0001140361-16-063605.txt : 20160505 0001140361-16-063605.hdr.sgml : 20160505 20160505171520 ACCESSION NUMBER: 0001140361-16-063605 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160331 FILED AS OF DATE: 20160505 DATE AS OF CHANGE: 20160505 EFFECTIVENESS DATE: 20160505 FILER: COMPANY DATA: COMPANY CONFORMED NAME: GABELLI SECURITIES, INC. CENTRAL INDEX KEY: 0000932724 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-10598 FILM NUMBER: 161624960 BUSINESS ADDRESS: STREET 1: ONE CORPORATE CENTER CITY: RYE STATE: NY ZIP: 10580 BUSINESS PHONE: 914-921-5000 MAIL ADDRESS: STREET 1: ONE CORPORATE CENTER CITY: RYE STATE: NY ZIP: 10580 FORMER COMPANY: FORMER CONFORMED NAME: GABELLI SECURITIES INC DATE OF NAME CHANGE: 19941114 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0000932724 XXXXXXXX 03-31-2016 03-31-2016 GABELLI SECURITIES, INC.
ONE CORPORATE CENTER RYE NY 10580
13F HOLDINGS REPORT 028-10598 N
Douglas R. Jamieson President 914-921-5020 /s/ Douglas R. Jamieson Rye NY 04-29-2016 0 166 797155 false
INFORMATION TABLE 2 form13fInfoTable.xml ACOR 1 3/4 6/15/21 CONVERTIBLE BOND 00484MAA4 380 425000 PRN SOLE 425000 0 0 ADCARE HEALTH SYSTEMS INC COM 00650W300 23 10000 SH SOLE 10000 0 0 ADOBE SYSTEMS INC COM COM 00724F101 938 10000 SH SOLE 10000 0 0 ADT CORPORATION COM COM 00101J106 20812 504417 SH SOLE 504417 0 0 AGL RES INC COM COM 001204106 3434 52715 SH SOLE 52715 0 0 AIRGAS INC COM COM 009363102 24984 176388 SH SOLE 176388 0 0 AKAMAI TECHNOLOGIES INC COM COM 00971T101 834 15000 SH SOLE 15000 0 0 ALAMOS GOLD INC NEW COM CL A COM 011532108 100 18847 SH SOLE 18847 0 0 ALERE INC COM 01449J105 17057 337022 SH SOLE 337022 0 0 ALLERGAN PLC SHS COM G0177J108 10555 39380 SH SOLE 39380 0 0 ALLIANCE BERNSTEIN HLDGS LP UN COM 01881G106 258 11000 SH SOLE 11000 0 0 AMC NETWORKS INC CL A COM 00164V103 2435 37500 SH SOLE 37500 0 0 AMERICAN EXPRESS CO COM 025816109 276 4500 SH SOLE 4500 0 0 AMSURG CORP COM COM 03232P405 224 3000 SH SOLE 3000 0 0 APACHE CORP COM 037411105 757 15500 SH SOLE 15500 0 0 APOLLO EDUCATION COM 037604105 1339 163042 SH SOLE 163042 0 0 ASTRAZENECA PLC ADR SPONSORED COM 046353108 555 19700 SH SOLE 19700 0 0 ATMEL CORP COM COM 049513104 9431 1161423 SH SOLE 1161423 0 0 AVISTA CORP COM COM 05379B107 816 20000 SH SOLE 20000 0 0 AXIALL CORP COM 05463D100 895 41000 SH SOLE 41000 0 0 BIOTA HOLDINGS LTD COM 090694100 337 224977 SH SOLE 224977 0 0 B2GOLD CORP COM COM 11777Q209 76 