-----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, K6GDJWt2PmDFr2cqYazEis0m4NSeQfrmrImcRtXlVVIjE9coR/2IQc+pYWqMYdG/ jTXYsXXN3VaBtdlzI8dIHw== 0001060349-09-000036.txt : 20090326 0001060349-09-000036.hdr.sgml : 20090326 20090326154643 ACCESSION NUMBER: 0001060349-09-000036 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090320 ITEM INFORMATION: Entry into a Material Definitive Agreement FILED AS OF DATE: 20090326 DATE AS OF CHANGE: 20090326 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Teton Advisors, Inc. CENTRAL INDEX KEY: 0001444874 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] IRS NUMBER: 134008049 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 000-53527 FILM NUMBER: 09706659 BUSINESS ADDRESS: STREET 1: ONE CORPORATE CENTER CITY: RYE STATE: NY ZIP: 10580 BUSINESS PHONE: (914) 457-1070 MAIL ADDRESS: STREET 1: ONE CORPORATE CENTER CITY: RYE STATE: NY ZIP: 10580 8-K 1 teton8k0326.htm TETON ADVISORS, INC. 8-K DATED MARCH 26, 2009 teton8k0326.htm
 
 
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 20, 2009
 
 
TETON ADVISORS, INC.
(Exact name of registrant as specified in its charter)
 
Delaware
  
0-53527
  
13-4008049
(State or other
jurisdiction of incorporation)
  
(Commission File Number)
  
(IRS Employer
Identification No.)
     
One Corporate Center, Rye, NY
      
10580
(Address of principal executive offices)
      
(Zip Code)
 
Registrant’s telephone number, including area code     (914) 921-5000


Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

[ ]  Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

[ ]  Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

[ ]  Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

[ ]  Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))




 
Item 1.02. Entry into a Material Definitive Agreement

    On March 20, 2009, all of the shares of class B common stock of Teton Advisors, Inc. held by GAMCO Investors, Inc. were distributed pro rata to the holders of GAMCO common stock as of March 10, 2009.  Pursuant to the spin-off, each holder of GAMCO common stock received 14.930 shares of class B common stock of the Company for every 1,000 shares of GAMCO class A common stock or class B common stock held as of the close of business on the Record Date.  Further details regarding the spin-off may be found in the Company’s Registration Statement on Form 10, as amended, filed on February 24, 2009, and the Information Statement filed as Exhibit 99.1 thereto.
 
In connection with the spin-off, the following agreements between the Company and GAMCO became effective:
 
·  
Service Mark and Name License Agreement;
 
·  
Transitional Administrative and Management Services Agreement; and
 
·  
Separation and Distribution Agreement.
 
The terms of these agreements were disclosed in the Information Statement on page 35 under the caption "Arrangements Between GAMCO and Teton After the Spin-Off" and copies of such agreements were previously filed as exhibits to the Form 10, and are hereby incorporated by reference.



SIGNATURES
 
Pursuant to the requirements of the Securities Exchange Act of 1934, the Company has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
 

Teton Advisors, Inc.
     
By:
  
/s/ Jeffrey M. Farber
   
Jeffrey M. Farber
Chief Financial Officer

Date:
  
March 26, 2009



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