision to Waive Compensation from January 1, 2019 to March 31, 2019 Rye, New York, December 26, 2018 – GAMCO Investors, Inc. (“GAMCO”) (NYSE: GBL) announced today that |
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| December 26, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 21, 2018 GAMCO INVESTORS, INC. (Exact name of registrant as specified in its charter) Delaware 1-14761 13-4007862 (State or other jurisdiction of incorporation) (Commission Fi |
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| November 6, 2018 |
GAMCO Investors, Inc. Reports Record Third Quarter Earnings Exhibit 99.1 For Immediate Release: Contact: Kieran Caterina or Diane M. LaPointe SVPs and Co-Chief Accounting Officers (914) 921-5149 or 7763 For further information please visit www.gabelli.com GAMCO Investors, Inc. Reports Record Third Quarter Earnings - Third quarter net income $35.0 million vs. $16.6 million a year ago - Fully diluted earnings were $1.22 per share versus $0.55 per share - Ave |
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| November 6, 2018 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 6, 2018 GAMCO INVESTORS, INC. (Exact name of registrant as specified in its charter) Delaware 1-14761 13-4007862 (State or other jurisdiction of incorporation) (Commission Fil |
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| November 6, 2018 |
GBL / GAMCO Investors, Inc. FORM10Q32018 (Quarterly Report) SECURITIES & EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2018 or TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-14761 GAMCO INVESTORS, INC. (E |
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| November 1, 2018 |
GBL / GAMCO Investors, Inc. / GGCP, INC. Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 7) GAMCO Investors, Inc. (Name of Issuer) Class A Common Stock (Title of Class of Securities) 361438104 (CUSIP Number) GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number of Person Authorized to Receive No |
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| October 15, 2018 |
Exhibit 99.1 For Immediate Release: Contact: Kieran Caterina or Diane M. LaPointe SVPs and Co-Chief Accounting Officers (914) 921-5149 or 7763 For further information please visit www.gabelli.com GAMCO Expects to Report Third Quarter Earnings of $1.18 to $1.22 per fully diluted share versus $0.55 per fully diluted share a year ago Rye, New York, October 15, 2018 – GAMCO Investors, Inc. (“GAMCO”) ( |
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| October 15, 2018 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 15, 2018 GAMCO INVESTORS, INC. (Exact name of registrant as specified in its charter) Delaware 1-14761 13-4007862 (State or other jurisdiction of incorporation) (Commission Fil |
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| October 10, 2018 |
GBL / GAMCO Investors, Inc. CORRESP GAMCO Investors, Inc. One Corporate Center Rye, New York 10580 October 10, 2018 VIA EDGAR AND ELECTRONIC MAIL Eric Envall, Esq. Staff Attorney United States Securities and Exchange Commission Division of Corporation Finance Mail Stop 4720 100 F Street, N.E. Washington, D.C. 20549 Re: GAMCO Investors, Inc. Registration Statement on Form S-4 Filed September 17, 2018 File No. 333-227384 Ladies and Ge |
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| September 27, 2018 |
Form of Notice of Guaranteed Delivery. Exhibit 99.2 NOTICE OF GUARANTEED DELIVERY To Tender Shares of Class A Common Stock of ASSOCIATED CAPITAL GROUP, INC. Pursuant to the Offer by ASSOCIATED CAPITAL GROUP, INC. to exchange Shares of Class A Common Stock of GAMCO INVESTORS, INC. which are BENEFICIALLY owned by Associated Capital Group, Inc. for UP TO 1,800,000 outstanding Shares of Class A Common Stock of ASSOCIATED CAPITAL GROUP, INC |
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| September 27, 2018 |
GBL / GAMCO Investors, Inc. S-4/A As filed with the Securities and Exchange Commission on September 27, 2018 Registration No. |
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| September 27, 2018 |
Exhibit 99.4 LETTER TO CLIENTS ASSOCIATED CAPITAL GROUP, INC. OFFER TO EXCHANGE SHARES OF CLASS A COMMON STOCK OF GAMCO INVESTORS, INC. WHICH ARE BENEFICIALLY OWNED BY ASSOCIATED CAPITAL GROUP, INC. FOR UP TO 1,800,000 OUTSTANDING SHARES OF CLASS A COMMON STOCK OF ASSOCIATED CAPITAL GROUP, INC. (subject to the terms and conditions described in the prospectus/offer to exchange and the related lette |
