-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Q4lRxqN7KuKpYi5jpLRwTv57DbXVNRuot2YB3qQDb3cq8Nbr5ZOHwjm/sNQdc5a0 5i7s02X963u9FdXyZKaFIg== 0000912057-01-002732.txt : 20010129 0000912057-01-002732.hdr.sgml : 20010129 ACCESSION NUMBER: 0000912057-01-002732 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20010125 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: GABELLI ASSET MANAGEMENT INC CENTRAL INDEX KEY: 0001060349 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 134007862 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-56335 FILM NUMBER: 1514588 BUSINESS ADDRESS: STREET 1: ONE CORPORATE CENTER CITY: RYE STATE: NY ZIP: 10580 BUSINESS PHONE: 9149213700 MAIL ADDRESS: STREET 1: ONE CORPORATE CENTER CITY: RYE STATE: NY ZIP: 10580 FORMER COMPANY: FORMER CONFORMED NAME: ALPHA G INC DATE OF NAME CHANGE: 19980423 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: PASADENA CAPITAL CORP CENTRAL INDEX KEY: 0000860759 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 954187880 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 600 NORTH ROSEMEAD BLVD CITY: PASADENA STATE: CA ZIP: 91107 BUSINESS PHONE: 8183516427 SC 13G 1 a2036253zsc13g.txt SCHEDULE 13G =============================== OMB APPROVAL =============================== OMB Number: 3235-0145 =============================== Expires: October 31, 2002 =============================== Estimated average burden hours per response . . . 14.9 =============================== UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1 )* --- GABELLI ASSET MANAGEMENT INC. - -------------------------------------------------------------------------------- (Name of Issuer) COMMON STOCK - -------------------------------------------------------------------------------- (Title of Class of Securities) 36239Y102 ---------------------------------- (CUSIP Number) DECEMBER 31, 2000 - -------------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: /X/ Rule 13d-1(b) / / Rule 13d-1(c) / / Rule 13d-1(d) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). CUSIP No. 36239Y102 --------- - ------------------------------------------------------------------------------- (1) Names of Reporting Persons. Pasadena Capital Corporation I.R.S. Identification Nos. of above persons (entities only). 95-4187880 - ------------------------------------------------------------------------------- (2) Check the Appropriate Box if a Member (a) / / of a Group (See Instructions) (b) / / - ------------------------------------------------------------------------------- (3) SEC Use Only - ------------------------------------------------------------------------------- (4) Citizenship or Place of Organization USA - ------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Power Beneficially Owned by -------------------------------------------------- Each Reporting (6) Shared Voting Power Person With: 529,924 -------------------------------------------------- (7) Sole Dispositive Power -------------------------------------------------- (8) Shared Dispositive Power 529,924 - ------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned by Each Reporting Person 529,924 - ------------------------------------------------------------------------------- (10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) / / - ------------------------------------------------------------------------------- (11) Percent of Class Represented by Amount in Row (9) 9.6% - ------------------------------------------------------------------------------- (12) Type of Reporting Person (See Instructions) HC - ------------------------------------------------------------------------------- CUSIP No. 36239Y102 --------- - ------------------------------------------------------------------------------- (1) Names of Reporting Persons. Roger Engemann & Associates, Inc. I.R.S. Identification Nos. of above persons (entities only). 95-2755531 - ------------------------------------------------------------------------------- (2) Check the Appropriate Box if a Member (a) / / of a Group (See Instructions) (b) / / - ------------------------------------------------------------------------------- (3) SEC Use Only - ------------------------------------------------------------------------------- (4) Citizenship or Place of Organization USA - ------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Power Beneficially Owned by -------------------------------------------------- Each Reporting (6) Shared Voting Power Person With: 529,924 -------------------------------------------------- (7) Sole Dispositive Power -------------------------------------------------- (8) Shared Dispositive Power 529,924 - ------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned by Each Reporting Person 529,924 - ------------------------------------------------------------------------------- (10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) / / - ------------------------------------------------------------------------------- (11) Percent of Class Represented by Amount in Row (9) 9.6% - ------------------------------------------------------------------------------- (12) Type of Reporting Person (See Instructions) IA - ------------------------------------------------------------------------------- CUSIP No. 36239Y102 --------- ITEM 1. (a) Name of Issuer GABELLI ASSET MANAGEMENT