Close

Form 8-K GAMCO INVESTORS, INC. For: Jun 02

FREE Breaking News Alerts from StreetInsider.com!

E-mail Address

StreetInsider.com Top Tickers, 4/25/2024

1. META
2. CMG
3. LRCX
4. IBM
5. SPY
6. HCP
7. BA
8. SNAP
9. TMUS
10. BIIB


June 6, 2022 5:04 PM EDT
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

FORM 8-K

CURRENT REPORT
PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934

Date of Report (Date of earliest event reported): June 2, 2022

GAMCO INVESTORS, INC. ET AL
(Exact name of registrant as specified in its charter)

DE
 
001-14761
 
13-4007862
(State or other jurisdiction
of incorporation)
 
(Commission
File Number)
 
(IRS Employer
Identification No.)

191 Mason Street
Greenwich, CT
 
06830
(Address of principal executive offices)
 
(Zip code)

Registrant's telephone number, including area code (203) 629-2726

Not Applicable
(Former Name or Former Address, if Changed Since Last Report)

Securities registered pursuant to Section 12(b) of the Securities Exchange Act of 1934:

Title of each class
Trading Symbol(s)
Name of each exchange on which registered
Class A Common Stock, $0.001 par value
 GBL
 New York Stock Exchange

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):
☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

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 ☐

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. ☐

Item 5.07
 
Submission of Matters to a Vote of Security Holders.
   
  
The 2022 Annual Meeting of Shareholders (the “Meeting”) of GAMCO Investors, Inc. (the “Company”) was held on June 2, 2022. At the Meeting, the shareholders of the Company: (1) elected nine directors to the Company’s Board of Directors to serve until the 2023 Annual Meeting of Shareholders or until their respective successors have been duly elected and qualified and (2) ratified the appointment of Deloitte & Touche LLP as the Company’s independent registered public accounting firm for the year ending December 31, 2022.
 
As of April 13, 2022, the record date for the Meeting, the Company had outstanding 7,542,270 shares of Class A common stock (“Class A Stock”) and 19,024,117 shares of Class B Stock. The Class A Stock and Class B Stock vote together as a single class on all matters. Each share of Class A Stock is entitled to one vote per share and each share of Class B Stock is entitled to ten votes per share. Shares present or represented at the Meeting were 5,181,860 shares of Class A Stock and 18,809,792 shares of Class B Stock, constituting a quorum.
 
Set forth below, with respect to each of the matters submitted to shareholders, are the number of votes cast for or against or withheld, and the number of abstentions, broker non-votes, and uncast votes, where applicable.

(1) Election of Directors

NOMINEE
VOTES FOR
VOTES WITHHELD
BROKER NON-VOTES
 Edwin L. Artzt
192,608,561
114,214
557,005
 Raymond C. Avansino, Jr.
190,748,105
1,974,670
557,005
 Leslie B. Daniels
192,592,622
130,153
557,005
 Douglas R. Jamieson
 191,036,819
 1,685,956
 557,005
 Mario J. Gabelli
191,229,416
1,493,359
557,005
 Eugene R. McGrath
192,579,470
143,305
557,005
 Agnes Mullady
  191,486,647 1,236,128
 557,005
 Robert S. Prather, Jr.
190,795,678
1,927,097
557,005
 Elisa M. Wilson
191,128,472
1,594,303
557,005

(2) Ratification of Deloitte & Touche LLP as the Company's independent registered public accounting firm for the year ending December 31, 2022

VOTES FOR
VOTES AGAINST
ABSTAINED
BROKER NON-VOTES
193,260,384
19,238
158
-


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.
 
By: /s/ Kieran Caterina
 
Kieran Caterina
Senior Vice President and Principal Financial Officer
 
Date:June 6, 2022



Serious News for Serious Traders! Try StreetInsider.com Premium Free!

You May Also Be Interested In





Related Categories

SEC Filings

Related Entities

GAMCO Investors