0001140361-16-085913.txt : 20161114
0001140361-16-085913.hdr.sgml : 20161111
20161110185312
ACCESSION NUMBER: 0001140361-16-085913
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20160930
FILED AS OF DATE: 20161114
DATE AS OF CHANGE: 20161110
EFFECTIVENESS DATE: 20161114
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: 161989583
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
09-30-2016
09-30-2016
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
11-01-2016
0
165
854493
false
INFORMATION TABLE
2
form13fInfoTable.xml
ACCURIDE CORP NEW
COM
00439T206
860
336045
SH
SOLE
336045
0
0
0
ACOR 1 3/4 6/15/21
CONVERTIBLE BOND
00484MAA4
247
300000
PRN
SOLE
300000
0
0
0
ADCARE HEALTH SYSTEMS INC
COM
00650W300
21
10000
SH
SOLE
10000
0
0
0
ADOBE SYSTEMS INC COM
COM
00724F101
1085
10000
SH
SOLE
10000
0
0
0
AEP INDS INC COM
COM
001031103
5993
54794
SH
SOLE
54794
0
0
0
AKAMAI TECHNOLOGIES INC COM
COM
00971T101
795
15000
SH
SOLE
15000
0
0
0
ALAMOS GOLD INC NEW COM CL A
COM
011532108
155
18847
SH
SOLE
18847
0
0
0
ALERE INC
COM
01449J105
22640
523582
SH
SOLE
523582
0
0
0
ALLERGAN PLC SHS
COM
G0177J108
357
1550
SH
SOLE
1550
0
0
0
AMC NETWORKS INC CL A
COM
00164V103
2723
52500
SH
SOLE
52500
0
0
0
AMD 2 1/8 9/1/26
CONVERTIBLE BOND
007903BD8
218
200000
PRN
SOLE
200000
0
0
0
AMERICAN CAP LTD COM
COM
02503Y103
6474
382875
SH
SOLE
382875
0
0
0
AMERICAN EXPRESS CO
COM
025816109
243
3800
SH
SOLE
3800
0
0
0
AMSURG CORP COM
COM
03232P405
201
3000
SH
SOLE
3000
0
0
0
APACHE CORP
COM
037411105
990
15500
SH
SOLE
15500
0
0
0
APIGEE CORP COM
COM
03765N108
2167
124541
SH
SOLE
124541
0
0
0
APOLLO EDUCATION
COM
037604105
3968
499101
SH
SOLE
499101
0
0
0
ASTORIA FINL CORP COM
COM
046265104
510
34900
SH
SOLE
34900
0
0
0
AVIRAGEN THERAPEUTICS INC
COM
053761102
431
224477
SH
SOLE
224477
0
0
0
AVISTA CORP COM
COM
05379B107
836
20000
SH
SOLE
20000
0
0
0
BANCROFT FUND LTD COM
MUTUAL FUNDS
059695106
1163
55400
SH
SOLE
55400
0
0
0
BANK OF AMERICA
COM
060505104
1702
108729
SH
SOLE
108729
0
0
0
BANK OF NEW YORK MELLON CORP
COM
064058100
798
20000
SH
SOLE
20000
0
0
0
BOSTON PRIVATE FINL HLDGS INCO
COM
101119105
167
13000
SH
SOLE
13000
0
0
0
BTO CN 3 1/4 10/1/18
CONVERTIBLE BOND
11777QAB6
514
500000
PRN
SOLE
500000
0
0
0
CABELAS INC- CL A COM
COM
126804301
3731
67925
SH
SOLE
67925
0
0
0
CARMIKE CINEMAS INC COM
COM
143436400
4517
138170
SH
SOLE
138170
0
0
0
CBS CORP CLASS A
COM
