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1(a) NAME
OF ISSUER (Please type or print)
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(b)
IRS IDENT. NO.
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(c)
S.E.C. FILE NO.
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GAMCO
Investors, Inc.
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13-4007862
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1-106
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1(d) ADDRESS
OF
ISSUER STREET CITY STATEZIP
CODE
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(e)
TELEPHONE NO.
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One
Corporate
Center Rye NY 10580
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AREA
CODE
914
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NUMBER
921-5000
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2(a) NAME
OF PERSON FOR WHOSE ACCOUNT THE
SECURITIES
ARE TO BE SOLD
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(b) RELATIONSHIP
TO
ISSUER
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(d) ADDRESS STREET CITY STATE ZIP
CODE
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GGCP,
Inc.
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Note
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140
Greenwich
Avenue Greenwich CT 06830
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3(a)
Title
of the
Class
of Securities
To
Be Sold
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(b)
Name
and Address of Each Broker Through Whom the Securities are to be Offered
or Each Market Maker who is Acquiring the Securities
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SEC USE ONLY
Broker-Dealer
File
Number
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(c)
Number
of Shares
or
Other Units To Be Sold
[See
instr. 3(c)]
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(d)
Aggregate
Market
Value
([See
instr. 3(d)]
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(e)
Number
of Shares or Other
Units
Outstanding
[See
instr. 3(e)]
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(f)
Approximate
Date of Sale
[See
instr. 3(f)]
(MO DAY YR)
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(g)
Name
of Each Securities Exchange
[See
instr. 3(g)]
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Class
A Common
Stock
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BNY
Conergex Execution Solutions, LLC
1633
Broadway
New
York, NY 10019
(*other
broker dealers in conformity with Rule 144 may be used)
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2,000
(in
addition to the 2,000 previously filed today)
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103,440
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7,399,483
as
of 4/30/09
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05/22/2009
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NYSE
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INSTRUCTIONS:
1. (a) Name
of Issuer
(b) Issuer’s
I.R.S. Identification Number
(c) Issuer’s
S.E.C. file number, if any
(d) Issuer’s
address, including zip code
(e) Issuer’s
telephone number, including area code
2. (a) Name
of person for whose account the securities are to be sold
(b) Such
person’s relationship to the issuer (e.g., officer, director,
10% stockholder, or member of immediate family of any of the
foregoing)
(c) Such
person’s address, including zip code
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3. (a) Title
of the class of securities to be sold
(b) Name
and address of each broker through whom the securities are intended to be
sold
(c) Number
of shares or other units to be sold (if debt securities, give the
aggregate face amount)
(d) Aggregate
market value of the securities to be sold as of a specified date within 10
days prior to the filing of this notice
(e) Number
of shares or other units of the class outstanding, or if debt securities
the face amount thereof outstanding, as shown by the most
recent
report
or statement published by the issuer
(f) Approximate
date on which the securities are to be sold
(g) Name
of each securities exchange, if any, on which the securities are intended
to be sold
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|||||||||
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Title
of
the
Class
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Date
You
Acquired
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Nature
of Acquisition Transaction
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Name
of Person from Whom Acquired
(if gift, also give date donor
acquired)
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Amount
of
Securities
Acquired
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Date
of
Payment
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Nature
of Payment
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Class
A Common Stock
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5/22/2009
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On
May 22, 2009, GGCP, Inc. (“GGCP”) exchanged 4,000 shares of the Issuer’s
Class B Common Stock (“Class B Shares”) for 4,000 shares of the Issuer’s
Class A Common Stock. This exchange was in accordance with a resolution of
the Issuer’s Board of Directors.
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The
Class B Shares were acquired by GGCP from the Issuer prior to the Issuer’s
initial public offering on February 11, 1999.
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4,000
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N/A
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None
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INSTRUCTIONS:
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If
the securities were purchased and full payment therefore was not made in
cash at the time of purchase, explain in the table or in a note thereto
the nature of the consideration given. If the consideration
consisted of any note or other obligation, or if payment was made in
installments, describe the arrangement and state when the note or other
obligation was discharged in full or the last installment
paid.
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Name
and Address of Seller
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Title
of Securities Sold
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Date
of Sale
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Amount
of Securities Sold
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Gross
Proceeds
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GGCP,
Inc.
140
Greenwich Ave
Greenwich,
CT 06830
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Class
A Common Stock
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05/19/2009
05/20/2009
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5,000
5,000
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265,877
250,674
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INSTRUCTIONS:
See
the definition of “person” in paragraph (a) of Rule
144. Information is to be given not only as to the person for
whose account the securities are to be sold but also as to all other
persons included in that definition. In addition, information
shall be given as to sales by all persons whose sales are required by
paragraph (e) of Rule 144 to be aggregated with sales for the account of
the person filing this notice.
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ATTENTION:
The
person for whose account the securities to which this notice relates are
to be sold hereby represents by signing this notice that he does not know
any material adverse information in regard to the current and prospective
operations of the Issuer of the securities to be sold which has not been
publicly disclosed. If such person has adopted a written
trading plan or given trading instructions to satisfy Rule 10b5-1 under
the Exchange Act, by signing the form and indicating the date that the
plan was adopted or the instruction given, that person makes such
representation as of the plan adoption or instruction
date.
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IF RELYING ON RULE
10B5-1
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The notice shall be signed by
the person for whose account the securities are to be sold. At
least one copy of the notice shall be manually signed. Any copies not manually signed
shall bear typed or printed
signatures.
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ATTENTION: Intentional
misstatements or omission of facts constitute Federal Criminal Violations
(See 18 U.S.C. 1001)
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