UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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FORM 8-K
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CURRENT REPORT
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
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GAMCO INVESTORS, INC.
(Exact name of Registrant as Specified in Its Charter)
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Delaware
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13-4007862
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(State or Other Jurisdiction
of Incorporation)
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(Commission File Number)
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(IRS Employer
Identification No.)
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191 Mason Street, Greenwich, CT
One Corporate Center, Rye, NY
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06830
10580
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(Address of Principal Executive Offices)
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(Zip Code)
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Registrant's Telephone Number, Including Area Code: (
203) 629-2726
Not Applicable
(Former Name or Former Address, if Changed Since
Last Report)
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Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of
the registrant under any of the
following provisions (see General Instruction A.2 below):
o Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
o Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
o Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
o Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Securities registered pursuant to Section 12(b) of the Act:
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Title of each class
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Trading Symbol
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Name of each exchange on which registered
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Class A Common Stock, $0.001 par value
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GBL
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New York Stock Exchange
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Indicate by check mark whether
the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (
§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (
§240.12b-2 of
this chapter).
Emerging growth company o
If an emerging growth company, indicate by check mark if
the registrant has elected not to use the extended transition period for complying with any new
or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.
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Item 2.02
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Results of Operations and Financial Condition.
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The
following information is furnished pursuant to Item 2.02, "Results of Operations and Financial Condition."
The information furnished under Item 2.02, including the exhibit attached hereto, is not deemed
"filed" for purposes of Section 18
of the Securities Exchange Act of 1934 and shall not be
incorporated by reference into any registration statement or other document pursuant to the Securities Act of 1933, except as otherwise
expressly stated in such filing.
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Item 9.01.
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Financial Statements and Exhibits.
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(d) Exhibits
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Exhibit
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Number
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Description
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Exhibit
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Number
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Description
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SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934,
the registrant has duly caused this report to be signed on its behalf by the undersigned
hereunto duly authorized.
GAMCO Investors, Inc.
Senior Vice President and Principal Financial Officer
