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As Of Filer Filing For·On·As Docs:Size Issuer 11/26/07 Gamco Investors, Inc. et al SC 13D/A 2:311K Gamco Investors, Inc. et al |
Document/Exhibit Description Pages Size 1: SC 13D/A Amendment to General Statement of Beneficial HTML 160K Ownership 2: EX-1 Underwriting Agreement HTML 14K
1
|
Names
of reporting persons
I.R.S.
identification nos. of above persons (entities only)
|
||
2
|
Check
the appropriate box if a member of a group(SEE
INSTRUCTIONS) (a)
|
||
3
|
Sec
use only
|
||
4
|
Source
of funds (SEE
INSTRUCTIONS)
00-Funds
of investment advisory clients
|
||
5
|
Check
box if disclosure of legal proceedings is required pursuant to items
2 (d)
or 2 (e)
|
||
6
|
Citizenship
or place of organization
New
York
|
||
Number
Of
Shares
Beneficially
Owned
By
Each
Reporting
Person
With
|
:
7
:
:
:
|
Sole
voting power
282,000
(Item 5)
|
|
:
8
:
:
:
|
Shared
voting power
None
|
||
:
9
:
:
:
|
Sole
dispositive power
282,000
(Item 5)
|
||
:10
:
:
:
|
Shared
dispositive power
None
|
||
11
|
Aggregate
amount beneficially owned by each reporting person
282,000
(Item 5)
|
||
12
|
Check
box if the aggregate amount in row (11) excludes certain
shares
(SEE
INSTRUCTIONS)
|
||
13
|
Percent
of class represented by amount in row (11)
3.23%
|
||
14
|
Type
of reporting person (SEE
INSTRUCTIONS)
IA
|
1
|
Names
of reporting persons
I.R.S.
identification nos. of above persons (entities only)
|
||
2
|
Check
the appropriate box if a member of a group(SEE
INSTRUCTIONS) (a)
|
||
3
|
Sec
use only
|
||
4
|
Source
of funds (SEE
INSTRUCTIONS)
00-Funds
of investment advisory clients
|
||
5
|
Check
box if disclosure of legal proceedings is required pursuant to items
2 (d)
or 2 (e)
|
||
6
|
Citizenship
or place of organization
New
York
|
||
Number
Of
Shares
Beneficially
Owned
By
Each
Reporting
Person
With
|
:
7
:
:
:
|
Sole
voting power
992,500 (Item
5)
|
|
:
8
:
:
:
|
Shared
voting power
None
|
||
:
9
:
:
:
|
Sole
dispositive power
1,031,300 (Item
5)
|
||
:10
:
:
:
|
Shared
dispositive power
None
|
||
11
|
Aggregate
amount beneficially owned by each reporting person
1,031,300 (Item
5)
|
||
12
|
Check
box if the aggregate amount in row (11) excludes certain
shares
(SEE
INSTRUCTIONS)
|
||
13
|
Percent
of class represented by amount in row (11)
11.82%
|
||
14
|
Type
of reporting person (SEE
INSTRUCTIONS)
IA,
CO
|
1
|
Names
of reporting persons
I.R.S.
identification nos. of above persons (entities only)
|
||
2
|
Check
the appropriate box if a member of a group(SEE
INSTRUCTIONS) (a)
|
||
3
|
Sec
use only
|
||
4
|
Source
of funds N(SEE
INSTRUCTIONS)
WC
|
||
5
|
Check
box if disclosure of legal proceedings is required pursuant to items
2 (d)
or 2 (e)
|
||
6
|
Citizenship
or place of organization
NV
|
||
Number
Of
Shares
Beneficially
Owned
By
Each
Reporting
Person
With
|
:
7
:
:
:
|
Sole
voting power
5,000
(Item 5)
|
|
:
8
:
:
:
|
Shared
voting power
None
|
||
:
9
:
:
:
|
Sole
dispositive power
5,000
(Item 5)
|
||
:10
:
:
:
|
Shared
dispositive power
None
|
||
11
|
Aggregate
amount beneficially owned by each reporting person
5,000
(Item 5)
|
||
12
|
Check
box if the aggregate amount in row (11) excludes certain
shares
(SEE
INSTRUCTIONS)
|
||
13
|
Percent
of class represented by amount in row (11)
0.06%
|
||
14
|
Type
of reporting person (SEE
INSTRUCTIONS)
00-Private
Foundation
|
1
|
Names
of reporting persons
I.R.S.
identification nos. of above persons (entities only)
|
||
2
|
Check
the appropriate box if a member of a group(SEE
INSTRUCTIONS) (a)
|
||
3
|
Sec
use only
|
||
4
|
Source
of funds (SEE
INSTRUCTIONS)
00
– Funds of investment advisory client.