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| September 27, 2018 |
Form of Letter to Brokers, Dealers, Commercial Banks, Trust Companies and Other Nominees. Exhibit 99.3 LETTER TO BROKERS, DEALERS COMMERCIAL BANKS, TRUST COMPANIES AND OTHER NOMINEES ASSOCIATED CAPITAL GROUP, INC. OFFER TO EXCHANGE SHARES OF CLASS A COMMON STOCK OF GAMCO INVESTORS, INC. WHICH ARE BENEFICIALLY OWNED BY ASSOCIATED CAPITAL GROUP, INC. FOR UP TO 1,800,000 OUTSTANDING SHARES OF CLASS A COMMON STOCK OF ASSOCIATED CAPITAL GROUP, INC. (subject to the terms and conditions descr |
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| September 27, 2018 |
Form of Letter of Transmittal. Exhibit 99.1 LETTER OF TRANSMITTAL ASSOCIATED CAPITAL GROUP, INC. OFFER TO EXCHANGE SHARES OF CLASS A COMMON STOCK OF GAMCO INVESTORS, INC. WHICH ARE BENEFICIALLY OWNED BY ASSOCIATED CAPITAL GROUP, INC. FOR UP TO 1,800,000 OUTSTANDING SHARES OF CLASS A COMMON STOCK OF ASSOCIATED CAPITAL GROUP, INC. (subject to the terms and conditions described in the prospectus/offer to exchange and this letter o |
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| September 17, 2018 |
GBL / GAMCO Investors, Inc. S-4 As filed with the Securities and Exchange Commission on September 17, 2018 Registration No. |
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| September 17, 2018 |
Associated Capital Group, Inc. Computation of Unaudited Ratio of Earnings to Fixed Charges. Exhibit 12.1 Associated Capital Group, Inc. Unaudited Ratio of Earnings to Fixed Charges ($ in thousands) Six months ended Year ended June 30, December 31, 2018 2017 2017 2016 2015 Income/(loss) before taxes and noncontrolling interest $ (12,855) $ (17,125) $ 6,264 $ 14,345 $ (2,576) Fixed Charges 73 142 228 591 1,260 Adjusted Earnings $ (12,782) $ (16,983) $ 6,492 $ 14,936 $ (1,316) Ratio of earn |
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| August 7, 2018 |
GAMCO Investors, Inc. Reports Record Second Quarter Earnings Exhibit 99.1 For Immediate Release: Contact: Kieran Caterina or Diane M. LaPointe SVPs and Co-Chief Accounting Officers (914) 921-5149 or 7763 For further information please visit www.gabelli.com GAMCO Investors, Inc. Reports Record Second Quarter Earnings - Average AUM for quarter was $40.6 billion vs. $41.8 billion in 2017 quarter - Second Quarter Net Income of $31.6 million +38.0% from Year Ago |
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| August 7, 2018 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 7, 2018 GAMCO INVESTORS, INC. (Exact name of registrant as specified in its charter) Delaware 1-14761 13-4007862 (State or other jurisdiction of incorporation) (Commission File |
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| August 7, 2018 |
GBL / GAMCO Investors, Inc. FORM10Q12018 (Quarterly Report) SECURITIES & EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2018 or TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-14761 GAMCO INVESTORS, INC. (Exact |
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| May 9, 2018 |
GBL / GAMCO Investors, Inc. FORM10Q12018 (Quarterly Report) SECURITIES & EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2018 or TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-14761 GAMCO INVESTORS, INC. (Exact |
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| May 9, 2018 |
Submission of Matters to a Vote of Security Holders 8-K 1 gbl8kvote050918.htm FORM 8-K, DATED MAY 9, 2018 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 9, 2018 GAMCO INVESTORS, INC. (Exact name of registrant as specified in its charter) Delaware 1-14761 13-4007862 (State or oth |
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| May 9, 2018 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 9, 2018 GAMCO INVESTORS, INC. (Exact name of registrant as specified in its charter) Delaware 1-14761 13-4007862 (State or other jurisdiction of incorporation) (Commission File Num |
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| May 9, 2018 |
GAMCO Investors, Inc. Reports First Quarter 2018 Results Exhibit 99.1 For Immediate Release: Contact: Kieran Caterina or Diane M. LaPointe SVPs and Co-Chief Accounting Officers (914) 921-5149 or 7763 For further information please visit www.gabelli.com GAMCO Investors, Inc. Reports First Quarter 2018 Results - Average AUM for the first quarter 2018 was $42.5 billion vs. $40.9 billion in first quarter of 2017 - Effective income tax rate was 22.6% in firs |
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| April 20, 2018 |