124857103
465
8400
SH
SOLE
8400
0
0
0
CEPHEID COM
COM
15670R107
11937
226559
SH
SOLE
226559
0
0
0
CHARTER COMMUNICATIONS INC
COM
16119P108
352
1302
SH
SOLE
1302
0
0
0
CHEMTURA CORP COM NEW
COM
163893209
4221
128658
SH
SOLE
128658
0
0
0
CHEVRON CORP
COM
166764100
1400
13600
SH
SOLE
13600
0
0
0
CHIPOTLE MEXICAN GRILL INC CL
COM
169656105
2753
6500
SH
SOLE
6500
0
0
0
CIGNA CORP
COM
125509109
261
2000
SH
SOLE
2000
0
0
0
CITIGROUP INC
COM
172967424
378
8000
SH
SOLE
8000
0
0
0
CLEAR CHANNEL OUTDOOR HLDGS CL
COM
18451C109
99
17000
SH
SOLE
17000
0
0
0
COHEN & STEERS INC COM
COM
19247A100
492
11500
SH
SOLE
11500
0
0
0
COMMUNITY HEALTH SYSTEMS-CVR
WARRANT AND RIGH
203668116
4
471530
SH
SOLE
471530
0
0
0
CORCEPT THERAPEUTICS INC OC-CO
COM
218352102
572
88000
SH
SOLE
88000
0
0
0
CST BRANDS INC COM
COM
12646R105
12880
267834
SH
SOLE
267834
0
0
0
CURTISS WRIGHT CORP
COM
231561101
456
5000
SH
SOLE
5000
0
0
0
CVENT INC COM
COM
23247G109
14647
461892
SH
SOLE
461892
0
0
0
CVS HEALTH CORP
COM
126650100
267
3000
SH
SOLE
3000
0
0
0
CYNAPSUS THERAPEUTICS INC COM
COM
23257Y859
7216
179375
SH
SOLE
179375
0
0
0
CYPRESS SEMICONDUCTOR CORP COM
COM
232806109
1097
90200
SH
SOLE
90200
0
0
0
DAVITA INC
COM
23918K108
231
3500
SH
SOLE
3500
0
0
0
DELL TECHNOLOGIES INC COM CL V
COM
24703L103
4175
87342
SH
SOLE
87342
0
0
0
DEVON ENERGY CORP NEW
COM
25179M103
1023
23200
SH
SOLE
23200
0
0
0
DTS INC
COM
23335C101
1505
35382
SH
SOLE
35382
0
0
0
DURECT CORP
COM
266605104
14
10000
SH
SOLE
10000
0
0
0
EATON CORP PLC SHS
COM
G29183103
519
7900
SH
SOLE
7900
0
0
0
ECHOSTAR CORP-A
COM
278768106
767
17500
SH
SOLE
17500
0
0
0
ENDOCHOICE HLDGS INC COM
COM
29272U103
632
79150
SH
SOLE
79150
0
0
0
EVERBANK FINL CORP COM
COM
29977G102
3583
185052
SH
SOLE
185052
0
0
0
FEDERAL MOGUL CORP CL A
COM
313549404
509
53004
SH
SOLE
53004
0
0
0
FERRO CORP
COM
315405100
347
25100
SH
SOLE
25100
0
0
0
FLEETMATICS GROUP PLC COM
COM
G35569105
25217
420422
SH
SOLE
420422
0
0
0
FMC TECHNOLOGIES INC COM
COM
30249U101
11106
374313
SH
SOLE
374313
0
0
0
FREEPORT MCMORAN COPPER&GOLD C
COM
35671D857
1253
115400
SH
SOLE
115400
0
0
0
G & K SVCS INC CL A
COM
361268105
1176
12318
SH
SOLE
12318
0
0
0
GABELLI DIV&INC TR COM
MUTUAL FUNDS
36242H104
9795
509873
SH
SOLE
509873
0
0
0
GABELLI GLB SML & MD CP VAL CO
MUTUAL FUNDS
36249W104
564
52190
SH
SOLE
52190
0
0
0
GABELLI GLOBAL UTIL & INCOMECO
MUTUAL FUNDS
36242L105
4274
233670
SH