INC. --------------------------------------------------------------------- (b) Address of Issuer's Principal Executive Offices One Corporate Center Rye, New York 10580 --------------------------------------------------------------------- ITEM 2. (a) Name of Person Filing Pasadena Capital Corporation and controlled entities - see Item 7 --------------------------------------------------------------------- (b) Address of Principal Business Office or, if none, Residence 600 North Rosemead Blvd. Pasadena, California 91107 --------------------------------------------------------------------- (c) Citizenship USA --------------------------------------------------------------------- (d) Title of Class of Securities Common Stock --------------------------------------------------------------------- (e) CUSIP Number 36239Y102 --------------------------------------------------------------------- ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO SECTIONS 240.13d-1(b) OR 240.13d-2(b) OR (c), CHECK WHETHER THE PERSON FILING IS A: (a) / / Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o). (b) / / Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c). (c) / / Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c). (d) / / Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8). (e) / / An investment adviser in accordance with section 240.13d-1(b)(1)(ii)(E). (f) / / An employee benefit plan or endowment fund in accordance with section 240.13d-1(b)(1)(ii)(F). (g) /X/ A parent holding company or control person in accordance with section 240.13d-1(b)(1)(ii)(G). (h) / / A savings association as defined in section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813). (i) / / A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3). (j) / / Group, in accordance with section 240.13d-1(b)(1)(ii)(J). CUSIP No. 36239Y102 --------- ITEM 4. OWNERSHIP Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. (a) Amount beneficially owned: 529,924 --------------------------------------------------------------------------- (b) Percent of class: 9.6% --------------------------------------------------------------------------- (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote ----------------------------------------------------------------- (ii) Shared power to vote or to direct the vote 529,924 ----------------------------------------------------------------- (iii) Sole power to dispose or to direct the disposition of ----------------------------------------------------------------- (iv) Shared power to dispose or to direct the disposition of 529,924 ----------------------------------------------------------------- ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following. / / ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON The shares covered by this report are held for the benefit of discretionary accounts managed by Roger Engemann & Associates, Inc. See Item 7 Exhibit. ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY See Exhibit. ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP N/A ITEM 9. NOTICE OF DISSOLUTION OF GROUP N/A CUSIP No. 36239Y102 --------- ITEM 10. CERTIFICATION (a) The following certification shall be included if the statement is filed pursuant to section 240.13d-1(b): By signing below we certify that, to the best of our knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. 1-23-2001 -------------------------------- Date ROGER ENGEMANN & ASSOCIATES, INC. By /s/ TINA L. MITCHELL -------------------------------------------- Tina L. Mitchell, Vice President, Compliance PASADENA CAPITAL CORPORATION By /s/ MALCOLM AXON -------------------------------------------- Malcolm Axon, CFO EX-7 2 a2036253zex-7.txt EXHIBIT 7 SCHEDULE 13G ITEM 7 EXHIBIT The joint filers are 1) Pasadena Capital Corporation, a holding company, and 2) Roger Engemann & Associates, Inc., an investment adviser. . The relationships of the joint filers are as follows: 1. Pasadena Capital Corporation, a holding company, owns 100% of Roger Engemann & Associates, Inc. NUMBER OF SHARES BY JOINT FILER
CONTROL SHARES PERSON ------ ------- Roger Engemann & Associates, Inc. 529,924* 529,924 Pasadena Capital Corporation 0 529,924
*These shares are beneficially owned by and held in the accounts of various clients of the above-named investment adviser, which the adviser has investment discretion and voting authority with respect to such shares. SCHEDULE 13G JOINT FILING AGREEMENT PURSUANT TO RULE 13D-1(f)(1) This agreement is made pursuant to Rule 13d-1(f)(1) under the Securities Exchange Act of 1934 (the "Act") by and between the parties listed below, each referred to herein as a "Joint Filer". The Joint Filers agree that a statement of beneficial ownership as required by Section 13(d) of the Act and the Rules thereunder may be filed on each of their behalf on Schedule 13D or Schedule 13G, as appropriate, and that said joint filing may thereafter be amended by further joint filings. The Joint Filers state that they each satisfy the requirement for making a join filing under Rule 13d-1. ROGER ENGEMANN & ASSOCIATES, INC. By /s/ TINA L. MITCHELL ------------------------------------------ Tina L. Mitchell, Vice President, Compliance PASADENA CAPITAL CORPORATION By /s/ MALCOLM AXON ------------------------------------------ Malcolm Axon, CFO -----END PRIVACY-ENHANCED MESSAGE-----