GBL / GAMCO Investors, Inc. GBL DEFINITIVE PROXY 2018 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Definitive Proxy State |
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| April 20, 2018 |
GBL / GAMCO Investors, Inc. CORRESP GAMCO Investors, Inc. One Corporate Center Rye, New York 10580 April 20, 2018 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance Mail Stop 4720 100 F Street, N.E. Washington, D.C. 20549 Attention: David Gessert Re: GAMCO Investors, Inc. Registration Statement on Form S-3 Filed March 29, 2018 File No. 333-224032 Ladies and Gentlemen: The undersigned Registran |
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| March 29, 2018 |
Exhibit 25.1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM T-1 STATEMENT OF ELIGIBILITY UNDER THE TRUST INDENTURE ACT OF 1939 OF A CORPORATION DESIGNATED TO ACT AS TRUSTEE CHECK IF AN APPLICATION TO DETERMINE ELIGIBILITY OF A TRUSTEE PURSUANT TO SECTION 305(b)(2) || THE BANK OF NEW YORK MELLON (Exact name of trustee as specified in its charter) New York (Jurisdiction |
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| March 29, 2018 |
GBL / GAMCO Investors, Inc. S-3 As filed with the Securities and Exchange Commission on March 29, 2018. Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 GAMCO Investors, Inc. (Exact name of Registrant as specified in its charter) DELAWARE (State or other jurisdiction of incorporation or organization) 13-4007862 (I.R.S. E |
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| March 29, 2018 |
Exhibit 25.2 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM T-1 STATEMENT OF ELIGIBILITY UNDER THE TRUST INDENTURE ACT OF 1939 OF A CORPORATION DESIGNATED TO ACT AS TRUSTEE CHECK IF AN APPLICATION TO DETERMINE ELIGIBILITY OF A TRUSTEE PURSUANT TO SECTION 305(b)(2) || THE BANK OF NEW YORK MELLON (Exact name of trustee as specified in its charter) New York (Jurisdiction |
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| March 28, 2018 |
GAMCO To Present at Sidoti & Company Conference Exhibit 99.1 For Immediate Release: Contact: Kieran Caterina or Diane M. LaPointe SVPs and Co-Chief Accounting Officers (914) 921-5149 or 7763 For further information please visit www.gabelli.com GAMCO To Present at Sidoti & Company Conference Rye, New York, March 28, 2018 – GAMCO Investors, Inc. (“GAMCO”) (NYSE: GBL) is scheduled to present at the Sidoti & Company Spring 2018 Investor Conference |
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| March 28, 2018 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 28, 2018 GAMCO INVESTORS, INC. (Exact name of registrant as specified in its charter) Delaware 1-14761 13-4007862 (State or other jurisdiction of incorporation) (Commission File |
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| March 26, 2018 |
GBL / GAMCO Investors, Inc. PRELIMINARY PROXY UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: x Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Definitive Proxy State |
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| March 13, 2018 |
GBL / GAMCO Investors, Inc. / GGCP, INC. Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 6) GAMCO Investors, Inc. (Name of Issuer) Class A Common Stock (Title of Class of Securities) 361438104 (CUSIP Number) GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number of Person Authorized to Receive No |
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| March 9, 2018 |
GBL / GAMCO Investors, Inc. PREC14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of The Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☐ Filed by a Party other than the Registrant ☒ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confide |
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| March 9, 2018 |
GBL / GAMCO Investors, Inc. FORM 10-K (Annual Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K [x] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2017 or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-14761 GAMCO Investors, Inc. |
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| March 9, 2018 |
Exhibit 12.1 Computation of Ratios of Earnings to Fixed Charges The following table sets forth certain information regarding our consolidated ratio of earnings to fixed charges for the five-year period ended December 31, 2017. Year Ending December 31, 2017 2016 2015 2014 2013 (In thousands, except ratio data) Income before taxes $ 132,888 $ 182,227 $ 139,025 $ 168,283 $ 143,007 Fixed charges 10,20 |
