Kieran Caterina - Aug 9, 2021 Form 4 Insider Report for GAMCO INVESTORS, INC. ET AL (GAMI)

Role: Chief Accounting Officer
Signature: /s/ Kieran Caterina
Stock symbol: GAMI
Transactions as of: Aug 9, 2021
Transactions value $: -$19,654
Form type: 4
Date filed: 8/11/2021, 04:09 PM
Previous filing: Jun 17, 2021
Next filing: Sep 8, 2021

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	GAMI	Class A Common Stock	Tax liability	-$19.7K	-735	-3.79%	$26.74	18.7K	Aug 9, 2021	Direct

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
holding	GAMI	Phantom RSA						7K	Aug 9, 2021	Class A Common Stock	7K	$0.00	Direct	F1, F2

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	Each phantom RSA represents the right to receive the cash value of one share of GAMCO Investors, Inc. Class A common stock.
F2	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.