45663 SH SOLE 45663 0 0 BAKER HUGHES INC COM 057224107 8070 184116 SH SOLE 184116 0 0 BANCROFT FUND LTD COM MUTUAL FUNDS 059695106 994 55400 SH SOLE 55400 0 0 BANK OF AMERICA COM 060505104 1470 108729 SH SOLE 108729 0 0 BANK OF NEW YORK MELLON CORP COM 064058100 773 21000 SH SOLE 21000 0 0 BAXALTA INC COM COM 07177M103 19490 482420 SH SOLE 482420 0 0 BECTON DICKINSON & CO COM COM 075887109 228 1500 SH SOLE 1500 0 0 BGC 4 1/2 11/15/29 CONVERTIBLE BOND 369300AL2 180 325000 PRN SOLE 325000 0 0 BIOSCRIP INC COM 09069N108 151 70457 SH SOLE 70457 0 0 BLOUNT INTL INC NEW COM COM 095180105 5775 578662 SH SOLE 578662 0 0 BOSTON PRIVATE FINL HLDGS INCO COM 101119105 172 15000 SH SOLE 15000 0 0 BTO CN 3 1/4 10/1/18 CONVERTIBLE BOND 11777QAB6 417 500000 PRN SOLE 500000 0 0 C1 FINL INC COM COM 12591N109 5265 217551 SH SOLE 217551 0 0 CABLEVISION SYS NY GROUP A COM 12686C109 26954 816780 SH SOLE 816780 0 0 CABLEVISION SYS CORP COM 12686C959 180 100 SH Put SOLE 0 0 0 CAMERON INTERNATIONAL CORP COM 13342B105 42330 631326 SH SOLE 631326 0 0 CARMIKE CINEMAS INC COM COM 143436400 2674 89017 SH SOLE 89017 0 0 CASCADE MICROTECH INC COM COM 147322101 1837 89100 SH SOLE 89100 0 0 CBS CORP CLASS A COM 124857103 496 8400 SH SOLE 8400 0 0 CHECKPOINT SYS INC COM COM 162825103 2038 201375 SH SOLE 201375 0 0 CHEMTURA CORP COM NEW COM 163893209 264 10000 SH SOLE 10000 0 0 CHEVRON CORP COM 166764100 1679 17600 SH SOLE 17600 0 0 CHIPOTLE MEXICAN GRILL INC CL COM 169656105 3061 6500 SH SOLE 6500 0 0 CIGNA CORP COM 125509109 274 2000 SH SOLE 2000 0 0 CITIGROUP INC COM 172967424 292 7000 SH SOLE 7000 0 0 CLEAR CHANNEL OUTDOOR HLDGS CL COM 18451C109 80 17000 SH SOLE 17000 0 0 CLECO CORP NEW COM COM 12561W105 24283 439827 SH SOLE 439827 0 0 COHEN & STEERS INC COM COM 19247A100 623 16000 SH SOLE 16000 0 0 COLUMBIA PIPELINE GROUP INC CO COM 198280109 3864 153963 SH SOLE 153963 0 0 COMMUNITY HEALTH SYSTEMS-CVR WARRANT AND RIGH 203668116 3 471530 SH SOLE 471530 0 0 CORCEPT THERAPEUTICS INC OC-CO COM 218352102 450 96200 SH SOLE 96200 0 0 CROWN MEDIA HLDGS INC CL A COM 228411104 1140 224343 SH SOLE 224343 0 0 CST BRANDS INC COM COM 12646R105 218 5700 SH SOLE 5700 0 0 CURTISS WRIGHT CORP COM 231561101 378 5000 SH SOLE 5000 0 0 CVR REFNG LP COM 12663P907 175 100 SH Call SOLE 0 0 0 CVS HEALTH CORP COM 126650100 311 3000 SH SOLE 3000 0 0 DAVITA INC COM 23918K108 257 3500 SH SOLE 3500 0 0 DEVON ENERGY CORP NEW COM 25179M103 637 23200 