|
||
5
|
Check
box if disclosure of legal proceedings is required pursuant to items
2 (d)
or 2 (e)
|
||
6
|
Citizenship
or place of organization
Delaware
|
||
Number
Of
Shares
Beneficially
Owned
By
Each
Reporting
Person
With
|
:
7
:
:
:
|
Sole
voting power
10,000
(Item 5)
|
|
:
8
:
:
:
|
Shared
voting power
None
|
||
:
9
:
:
:
|
Sole
dispositive power
10,000
(Item 5)
|
||
:10
:
:
:
|
Shared
dispositive power
None
|
||
11
|
Aggregate
amount beneficially owned by each reporting person
10,000
(Item 5)
|
||
12
|
Check
box if the aggregate amount in row (11) excludes certain
shares
(SEE
INSTRUCTIONS)
|
||
13
|
Percent
of class represented by amount in row (11)
0.11%
|
||
14
|
Type
of reporting person (SEE
INSTRUCTIONS)
IA,
CO
|
1
|
Names
of reporting persons
I.R.S.
identification nos. of above persons (entities only)
|
||
2
|
Check
the appropriate box if a member of a group(SEE
INSTRUCTIONS) (a)
|
||
3
|
Sec
use only
|
||
4
|
Source
of funds (SEE
INSTRUCTIONS)
00
– Client funds
|
||
5
|
Check
box if disclosure of legal proceedings is required pursuant to items
2 (d)
or 2 (e)
|
||
6
|
Citizenship
or place of organization
Delaware
|
||
Number
Of
Shares
Beneficially
Owned
By
Each
Reporting
Person
With
|
:
7
:
:
:
|
Sole
voting power
1,200
(Item 5)
|
|
:
8
:
:
:
|
Shared
voting power
None
|
||
:
9
:
:
:
|
Sole
dispositive power
1,200
(Item 5)
|
||
:10
:
:
:
|
Shared
dispositive power
None
|
||
11
|
Aggregate
amount beneficially owned by each reporting person
1,200
(Item 5)
|
||
12
|
Check
box if the aggregate amount in row (11) excludes certain
shares
(SEE
INSTRUCTIONS)
|
||
13
|
Percent
of class represented by amount in row (11)
0.01%
|
||
14
|
Type
of reporting person (SEE
INSTRUCTIONS)
HC,
CO, IA
|
1
|
Names
of reporting persons
I.R.S.
identification nos. of above persons (entities only)
|
||
2
|
Check
the appropriate box if a member of a group(SEE
INSTRUCTIONS) (a)
|
||
3
|
Sec
use only
|
||
4
|
Source
of funds (SEE
INSTRUCTIONS)
00-Client
Funds
|
||
5
|
Check
box if disclosure of legal proceedings is required pursuant to items
2 (d)
or 2 (e)
|
||
6
|
Citizenship
or place of organization
Connecticut
|
||
Number
Of
Shares
Beneficially
Owned
By
Each
Reporting
Person
With
|
:
7
:
:
:
|
Sole
voting power
4,000
(Item 5)
|
|
:
8
:
:
:
|
Shared
voting power
None
|
||
:
9
:
:
:
|
Sole
dispositive power
4,000 (Item
5)
|
||
:10
:
:
:
|
Shared
dispositive power
None
|
||
11
|
Aggregate
amount beneficially owned by each reporting person
4,000 (Item
5)
|
||
12
|
Check
box if the aggregate amount in row (11) excludes certain
shares
(SEE
INSTRUCTIONS)
|
||
13
|
Percent
of class represented by amount in row (11)
0.05%
|
||
14
|
Type
of reporting person (SEE
INSTRUCTIONS)
CO
|
1
|
Names
of reporting persons
I.R.S.
identification nos. of above persons (entities only)
|
||
2
|
Check
the appropriate box if a member of a group(SEE
INSTRUCTIONS) (a)
|
||
3
|
Sec
use only
|
||
4
|
Source
of
funds (SEE
INSTRUCTIONS)
None
|
||
5
|
Check
box if disclosure of legal proceedings is required pursuant to items
2 (d)
or 2 (e)
|
||
6
|
Citizenship
or place of organization
New
York
|
||
Number
Of
Shares
Beneficially
Owned
By
Each
Reporting
Person
With
|
:
7
:
:
:
|
Sole
voting power
None
|
|
:
8
:
:
:
|
Shared
voting power
None
|
||
:
9
:
:
:
|
Sole
dispositive power
None
|
||
:10
:
:
:
|
Shared
dispositive power
None
|
||
11
|
Aggregate
amount beneficially owned by each reporting person
None
|
||
12
|
Check
box if the aggregate amount in row (11) excludes certain
shares
(SEE
INSTRUCTIONS)
X
|
||
13
|
Percent
of class represented by amount in row (11)
None
|
||
14
|
Type
of reporting person (SEE
INSTRUCTIONS)
HC,
CO
|
1
|
Names
of reporting persons
I.R.S.
