0000807249-21-000153.txt : 20210908 0000807249-21-000153.hdr.sgml : 20210908 20210908160857 ACCESSION NUMBER: 0000807249-21-000153 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210907 FILED AS OF DATE: 20210908 DATE AS OF CHANGE: 20210908 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Caterina Kieran CENTRAL INDEX KEY: 0001406326 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14761 FILM NUMBER: 211242238 MAIL ADDRESS: STREET 1: ONE CORPORATE CENTER CITY: RYE STATE: NY ZIP: 10580 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: GAMCO INVESTORS, INC. ET AL CENTRAL INDEX KEY: 0001060349 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 134007862 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: ONE CORPORATE CENTER STREET 2: 401 THEODORE FREMD AVENUE CITY: RYE STATE: NY ZIP: 10580 BUSINESS PHONE: 9149213700 MAIL ADDRESS: STREET 1: ONE CORPORATE CENTER STREET 2: 401 THEODORE FREMD AVENUE CITY: RYE STATE: NY ZIP: 10580 FORMER COMPANY: FORMER CONFORMED NAME: GABELLI ASSET MANAGEMENT INC DATE OF NAME CHANGE: 19990112 FORMER COMPANY: FORMER CONFORMED NAME: ALPHA G INC DATE OF NAME CHANGE: 19980423 4 1 form4.xml X0306 4 2021-09-07 0001060349 GAMCO INVESTORS, INC. ET AL GBL 0001406326 Caterina Kieran ONE CORPORATE CENTER RYE NY 10580 true Chief Accounting Officer Class A Common Stock 2021-09-07 4 S 0 2000 27.0557 D 16677 D Phantom RSA 0 Class A Common Stock 7000 7000 D Each phantom RSA represents the right to receive the cash value of one share of GAMCO Investors, Inc. Class A common stock. Phantom RSAs are awarded pursuant to the Issuer's Stock Award and Incentive Plan and are payable in cash upon vesting. Thirty percent of these phantom RSAs vest after three years from the date of the award and the remaining seventy percent vest after five years from the date of the award. /s/ Kieran Caterina 2021-09-08