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

Reporting relationship: General Counsel
Issuer ticker: GAMI
Reported as of: 15 Jun 2021
Net transaction value: +$100,080
SEC form: 4
Accepted by SEC: 17 Jun 2021, 16:09:03 UTC
Prior SEC filing: 17 Jun 2021
Next SEC filing: 13 Jun 2023
Source filing: View source filing
Reporting owner signature: /s/ Peter D. Goldstein

Key filing fact

Peter D. Goldstein filed Form 4 for GAMCO INVESTORS, INC. ET AL (GAMI) on 17 Jun 2021.

Key facts

This page summarizes Peter D. Goldstein's Form 4 filing for GAMCO INVESTORS, INC. ET AL (GAMI).
1 reported transaction and 1 derivative row are listed below.
Accepted by SEC: 17 Jun 2021, 16:09.

Change

Previous filing in this sequence was filed on 17 Jun 2021.
Current net transaction value: +$100,080.

Research use

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Evidence

Filed on Form 4

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

GAMI holding

Class A Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 9,694
Date: 15 Jun 2021
Ownership: Direct
Footnotes: F1

Reported derivative securities

Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.

GAMI transaction Derivative

Phantom RSA

Award

Transaction value: $100,080
Shares: +4,000
Change %
Price: $25.02
Shares after: 4,000
Date: 15 Jun 2021
Ownership: Direct
Underlying class: Class A Common Stock
Underlying amount: 4,000
Exercise price: $0.000000
Footnotes: F2, F3

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 3 footnotes

Footnote 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.

Footnote F2

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

Footnote 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.