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| March 9, 2018 |
Exhibit 99.1 Schedule I GAMCO INVESTORS, INC. CONDENSED STATEMENTS OF INCOME (Parent company only) (In thousands, except per share data) Year Ended December 31, 2017 2016 2015 Revenues Distribution fees and other income $ 25,468 $ 29,045 $ 26,860 Total revenues 25,468 29,045 26,860 Expenses Compensation 1,469 1,929 3,550 Stock based compensation 8,670 3,959 9,868 Management fee benefit (3,082 ) (1 |
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| March 9, 2018 |
Exhibit 21.1 Subsidiaries of GAMCO Investors, Inc. The following table lists the direct and indirect subsidiaries of GAMCO Investors, Inc. (the “Company”), except those investment partnerships and offshore funds which are consolidated. In accordance with Item 601 (21) of Regulation S-K, the omitted subsidiaries considered in the aggregate as a single subsidiary would not constitute a “significant |
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| March 5, 2018 |
GBL / GAMCO Investors, Inc. S-4/A As filed with the Securities and Exchange Commission on March 5, 2018 Registration No. |
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| March 1, 2018 |
GBL / GAMCO Investors, Inc. CORRESP GAMCO Investors, Inc. One Corporate Center Rye, New York 10580 March 1, 2018 VIA EDGAR AND ELECTRONIC MAIL Eric Envall, Esq. Staff Attorney United States Securities and Exchange Commission Division of Corporation Finance Mail Stop 4720 100 F Street, N.E. Washington, D.C. 20549 Re: GAMCO Investors, Inc. Registration Statement on Form S-4 Filed December 19, 2017, as amended on February 1, 2018 and F |
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| February 23, 2018 |
Exhibit 99.1 For Immediate Release: Contact: Kieran Caterina or Diane M. LaPointe SVPs and Co-Chief Accounting Officers (914) 921-5149 or 7763 For further information please visit www.gabelli.com GAMCO Will Benefit from Executive Decision to Waive Compensation from March 1, 2018 to December 31, 2018 Rye, New York, February 23, 2018 ? GAMCO Investors, Inc. (?GAMCO?) (NYSE: GBL) announced today that |
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| February 23, 2018 |
8-K 1 gbl8kpr022318.htm FORM 8-K, DATED FEBRUARY 23, 2018 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 23, 2018 GAMCO INVESTORS, INC. (Exact name of registrant as specified in its charter) Delaware 1-14761 13-4007862 (St |
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| February 21, 2018 |
As filed with the Securities and Exchange Commission on February 21, 2018 Registration No. |
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| February 14, 2018 |
GBL / GAMCO Investors, Inc. / E.S. Barr & CO - SC 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO §240. |
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| February 14, 2018 |
Exhibit 1 As required by Item 7 to Schedule 13G, Edward S. Barr is a control person of E.S. Barr & Company, classified under Item 3 as an investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E). 1 |
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| February 14, 2018 |
Exhibit 2 As required by Item 7 to Schedule 13G, E.S. Barr Holdings, LLC is the parent holding company of E.S. Barr & Company, classified under Item 3 as an investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E). 1 |
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| February 14, 2018 |
Exhibit 3 Joint Filing Agreement In accordance with § 240.13d-1(k) under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree to the joint filing on behalf of each of them of a statement on Schedule 13G (including amendments thereto) with respect to the Class A Common Stock of GAMCO INVESTORS, INC., and that this Joint Filing Agreement be included as an Exhibit to such joi |
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| February 6, 2018 |
GAMCO Investors, Inc. Reports Fourth Quarter 2017 Results Exhibit 99.1 For Immediate Release: Contact: Kieran Caterina or Diane M. LaPointe SVPs and Co-Chief Accounting Officers (914) 921-5149 or 7763 For further information please visit www.gabelli.com GAMCO Investors, Inc. Reports Fourth Quarter 2017 Results - AUM grew 7.8% to $43.1 billion year-to-year - Fourth quarter 2017 diluted EPS was $0.46 compared with $1.07 a year ago - Adjusted EPS was $0.78 |