SOLE
233670
0
0
0
GABELLI GO ANYWHERE TRUST/TH C
MUTUAL FUNDS
36250J307
3152
32640
SH
SOLE
32640
0
0
0
GABELLI MULTIMEDIA TRST INC
MUTUAL FUNDS
36239Q109
686
89162
SH
SOLE
89162
0
0
0
GAMCO INVESTORS, INC. COM
PRIVATE INVESTME
361438104
125070
4393055
SH
SOLE
4393055
0
0
0
GDL FUND
MUTUAL FUNDS
361570104
14110
1418091
SH
SOLE
1418091
0
0
0
GENERAL ELEC CO
COM
369604103
237
8000
SH
SOLE
8000
0
0
0
GLOBAL SOURCES LTD COM
COM
G39300101
211
24835
SH
SOLE
24835
0
0
0
GRIFOLS SA SP ADR REP B NVT
COM
398438408
3431
214860
SH
SOLE
214860
0
0
0
GRUPO TELEVISA SA DE CV ADR (B
COM
40049J206
321
12500
SH
SOLE
12500
0
0
0
GYRODYNE LLC COM
COM
403829104
1631
87994
SH
SOLE
87994
0
0
0
HC2 HLDGS INC COM
COM
404139107
202
37100
SH
SOLE
37100
0
0
0
HCA HOLDINGS INC COM
COM
40412C101
265
3500
SH
SOLE
3500
0
0
0
HEWLETT PACKARD ENTERPRISE CCO
COM
42824C109
2739
120400
SH
SOLE
120400
0
0
0
HUMANA INC COM
COM
444859102
23080
130475
SH
SOLE
130475
0
0
0
INCONTACT INC COM
COM
45336E109
16607
1187895
SH
SOLE
1187895
0
0
0
INFOBLOX INC COM
COM
45672H104
3838
145550
SH
SOLE
145550
0
0
0
INGRAM MICRO INC-CL A
COM
457153104
11799
330886
SH
SOLE
330886
0
0
0
INTEL CORP 3.25% 8/1/39 144A
CONVERTIBLE BOND
458140AF7
321
175000
PRN
SOLE
175000
0
0
0
INTERACTIVE BROKERS
COM
45841N107
1199
34000
SH
SOLE
34000
0
0
0
INTERACTIVE INTELLIGENCE GROCO
COM
45841V109
1338
22251
SH
SOLE
22251
0
0
0
INTERNAP NETWORK SVCS CORP COM
COM
45885A300
252
152638
SH
SOLE
152638
0
0
0
INTEROIL CORP COM
COM
460951106
6487
127392
SH
SOLE
127392
0
0
0
INTERPUBLIC GROUP COS INC
COM
460690100
308
13800
SH
SOLE
13800
0
0
0
INTERSIL HLDG CORP CL A
COM
46069S109
6807
310416
SH
SOLE
310416
0
0
0
IONS 1.000% 11/15/21
CONVERTIBLE BOND
464337AJ3
467
500000
PRN
SOLE
500000
0
0
0
ISHARES TR
COM
464287904
500
100
SH
Call
SOLE
0
0
0
0
JOY GLOBAL INC COM
COM
481165108
12002
432648
SH
SOLE
432648
0
0
0
KINDER MORGAN INC WT EXP 05/25
WARRANT AND RIGH
49456B119
5
232081
SH
SOLE
232081
0
0
0
KKR & CO. L.P
COM
48248M102
1717
120410
SH
SOLE
120410
0
0
0
KLA TENCOR CORP
COM
482480100
11297
162052
SH
SOLE
162052
0
0
0
LENNAR B SHARES
COM
526057302
6788
202219
SH
SOLE
202219
0
0
0
LEXMARK INTL GROUP INC CL A
COM
529771107
15289
382599
SH
SOLE
382599
0
0
0
LIBERTY BRAVES GROUP C
COM
531229888
186
10678
SH
SOLE
10678
0
0
0
LIBERTY GLOBAL PLC SHS CL A
COM
G5480U104
706
20662
SH
SOLE
20662
0
0
0
LIBERTY GLOBAL PLC SHS CL C
COM