SH SOLE 23200 0 0 DISH NETWORK CORPORATION COM 25470M109 231 5000 SH SOLE 5000 0 0 E M C CORP MASS COM COM 268648102 12047 452052 SH SOLE 452052 0 0 EATON CORP PLC SHS COM G29183103 494 7900 SH SOLE 7900 0 0 ECHOSTAR CORP-A COM 278768106 775 17500 SH SOLE 17500 0 0 FAIRCHILD SEMICONDUCTOR INTLCL COM 303726103 11654 582692 SH SOLE 582692 0 0 FEDERAL MOGUL CORP CL A COM 313549404 544 55079 SH SOLE 55079 0 0 FERRO CORP COM 315405100 393 33100 SH SOLE 33100 0 0 FREEPORT MCMORAN COPPER&GOLD C COM 35671D857 1193 115400 SH SOLE 115400 0 0 FRESH MKT INC COM COM 35804H106 9149 320663 SH SOLE 320663 0 0 FRONTLINE LTD SHS NEW COM G3682E192 542 64766 SH SOLE 64766 0 0 GABELLI DIV&INC TR COM MUTUAL FUNDS 36242H104 9319 504300 SH SOLE 504300 0 0 GABELLI GLB SML & MD CP VAL CO MUTUAL FUNDS 36249W104 551 52190 SH SOLE 52190 0 0 GABELLI GLOBAL UTIL & INCOMECO MUTUAL FUNDS 36242L105 4093 228655 SH SOLE 228655 0 0 GABELLI MULTIMEDIA TRST INC MUTUAL FUNDS 36239Q109 602 81838 SH SOLE 81838 0 0 GAMCO INVESTORS INC COM PRIVATE INVESTME 361438104 162807 4393055 SH SOLE 4393055 0 0 GDL FUND MUTUAL FUNDS 361570104 13707 1366580 SH SOLE 1366580 0 0 GENERAL ELEC CO COM 369604103 477 15000 SH SOLE 15000 0 0 GILEAD SCIENCES INC COM COM 375558103 276 3000 SH SOLE 3000 0 0 GLOBAL SOURCES LTD COM COM G39300101 201 24835 SH SOLE 24835 0 0 GRIFOLS SA SP ADR REP B NVT COM 398438408 5826 376584 SH SOLE 376584 0 0 GRUPO TELEVISA SA DE CV ADR (B COM 40049J206 412 15000 SH SOLE 15000 0 0 GYRODYNE LLC COM COM 403829104 2171 80547 SH SOLE 80547 0 0 HARVEST NAT RES INC COM COM 41754V103 87 144600 SH SOLE 144600 0 0 HAWAIIAN ELEC INDS INC COM COM 419870100 1338 41298 SH SOLE 41298 0 0 HC2 HLDGS INC COM COM 404139107 142 37100 SH SOLE 37100 0 0 HCA HOLDINGS INC COM COM 40412C101 273 3500 SH SOLE 3500 0 0 HEARTLAND PMT SYS INC COM COM 42235N108 5296 54843 SH SOLE 54843 0 0 HEICO CORP NEW CL A COM 422806208 3804 79911 SH SOLE 79911 0 0 HERTZ GLOBAL HOLDINGS INC COM COM 42805T105 1773 168361 SH SOLE 168361 0 0 HUMANA INC COM COM 444859102 11772 64343 SH SOLE 64343 0 0 INGRAM MICRO INC-CL A COM 457153104 4577 127462 SH SOLE 127462 0 0 INTEL CORP 3.25% 8/1/39 144A CONVERTIBLE BOND 458140AF7 279 175000 PRN SOLE 175000 0 0 INTERACTIVE BROKERS COM 45841N107 1337 34000 SH SOLE 34000 0 0 INTERNAP NETWORK SVCS CORP COM COM 45885A300 417 152638 SH SOLE 152638 0 0 INTERNATIONAL GAME TECH PLC SH COM G4863A108 1056 57869 SH SOLE 57869 0 0 INTERPUBLIC