identification nos. of above persons (entities only)
|
||
2
|
Check
the appropriate box if a member of a group(SEE
INSTRUCTIONS) (a)
|
||
3
|
Sec
use only
|
||
4
|
Source
of
funds (SEE
INSTRUCTIONS)
None
|
||
5
|
Check
box if disclosure of legal proceedings is required pursuant to items
2 (d)
or 2 (e)
|
||
6
|
Citizenship
or place of organization
New
York
|
||
Number
Of
Shares
Beneficially
Owned
By
Each
Reporting
Person
With
|
:
7
:
:
:
|
Sole
voting power
None
|
|
:
8
:
:
:
|
Shared
voting power
None
|
||
:
9
:
:
:
|
Sole
dispositive power
None
|
||
:10
:
:
:
|
Shared
dispositive power
None
|
||
11
|
Aggregate
amount beneficially owned by each reporting person
None
|
||
12
|
Check
box if the aggregate amount in row (11) excludes certain
shares
(SEE
INSTRUCTIONS)
X
|
||
13
|
Percent
of class represented by amount in row (11)
0.00%
|
||
14
|
Type
of reporting person (SEE
INSTRUCTIONS)
HC,
CO
|
1
|
Names
of reporting persons
I.R.S.
identification nos. of above persons (entities only)
Mario
J. Gabelli
|
||
2
|
Check
the appropriate box if a member of a group (SEE
INSTRUCTIONS) (a)
|
||
3
|
Sec
use only
|
||
4
|
Source
of
funds (SEE
INSTRUCTIONS)
None
|
||
5
|
Check
box if disclosure of legal proceedings is required pursuant to items
2 (d)
or 2 (e)
|
||
6
|
Citizenship
or place of organization
USA
|
||
Number
Of
Shares
Beneficially
Owned
By
Each
Reporting
Person
With
|
:
7
:
:
:
|
Sole
voting power
None
|
|
:
8
:
:
:
|
Shared
voting power
None
|
||
:
9
:
:
:
|
Sole
dispositive power
None
|
||
:10
:
:
:
|
Shared
dispositive power
None
|
||
11
|
Aggregate
amount beneficially owned by each reporting person
None
|
||
12
|
Check
box if the aggregate amount in row (11) excludes certain
shares
(SEE
INSTRUCTIONS)
X
|
||
13
|
Percent
of class represented by amount in row (11)
0.00%
|
||
14
|
Type
of reporting person (SEE
INSTRUCTIONS)
IN
|
Name
|
Shares
of
Common
Stock
|
%
of Class of
Common
|
Gabelli
Funds
|
282,000
|
3.23%
|
GAMCO
|
1,031,300
|
11.82%
|
Gabelli
Foundation
|
5,000
|
0.06%
|
GSI
|
1,200
|
0.01%
|
Gabelli
Advisers
|
10,000
|
0.11%
|
MJG
Associates
|
4,000
|
0.06%
|
Exhibit
A:
|
Powers
of Attorney to Peter D. Goldstein, Christopher J. Michailoff, James
E.
McKee and Douglas R. Jamieson from Mario J. Gabelli
|
The
following sets forth as to each of the executive officers and directors
of
the undersigned: his name; his business address; his present principal
occupation or employment and the name, principal business and address
of
any corporation or other organization in which such employment is
conducted. Unless otherwise specified, the principal employer
of each such individual is GAMCO Asset Management, Inc., Gabelli
Funds,
LLC, Gabelli Securities, Inc., Gabelli & Company, Inc., or GAMCO
Investors, Inc., the business address of each of which is One Corporate
Center, Rye, New York 10580, and each such individual identified
below is
a citizen of the United States. To the knowledge of the
undersigned, during the last five years, no such person has been
convicted
in a criminal proceeding (excluding traffic violations or similar
misdemeanors), and no such person was a party to a civil proceeding
of a
judicial or administrative body of competent jurisdiction as a result
of
which he was or is subject to a judgment, decree or final order enjoining
future violations of, or prohibiting or mandating activities subject
to,
federal or state securities law or finding any violation with respect
to
such laws except as reported in Item 2(d) of this Schedule
13D.
|
GGCP,
Inc.
Directors:
|
||
Mario
J. Gabelli
|
Business
Consultant
Chief
Executive Officer of GGCP, Inc., and GAMCO Investors, Inc.;
Director/Trustee of all registered investment companies advised by
Gabelli
Funds, LLC; Chief Executive Officer of LICT Corporation.
|
|
|
Chairman
of LGL Corporation
|
|
|
Vice
President – Trading
Gabelli
& Company, Inc.