G5480U120
1663
50337
SH
SOLE
50337
0
0
0
LIBERTY SIRIUS GROUP C
COM
531229607
19411
581000
SH
SOLE
581000
0
0
0
LIBERTY TRIPADVISOR HLDG-A
COM
531465102
401
18338
SH
SOLE
18338
0
0
0
LIBERTY VENTURES SER A
COM
53071M880
759
19048
SH
SOLE
19048
0
0
0
LIFELOCK INC COM
COM
53224V100
242
14303
SH
SOLE
14303
0
0
0
LILLY, ELI AND COMPANY
COM
532457108
241
3000
SH
SOLE
3000
0
0
0
LINEAR TECHNOLOGY CORP
COM
535678106
14005
236208
SH
SOLE
236208
0
0
0
LINKEDIN CORP COM CL A
COM
53578A108
48870
255702
SH
SOLE
255702
0
0
0
LORAL SPACE & COMMUNICATNS ICO
COM
543881106
3624
92672
SH
SOLE
92672
0
0
0
MALLINCKRODT PUB LTD CO SHS
COM
G5785G107
209
3000
SH
SOLE
3000
0
0
0
MEAD JOHNSON
COM
582839106
790
10000
SH
SOLE
10000
0
0
0
MEDIA GEN INC NEW COM
COM
58441K100
15325
831534
SH
SOLE
831534
0
0
0
MIC 2.875% 07/15/19
CORPORATE BONDS
55608BAA3
383
325000
PRN
SOLE
325000
0
0
0
MICROSOFT CORP
COM
594918104
576
10000
SH
SOLE
10000
0
0
0
MONDELEZ INTERNATIONAL
COM
609207105
571
13000
SH
SOLE
13000
0
0
0
MONSANTO CO NEW COM
COM
61166W101
2678
26200
SH
SOLE
26200
0
0
0
MONSTER WORLDWIDE INC COM
COM
611742107
1418
392684
SH
SOLE
392684
0
0
0
MORGANS HOTEL GROUP CO COM
COM
61748W108
1650
816812
SH
SOLE
816812
0
0
0
MYLAN N V ORD SHARES
COM
N59465109
564
14787
SH
SOLE
14787
0
0
0
NASDAQ STOCK MARKET INC COM
COM
631103108
203
3000
SH
SOLE
3000
0
0
0
NATIONAL FUEL GAS CO N J COM
COM
636180101
238
4400
SH
SOLE
4400
0
0
0
NATIONAL INTERSTATE CORP COM
COM
63654U100
5329
163829
SH
SOLE
163829
0
0
0
NETSUITE INC COM
COM
64118Q107
10546
95272
SH
SOLE
95272
0
0
0
NEWMONT MINING CORP HOLDING CO
COM
651639106
393
10000
SH
SOLE
10000
0
0
0
OFFICE DEPOT INC
COM
676220106
1785
500109
SH
SOLE
500109
0
0
0
OPKO HEALTH INC COM
COM
68375N103
106
10000
SH
SOLE
10000
0
0
0
PDCE 1 1/8 9/15/21
CONVERTIBLE BOND
69327RAD3
322
300000
PRN
SOLE
300000
0
0
0
PEPSICO INC
COM
713448108
1088
10000
SH
SOLE
10000
0
0
0
PIEDMONT NAT GAS INC COM
COM
720186105
12695
211443
SH
SOLE
211443
0
0
0
PNC FINANCIAL CORP
COM
693475105
360
4000
SH
SOLE
4000
0
0
0
POST HOLDINGS INC
COM
737446104
1158
15000
SH
SOLE
15000
0
0
0
PRESS GANEY HLDGS INC COM
COM
74113L102
10271
254222
SH
SOLE
254222
0
0
0
PRIVATEBANCORP INC COM
COM
742962103
18673
406641
SH
SOLE
406641
0
0
0
PROSHARES TRUST PSHS ULSHT SP5
ETF - EQUITY
74347B300
1639
100000
SH
SOLE
100000
0
0
0
RACKSPACE HOSTING INC
COM
750086100
16410
517821
SH
SOLE
517821
0
0