GROUP COS INC COM 460690100 317 13800 SH SOLE 13800 0 0 JARDEN CORPORATION COM 471109108 13674 231961 SH SOLE 231961 0 0 JIAYUAN COM INTL LTD SPONSORED COM 477374102 423 56759 SH SOLE 56759 0 0 JOURNAL MEDIA GROUP INC COM COM 48114A109 3354 280426 SH SOLE 280426 0 0 KIMBALL ELECTRONICS INC COM COM 49428J109 594 53169 SH SOLE 53169 0 0 KIMBALL INTL INC CL B COM 494274103 767 67559 SH SOLE 67559 0 0 KINDER MORGAN INC WT EXP 05/25 WARRANT AND RIGH 49456B119 9 232081 SH SOLE 232081 0 0 KKR & CO. L.P COM 48248M102 1769 120410 SH SOLE 120410 0 0 KLA TENCOR CORP COM 482480100 20139 276597 SH SOLE 276597 0 0 LENNAR B SHARES COM 526057302 7623 196919 SH SOLE 196919 0 0 LIBERTY TRIPADVISOR HLDG-A COM 531465102 406 18338 SH SOLE 18338 0 0 LIBERTY VENTURES SER A COM 53071M880 745 19048 SH SOLE 19048 0 0 LILLY, ELI AND COMPANY COM 532457108 720 10000 SH SOLE 10000 0 0 LORAL SPACE & COMMUNICATNS ICO COM 543881106 2211 62947 SH SOLE 62947 0 0 MEAD JOHNSON COM 582839106 850 10000 SH SOLE 10000 0 0 MEDIA GEN INC NEW COM COM 58441K100 13181 808174 SH SOLE 808174 0 0 MIC 2.875% 07/15/19 CORPORATE BONDS 55608BAA3 359 325000 PRN SOLE 325000 0 0 MICROSOFT CORP COM 594918104 552 10000 SH SOLE 10000 0 0 MONDELEZ INTERNATIONAL COM 609207105 522 13000 SH SOLE 13000 0 0 MORGANS HOTEL GROUP CO COM COM 61748W108 683 494972 SH SOLE 494972 0 0 NATIONAL FUEL GAS CO N J COM COM 636180101 325 6500 SH SOLE 6500 0 0 NATIONAL INTERSTATE CORP COM COM 63654U100 4311 144098 SH SOLE 144098 0 0 NATIONAL PENN BANCSHARES INCCO COM 637138108 6858 644582 SH SOLE 644582 0 0 NAVISTAR INTL CORP COM COM 63934E108 146 11700 SH SOLE 11700 0 0 NEOGENOMICS INC COM NEW COM 64049M209 135 20000 SH SOLE 20000 0 0 NEWMONT MINING CORP HOLDING CO COM 651639106 266 10000 SH SOLE 10000 0 0 NEWPORT CORP COM COM 651824104 4780 207811 SH SOLE 207811 0 0 OFFICE DEPOT INC COM 676220106 6253 880657 SH SOLE 880657 0 0 OPKO HEALTH INC COM COM 68375N103 104 10000 SH SOLE 10000 0 0 OUTERWALL INC COM COM 690070107 1605 43403 SH SOLE 43403 0 0 PEPSICO INC COM 713448108 1025 10000 SH SOLE 10000 0 0 PIEDMONT NAT GAS INC COM COM 720186105 4433 74100 SH SOLE 74100 0 0 PINNACLE ENTMT INC COM COM 723456109 1918 54647 SH SOLE 54647 0 0 PNC FINANCIAL CORP COM 693475105 338 4000 SH SOLE 4000 0 0 POST HOLDINGS INC COM 737446104 1032 15000 SH SOLE 15000 0 0 POWERSECURE INTL INC COM COM 73936N105 1319 70590 SH SOLE 70590 0 0 PROGRESSIVE WASTE SOLUTIONS LT COM 74339G101 