Kieran Caterina - Sep 12, 2022 Form 4 Insider Report for GAMCO INVESTORS, INC. ET AL (GAMI)

Signature
/s/ Kieran Caterina
Stock symbol
GAMI
Transactions as of
Sep 12, 2022
Transactions value $
-$41,335
Form type
4
Date filed
9/13/2022, 04:02 PM
Previous 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 -$41.3K -1.96K -17.58% $21.10 9.18K Sep 12, 2022 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 Sep 12, 2022 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.