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| February 6, 2018 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 6, 2018 GAMCO INVESTORS, INC. (Exact name of registrant as specified in its charter) Delaware 1-14761 13-4007862 (State or other jurisdiction of incorporation) (Commission Fil |
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| February 1, 2018 |
Form of Letter to Brokers, Dealers, Commercial Banks, Trust Companies and Other Nominees. Exhibit 99.3 LETTER TO BROKERS, DEALERS COMMERCIAL BANKS, TRUST COMPANIES AND OTHER NOMINEES ASSOCIATED CAPITAL GROUP, INC. OFFER TO EXCHANGE SHARES OF CLASS A COMMON STOCK OF GAMCO INVESTORS, INC. WHICH ARE BENEFICIALLY OWNED BY ASSOCIATED CAPITAL GROUP, INC. FOR UP TO 1,000,000 OUTSTANDING SHARES OF CLASS A COMMON STOCK OF ASSOCIATED CAPITAL GROUP, INC. (subject to the terms and conditions descr |
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| February 1, 2018 |
As filed with the Securities and Exchange Commission on February 1, 2018 Registration No. |
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| February 1, 2018 |
Form of Notice of Guaranteed Delivery. Exhibit 99.2 NOTICE OF GUARANTEED DELIVERY To Tender Shares of Class A Common Stock of ASSOCIATED CAPITAL GROUP, INC. Pursuant to the Offer by ASSOCIATED CAPITAL GROUP, INC. to exchange Shares of Class A Common Stock of GAMCO INVESTORS, INC. which are BENEFICIALLY owned by Associated Capital Group, Inc. for UP TO 1,000,000 outstanding Shares of Class A Common Stock of ASSOCIATED CAPITAL GROUP, INC |
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| February 1, 2018 |
Associated Capital Group, Inc. Computation of Unaudited Ratio of Earnings to Fixed Charges. Exhibit 12.1 Associated Capital Group, Inc. Ratio of Earnings to Fixed Charges (in thousands) Nine months ended Years ended September 30, December 31, 2017 2016 2016 2015 Income/(loss) before taxes and noncontrolling interest $ (15,725 ) $ 9,614 $ 14,345 $ (2,576 ) Plus: Fixed charges (see below) 211 555 591 1,260 Adjusted Earnings $ (15,514 ) $ 10,169 $ 14,936 $ (1,316 ) Fixed Charges: Interest e |
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| February 1, 2018 |
Exhibit 99.4 LETTER TO CLIENTS ASSOCIATED CAPITAL GROUP, INC. OFFER TO EXCHANGE SHARES OF CLASS A COMMON STOCK OF GAMCO INVESTORS, INC. WHICH ARE BENEFICIALLY OWNED BY ASSOCIATED CAPITAL GROUP, INC. FOR UP TO 1,000,000 OUTSTANDING SHARES OF CLASS A COMMON STOCK OF ASSOCIATED CAPITAL GROUP, INC. (subject to the terms and conditions described in the prospectus/offer to exchange and the related lette |
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| February 1, 2018 |
Form of Letter of Transmittal. Exhibit 99.1 LETTER OF TRANSMITTAL ASSOCIATED CAPITAL GROUP, INC. OFFER TO EXCHANGE SHARES OF CLASS A COMMON STOCK OF GAMCO INVESTORS, INC. WHICH ARE BENEFICIALLY OWNED BY ASSOCIATED CAPITAL GROUP, INC. FOR UP TO 1,000,000 OUTSTANDING SHARES OF CLASS A COMMON STOCK OF ASSOCIATED CAPITAL GROUP, INC. (subject to the terms and conditions described in the prospectus/offer to exchange and this letter o |
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| January 26, 2018 |
Exhibit 99.1 For Immediate Release: Contact: Kieran Caterina or Diane M. LaPointe SVPs and Co-Chief Accounting Officers (914) 921-5149 or 7763 For further information please visit www.gabelli.com GAMCO Expects to Report Fourth Quarter Earnings of $0.44 to $0.46 per fully diluted share - Includes $8.2 million, or $0.27 per diluted share, charge for the Tax Cuts and Jobs Act Rye, New York, January 2 |
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| January 26, 2018 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 26, 2018 GAMCO INVESTORS, INC. (Exact name of registrant as specified in its charter) Delaware 1-14761 13-4007862 (State or other jurisdiction of incorporation) (Commission Fil |
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| December 19, 2017 |
As filed with the Securities and Exchange Commission on December 19, 2017 Registration No. |
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| November 22, 2017 |
8-K 1 gbl8k112117.htm FORM 8-K, DATED NOVEMBER 21, 2017 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 21, 2017 GAMCO INVESTORS, INC. (Exact name of registrant as specified in its charter) Delaware 1-14761 13-4007862 (Stat |
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| November 22, 2017 |
GBL / GAMCO Investors, Inc. / Cascade Investment, L.L.C. - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* GAMCO Investors, Inc. (Name of Issuer) Class A Common Stock, $0.001 par value (Title of Class of Securities) 361438104 (CUSIP Number) November 21, 2017 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rul |
