Peter D. Goldstein - Jun 15, 2021 Form 4 Insider Report for GAMCO INVESTORS, INC. ET AL (GAMI)

Role: General Counsel
Signature: /s/ Peter D. Goldstein
Stock symbol: GAMI
Transactions as of: Jun 15, 2021
Transactions value $: $100,080
Form type: 4
Date filed: 6/17/2021, 04:09 PM
Previous filing: Jun 17, 2021
Next filing: Jun 13, 2023

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
holding	GAMI	Class A Common Stock						9.69K	Jun 15, 2021	Direct	F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Underlying Class	Amount	Exercise Price	Ownership	Footnotes
transaction	GAMI	Phantom RSA	Award	$100K	+4K		$25.02	4K	Jun 15, 2021	Class A Common Stock	4K	$0.00	Direct	F2, F3

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	This total includes the 1,694 shares reported in the Reporting Persons Form 3 filed on 4/27/2021 plus 8,000 shares of restricted stock that the Reporting Person received prior to becoming an officer of the Issuer. The 8,000 shares represent restricted stock that was awarded to the Reporting Person pursuant to the Issuer's Stock Award and Incentive Plan. Thirty percent of these shares vest after three years from the date of the award (12/28/20) and the remaining seventy percent vest after five years from the date of the award.
F2	Each phantom RSA represents the right to receive the cash value of one share of GAMCO Investors, Inc. Class A common stock.
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.