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

Reporting relationship: President & COO of GAMCO Asset
Issuer ticker: GAMI
Reported as of: 15 Dec 2021
Net transaction value: -$287,126
SEC form: 4
Accepted by SEC: 16 Dec 2021, 15:06:14 UTC
Prior SEC filing: 11 Aug 2021
Next SEC filing: 13 Jun 2023
Source filing: View source filing
Reporting owner signature: /s/ Douglas R. Jamieson

Key filing fact

Douglas R. Jamieson filed Form 4 for GAMCO INVESTORS, INC. ET AL (GAMI) on 16 Dec 2021.

Key facts

This page summarizes Douglas R. Jamieson's Form 4 filing for GAMCO INVESTORS, INC. ET AL (GAMI).
1 reported transaction and 1 derivative row are listed below.
Accepted by SEC: 16 Dec 2021, 15:06.

Change

Previous filing in this sequence was filed on 11 Aug 2021.
Current net transaction value: -$287,126.

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 transaction

Class A Common Stock

Tax liability

Transaction value: $287,126
Shares: -11,753
Change %: -11%
Price: $24.43
Shares after: 93,747
Date: 15 Dec 2021
Ownership: Direct

GAMI holding

Class B Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 29,471
Date: 15 Dec 2021
Ownership: Direct
Footnotes: F1

Reported derivative securities

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

GAMI holding Derivative

Phantom RSA

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 30,000
Date: 15 Dec 2021
Ownership: Direct
Underlying class: Class A Common Stock
Underlying amount: 30,000
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

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.

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.