Current Report Filing (8-k)
September 19 2022 - 5:05PM
Edgar (US Regulatory)
false000106034900010603492022-09-192022-09-19
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): September 19, 2022
GAMCO INVESTORS, INC. ET AL
(Exact name of registrant as specified in its charter)
Delaware
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001-14761
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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, Connecticut
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06830
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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)
Securities registered pursuant to Section 12(b) of the Securities Exchange Act of 1934:
Title of each class
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Trading Symbol(s)
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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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The New York Stock Exchange
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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):
☐ 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 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."
On
September 19, 2022, GAMCO Investors, Inc. ("GAMCO") announced that it has $117 million of cash and cash equivalents and no debt subsequent to the September 15, 2022 payment of the $33.7 million principal amount of its subordinated nots due June
15, 2023.
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
Exhibit
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Number
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Description
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GAMCO's Press Release, dated September 19, 2022
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Exhibit Index
Exhibit
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Number
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Description
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GAMCO's Press Release, dated September 19, 2022
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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.
By: /s/ Kieran Caterina
Kieran Caterina
Senior Vice President and Principal Financial Officer
Date:September 19, 2022
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