One
Corporate Center
|
|
Douglas
R. Jamieson
|
Secretary
& Treasurer
United
Holdings Co., Inc.
2545
Wilkens Avenue
See
below
|
|
Joseph
R. Rindler, Jr.
|
Business
Consultant/former Chairman of GAMCO Asset Management
Inc.
|
|
Fredric
V. Salerno
|
Chairman;
Former Vice Chairman and Chief Financial Officer
Verizon
Communications
|
|
Officers:
|
||
Chief
Executive Officer and Chief Investment Officer
|
||
Chief
Financial Officer
|
||
GAMCO
Investors, Inc.
Directors:
|
||
Edwin
L. Artzt
Richard
L. Bready
|
Former
Chairman and Chief Executive Officer
Procter
& Gamble Company
900
Adams Crossing
Chairman
and Chief Executive Officer
Nortek,
Inc.
50
Kennedy Plaza
|
|
John
D. Gabelli
|
See
above
Senior
Vice President
|
|
John
C. Ferrara
|
Business
Consultant
|
|
Eugene
R. McGrath
|
Former
Chairman and Chief Executive Officer
Consolidated
Edison, Inc.
|
|
Robert
S. Prather
Vincent
S. Tese
|
Sal.
Oppenheim jr. & Cie.
Bockenheimer
Landstrasse 20
D-6000
FRANKFURT AM MAIN
Germany
President
& Chief Operating Officer
Gray
Television, Inc.
4370
Peachtree Road, NE
Lawyer,
Investment Adviser and Cable Television Executive
c/o
Bear Stearns & Company, Inc.
245
Park Avenue, 19th
Floor
|
|
Officers:
|
||
|
Chairman
and Chief Executive Officer
|
|
Douglas
R. Jamieson
Henry
G. Van der Eb
Diane
LaPointe
Kieran
Caterina
|
President
and Chief Operating Officer
Senior
Vice President
Acting
Co-Chief Financial Officer
Acting
Co-Chief Financial Officer
|
|
|
Vice
President, General Counsel and Secretary
|
|
GAMCO
Asset Management Inc.
Directors:
|
||
|
||
Officers:
|
||
Chief
Investment Officer – Value Portfolios
|
||
John
Piontkowski
Chistopher
J. Michailoff
|
President
Chief
Operating Officer & Chief Financial Officer
General
Counsel and Secretary
|
|
Gabelli
Funds, LLC
Officers:
|
||
|
Chief
Investment Officer – Value Portfolios
|
|
Executive
Vice President and Chief Operating Officer
|
||
Secretary
|
||
Gabelli
Advisers, Inc.
Directors:
|
||
Douglas
R. Jamieson
|
See
above
See
above
|
|
Officers:
|
||
Chief
Operating Officer
|
||
Secretary
|
||
Gabelli
Securities, Inc.
|
||
Directors:
|
||
President
of W. R. Blake & Sons, Inc.
196-20
Northern Boulevard
|
||
General
Partner of ALCE Partners, L.P.
One
First Street, Suite 16
|
||
Douglas
R. Jamieson
F.
William Scholz, II
|
President
and Chief Operating Officer
See
above
|
Officers:
|
||
Christopher
J. Michailoff
Kieran
Caterina
|
See
above
Secretary
Chief
Financial Officer
|
|
Gabelli
& Company, Inc.
Directors:
|
||
Chairman
& Interim President
|
||
Senior
Trader
Gabelli
& Company, Inc.
|
||
Officers:
|
||
Chairman
& Interim President
|
||
Vice
President - Mutual Funds
|
||
James
E. McKee
|
Secretary
|
|
LICT
Corporation
|
||
Directors:
|
||
|
See
above - GGCP, Inc.
|
|
Glenn
Angelillo
|
P.O.
Box 128
|
|
Alfred
W. Fiore
|
The
Ross Companies
1270
Avenue of the Americas
|
|
Principal
S.
Muoio & Co., LLC
Suite
406
509
Madison Ave.
|
||
Gary
L. Sugarman
|
Chief
Executive Officer
Richfield
Associates
400
Andrews Street
|
|
Officers:
|
||
|
Chairman
|
|
|
Interim
President and Chief Executive Officer,
Chief
Financial Officer
|
|
|
General
Counsel
|
|
(1)
Citizen of Germany
|
This ‘SC 13D/A’ Filing | Date | Other Filings | ||
---|---|---|---|---|
Filed on: | 11/26/07 | 4, SC 13D/A | ||
11/21/07 | SC 13D/A | |||
9/30/07 | 13F-HR, 13F-NT | |||
6/1/01 | SC 13D, SC 13D/A | |||
List all Filings |