Peter D. Goldstein - Jun 15, 2021 Form 4 Insider Report for GAMCO INVESTORS, INC. ET AL (GAMI)

Signature
/s/ Peter D. Goldstein
Stock symbol
GAMI
Transactions as of
Jun 15, 2021
Transactions value $
$100,080
Form type
4
Date filed
6/17/2021, 04:09 PM
Previous filing
Jun 17, 2021
Next filing
Jun 13, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding GAMI Class A Common Stock 9.69K Jun 15, 2021 Direct F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction GAMI Phantom RSA Award $100K +4K $25.02 4K Jun 15, 2021 Class A Common Stock 4K $0.00 Direct F2, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 This total includes the 1,694 shares reported in the Reporting Persons Form 3 filed on 4/27/2021 plus 8,000 shares of restricted stock that the Reporting Person received prior to becoming an officer of the Issuer. The 8,000 shares represent restricted stock that was awarded to the Reporting Person pursuant to the Issuer's Stock Award and Incentive Plan. Thirty percent of these shares vest after three years from the date of the award (12/28/20) and the remaining seventy percent vest after five years from the date of the award.
F2 Each phantom RSA represents the right to receive the cash value of one share of GAMCO Investors, Inc. Class A common stock.
F3 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.