Douglas R. Jamieson - Dec 15, 2021 Form 4 Insider Report for GAMCO INVESTORS, INC. ET AL (GAMI)

Signature
/s/ Douglas R. Jamieson
Stock symbol
GAMI
Transactions as of
Dec 15, 2021
Transactions value $
-$287,126
Form type
4
Date filed
12/16/2021, 03:06 PM
Previous filing
Aug 11, 2021
Next filing
Jun 13, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction GAMI Class A Common Stock Tax liability -$287K -11.8K -11.14% $24.43 93.7K Dec 15, 2021 Direct
holding GAMI Class B Common Stock 29.5K Dec 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
holding GAMI Phantom RSA 30K Dec 15, 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.