1081 34850 SH SOLE 34850 0 0 PROSHARES TRUST PSHS ULSHT SP5 ETF - EQUITY 74347B300 948 50000 SH SOLE 50000 0 0 QIHOO 360 TECHNOLOGY CO LTD AD COM 74734M109 1964 25990 SH SOLE 25990 0 0 QUESTAR CORP COM COM 748356102 1982 79918 SH SOLE 79918 0 0 RITE AID CORP COM COM 767754104 12047 1478209 SH SOLE 1478209 0 0 ROFIN SINAR TECHNOLOGIES INCCO COM 775043102 2496 77453 SH SOLE 77453 0 0 RYMAN HOSPITALITY PPTYS INC CO COM 78377T107 942 18295 SH SOLE 18295 0 0 SANDISK CORP COM COM 80004C101 29749 391023 SH SOLE 391023 0 0 SMITH & NEPHEW P L C ADR SPONS COM 83175M205 533 16000 SH SOLE 16000 0 0 SNYDERS LANCE INC COM COM 833551104 658 20887 SH SOLE 20887 0 0 SONY CORP-ADR (B:SNE US) COM 835699307 694 27000 SH SOLE 27000 0 0 STARWOOD HOTELS & RESORTS WRLD COM 85590A401 10149 121650 SH SOLE 121650 0 0 SUNPOWER CORP 0.880% 06/01/21 CONVERTIBLE BOND 867652AJ8 192 250000 PRN SOLE 250000 0 0 SYNGENTA AG ADR SPONSORED COM 87160A100 11412 137790 SH SOLE 137790 0 0 TALMER BANCORP INC COM COM 87482X101 3531 195200 SH SOLE 195200 0 0 TELEPHONE & DATA SYS COM 879433829 445 14800 SH SOLE 14800 0 0 TESLA MOTORS 1.250% 03/1/21 CONVERTIBLE BOND 88160RAC5 429 500000 PRN SOLE 500000 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 283 2000 SH SOLE 2000 0 0 TIME WARNER CABLE INC COM COM 88732J207 41545 203035 SH SOLE 203035 0 0 TUMI HLDGS INC COM COM 89969Q104 4911 183113 SH SOLE 183113 0 0 TWENTY FIRST CENTY FOX B COM 90130A200 375 13300 SH SOLE 13300 0 0 TYCO INTERNATIONAL PLC ORDINAR COM G91442106 2751 74950 SH SOLE 74950 0 0 T-MOBILE US INC COM 872590104 2281 59549 SH SOLE 59549 0 0 UNITED STATES CELLULAR CORP COM 911684108 388 8500 SH SOLE 8500 0 0 UNIVERSAL AMERICAN CORP COM 91338E101 363 50845 SH SOLE 50845 0 0 VALSPAR CORP COM COM 920355104 11321 105780 SH SOLE 105780 0 0 VIACOM INC NEW CL A COM 92553P102 498 11000 SH SOLE 11000 0 0 WEATHERFORD INTERNATIONAL PLC COM G48833100 124 16000 SH SOLE 16000 0 0 WELLS FARGO CV PFD L 7.500% CONVERTIBLE PREF 949746804 301 250 SH SOLE 250 0 0 WELLS FARGO & CO NEW COM 949746101 3953 81743 SH SOLE 81743 0 0 WESCO AIRCRAFT HLDGS INC COM COM 950814103 549 38160 SH SOLE 38160 0 0 WESTROCK CO COM COM 96145D105 1060 27150 SH SOLE 27150 0 0 XYLEM INC COM 98419M100 205 5000 SH SOLE 5000 0 0 YAHOO INC. COM 984332106 10088 274044 SH SOLE 274044 0 0 YELP INC CL A COM 985817105 482 24242 SH SOLE 24242 0 0 YOUKU COM INC SPONSORED ADR COM 98742U100 9065 329751 SH SOLE 329751 0 0