Douglas R. Jamieson - Aug 9, 2021 Form 4 Insider Report for GAMCO INVESTORS, INC. ET AL (GAMI)

Role: President & COO of GAMCO Asset
Signature: /s/ Douglas R. Jamieson
Stock symbol: GAMI
Transactions as of: Aug 9, 2021
Transactions value $: -$58,935
Form type: 4
Date filed: 8/11/2021, 04:11 PM
Previous filing: Jun 17, 2021
Next filing: Dec 16, 2021

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	GAMI	Class A Common Stock	Tax liability	-$58.9K	-2.2K	-2.05%	$26.74	106K	Aug 9, 2021	Direct
holding	GAMI	Class B Common Stock						29.5K	Aug 9, 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
holding	GAMI	Phantom RSA						30K	Aug 9, 2021	Class A Common Stock	30K	$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	Pursuant to a resolution approved by the Issuer's Board of Directors, as of the date of this filing, there are 599,943 shares of Class B stock that can be converted into Class A Stock.
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.