0
RAPTOR PHARMACEUTICAL CORPORAT
COM
75382F106
7455
831050
SH
SOLE
831050
0
0
0
RITE AID CORP COM
COM
767754104
22695
2951237
SH
SOLE
2951237
0
0
0
ROFIN SINAR TECHNOLOGIES INCCO
COM
775043102
3936
122300
SH
SOLE
122300
0
0
0
RYMAN HOSPITALITY PPTYS INC CO
COM
78377T107
790
16395
SH
SOLE
16395
0
0
0
SCRIPPS E W CO OHIO CL A
COM
811054402
160
10052
SH
SOLE
10052
0
0
0
SILICON GRAPHICS INTL CORP COM
COM
82706L108
7760
1007838
SH
SOLE
1007838
0
0
0
SNYDERS LANCE INC COM
COM
833551104
655
19500
SH
SOLE
19500
0
0
0
SONY CORP-ADR (B:SNE US)
COM
835699307
830
25000
SH
SOLE
25000
0
0
0
SPDR GOLD TRUST GOLD SHS
COM
78463V107
251
2000
SH
SOLE
2000
0
0
0
SPDR S&P 500 ETF TRUST
COM
78462F103
312
1441
SH
SOLE
1441
0
0
0
ST JUDE MEDICAL CENTER INC
COM
790849103
26426
331313
SH
SOLE
331313
0
0
0
SUNEDISON SEMICONDUCTOR LTD SH
COM
Y8213L102
3138
275480
SH
SOLE
275480
0
0
0
SUPERIOR INDS INTL INC
COM
868168105
233
8000
SH
SOLE
8000
0
0
0
SYNGENTA AG ADR SPONSORED
COM
87160A100
22299
254560
SH
SOLE
254560
0
0
0
TALEN ENERGY CORP
COM
87422J105
4977
359382
SH
SOLE
359382
0
0
0
TELEPHONE & DATA SYS
COM
879433829
402
14800
SH
SOLE
14800
0
0
0
TESLA MOTORS 1.250% 03/1/21
CONVERTIBLE BOND
88160RAC5
428
500000
PRN
SOLE
500000
0
0
0
THERMO FISHER SCIENTIFIC INC
COM
883556102
318
2000
SH
SOLE
2000
0
0
0
TOBIRA THERAPEUTICS INC COM
COM
88883P101
2749
69175
SH
SOLE
69175
0
0
0
TRONC INC COM
COM
89703P107
445
26350
SH
SOLE
26350
0
0
0
TWENTY FIRST CENTY FOX B
COM
90130A200
376
15200
SH
SOLE
15200
0
0
0
UNITED STATES CELLULAR CORP
COM
911684108
323
8900
SH
SOLE
8900
0
0
0
VALSPAR CORP COM
COM
920355104
19423
183115
SH
SOLE
183115
0
0
0
VIACOM INC NEW CL A
COM
92553P102
1542
36000
SH
SOLE
36000
0
0
0
VIRGIN AMER INC COM VTG
COM
92765X208
6370
119046
SH
SOLE
119046
0
0
0
VITAE PHARMACEUTICALS INC COM
COM
92847N103
4121
196992
SH
SOLE
196992
0
0
0
WCI CMNTYS INC COM PAR $0.01
COM
92923C807
1256
52950
SH
SOLE
52950
0
0
0
WEATHERFORD INTERNATIONAL PLC
COM
G48833100
169
30000
SH
SOLE
30000
0
0
0
WELLS FARGO CV PFD L 7.500%
CONVERTIBLE PREF
949746804
327
250
SH
SOLE
250
0
0
0
WELLS FARGO & CO NEW
COM
949746101
3620
81743
SH
SOLE
81743
0
0
0
WESTAR ENERGY INC
COM
95709T100
11064
194952
SH
SOLE
194952
0
0
0
WHITEWAVE FOODS CO - A
COM
966244105
26246
482189
SH
SOLE
482189
0
0
0
XYLEM INC
COM
98419M100
262
5000
SH
SOLE
5000
0
0
0
YAHOO INC.
COM
984332106
15798
366544
SH
SOLE
366544
0
0
0