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| November 13, 2017 |
GBL / GAMCO Investors, Inc. ESP GAMCO Investors, Inc. One Corporate Center Rye, New York 10580 November 13, 2017 VIA EDGAR AND ELECTRONIC MAIL Eric Envall, Esq. Staff Attorney United States Securities and Exchange Commission Division of Corporation Finance Mail Stop 4720 100 F Street, N.E. Washington, D.C. 20549 Re: GAMCO Investors, Inc. Registration Statement on Form S-3 Filed November 7, 2017 File No. 333-221394 Ladies and Gen |
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| November 7, 2017 |
GBL / GAMCO Investors, Inc. FORM S-3, DATED NOVEMBER 7, 2017 As filed with the Securities and Exchange Commission on November 7, 2017. Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 GAMCO Investors, Inc. (Exact name of Registrant as specified in its charter) DELAWARE (State or other jurisdiction of incorporation or organization) 13-4007862 (I.R.S. |
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| November 7, 2017 |
GAMCO Investors, Inc. Reports Third Quarter 2017 Results Exhibit 99.1 For Immediate Release: Contact: Kieran Caterina or Diane M. LaPointe SVPs and Co-Chief Accounting Officers (914) 921-5149 or 7763 For further information please visit www.gabelli.com GAMCO Investors, Inc. Reports Third Quarter 2017 Results - AUM grew 8.2% to $43.1 billion year to year - Revenues were $88.3 million versus $87.7 million in the 2016 third quarter - Third quarter diluted |
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| November 7, 2017 |
GBL / GAMCO Investors, Inc. FORM 8-K, DATED NOVEMBER 7, 2017 (Current Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 7, 2017 GAMCO INVESTORS, INC. (Exact name of registrant as specified in its charter) Delaware 1-14761 13-4007862 (State or other jurisdiction of incorporation) (Commission Fil |
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| November 7, 2017 |
GBL / GAMCO Investors, Inc. FORM10Q32017 (Quarterly Report) SECURITIES & EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2017 or TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-14761 GAMCO INVESTORS, INC. (E |
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| October 5, 2017 |
GAMCO Investors FORM 8-K, DATED SEPTEMBER 30, 2017 (Current Report/Significant Event) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 30, 2017 GAMCO INVESTORS, INC. (Exact name of registrant as specified in its charter) Delaware 1-14761 13-4007862 (State or other jurisdiction of incorporation) (Commission F |
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| October 5, 2017 |
GAMCO INVESTORS, INC. STOCK AWARD AND INCENTIVE PLAN RESTRICTED STOCK UNIT AGREEMENT Exhibit 99.1 GAMCO INVESTORS, INC. STOCK AWARD AND INCENTIVE PLAN RESTRICTED STOCK UNIT AGREEMENT THIS RESTRICTED STOCK UNIT AGREEMENT, (this "Agreement"), effective as of September 30, 2017 (the ?Grant Date?), is made by and between GAMCO Investors, Inc., a Delaware corporation (the "Company"), and Mario J. Gabelli (the "Grantee"). WHEREAS, the Company adopted the GAMCO Investors, Inc. Stock Awar |
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| August 3, 2017 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 3, 2017 GAMCO INVESTORS, INC. (Exact name of registrant as specified in its charter) Delaware 1-14761 13-4007862 (State or other jurisdiction of incorporation) (Commission File |
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| August 3, 2017 |
GAMCO Investors, Inc. Reports Second Quarter 2017 Results Exhibit 99.1 For Immediate Release: Contact: Kieran Caterina or Diane M. LaPointe SVPs and Co-Chief Accounting Officers (914) 921-5149 or 7763 For further information please visit www.gabelli.com GAMCO Investors, Inc. Reports Second Quarter 2017 Results - AUM of $41.3 billion, up 5.2% year over year - Pretax profits of $37.4 million - Second Quarter Earnings of $0.76 per diluted share Rye, New Yor |
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| August 3, 2017 |
GBL / GAMCO Investors, Inc. FORM10Q22017 (Quarterly Report) SECURITIES & EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2017 or TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-14761 GAMCO INVESTORS, INC. (Exact |
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| June 1, 2017 |
8-K 1 form8k060117.htm FORM 8-K, DATED JUNE 1, 2017 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 8, 2017 GAMCO INVESTORS, INC. (Exact name of registrant as specified in its charter) Delaware 1-14761 13-4007862 (State or other |
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| May 9, 2017 |
GAMCO Investors FORM 8-K, DATED MAY 8, 2017 (Current Report/Significant Event) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 8, 2017 GAMCO INVESTORS, INC. (Exact name of registrant as specified in its charter) Delaware 1-14761 13-4007862 (State or other jurisdiction of incorporation) (Commission File Num |
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| May 4, 2017 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 3, 2017 GAMCO INVESTORS, INC. (Exact name of registrant as specified in its charter) Delaware 1-14761 13-4007862 (State or other jurisdiction of incorporation) (Commission File Num |
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| May 3, 2017 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 3, 2017 GAMCO INVESTORS, INC. (Exact name of registrant as specified in its charter) Delaware 1-14761 13-4007862 (State or other jurisdiction of incorporation) (Commission File Num |
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| May 3, 2017 |
GAMCO Investors, Inc. Reports First Quarter 2017 Results Exhibit 99.1 For Immediate Release: Contact: Kieran Caterina or Diane M. LaPointe SVPs and Co-Chief Accounting Officers (914) 921-5149 or 7763 For further information please visit www.gabelli.com GAMCO Investors, Inc. Reports First Quarter 2017 Results - AUM of $41.4 billion, up 6.8% year over year - Pretax profits of $40.1 million - First Quarter Earnings of $0.82 per diluted share Rye, New York, |
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| May 3, 2017 |
SECURITIES & EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q SECURITIES & EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2017 or TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-14761 GAMCO INVESTORS, INC. (Exact |
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| April 12, 2017 |
GAMCO Investors GBL DEFINITIVE PROXY 2017 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Definitive Proxy State |
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| March 23, 2017 |
GAMCO Investors PRELIMINARY GBL PROXY 2017 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: x Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Definitive Proxy State |
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| March 7, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K [x] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2016 or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-14761 GAMCO Investors, Inc. |
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| March 7, 2017 |
Exhibit 12.1 Computation of Ratios of Earnings to Fixed Charges The following table sets forth certain information regarding our consolidated ratio of earnings to fixed charges for the five-year period ended December 31, 2016. Year Ending December 31, 2016 2015 2014 2013 2012 (In thousands, except ratio data) Income before taxes $ 182,227 $ 139,025 $ 168,283 $ 143,007 $ 106,692 Fixed charges 12,71 |
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| March 7, 2017 |
Exhibit 99.1 Schedule I GAMCO INVESTORS, INC. CONDENSED STATEMENTS OF INCOME (Parent company only) (In thousands, except per share data) Year Ended December 31, 2016 2015 2014 Revenues Distribution fees and other income $ 29,045 $ 26,860 $ 29,611 Total revenues 29,045 26,860 29,611 Expenses Compensation 1,929 3,550 4,005 Stock based compensation 3,959 9,868 5,278 Management fee benefit (13,943 ) ( |
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| March 7, 2017 |
Exhibit 21.1 Subsidiaries of GAMCO Investors, Inc. The following table lists the direct and indirect subsidiaries of GAMCO Investors, Inc. (the "Company"), except those investment partnerships and offshore funds which are consolidated. In accordance with Item 601 (21) of Regulation S-K, the omitted subsidiaries considered in the aggregate as a single subsidiary would not constitute a "significant |
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| February 13, 2017 |
SC 13G/A 1 d210173sc13ga1.htm AMENDMENT NO. 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* GAMCO INVESTORS, INC. (Name of Issuer) CLASS A COMMON STOCK, $.001 PAR VALUE (Title of Class of Securities) 361438104 (CUSIP Number) February 9, 2017 (Date of Event Which Requires Filing of This Statement) |
