IPO registrations (S-1, F-1) · Registrants
GAMCO INVESTORS, INC. ET AL
- SEC CIK
- 1060349 · filings on EDGAR ↗
- Name on the registration
- GABELLI ASSET MANAGEMENT INC
- Former names
- GABELLI ASSET MANAGEMENT INC (1999–2005); ALPHA G INC (1998–1998)
- Registration
- Form S-1, first filed 1998-04-24, last 1999-02-10; 1 initial registration, 4 amendments
- Outcome
- Final prospectus filed 1999-02-11
- Industry (SIC)
- Security Brokers, Dealers & Flotation Companies 6211
- Incorporated in
- DE
- Business address
- 191 MASON STREET, Greenwich, CT 06830
- EIN
- 13-4007862
- EDGAR entity type
- operating
- Insiders and CEO pay
- GAMCO INVESTORS, INC. ET AL on the corporate pages
Offering terms
- Proposed price range
- $16.00–$19.00 per share (S-1/A filed 1999-02-10)
- Final price
- $17.50 per share, within the range (424B1 filed 1999-02-11, an initial public offering)
- Shares sold
- 6,000,000
- Gross proceeds
- $105,000,000 before underwriting discounts and any over-allotment option
- Listing
- NYSE under the symbol GBL
- Lead underwriters
- Merrill Lynch (2,024,000 shares); Citigroup (2,024,000 shares); Gabelli & Company, Inc (450,000 shares)
- Syndicate
- Allen & Company (65,000); Bear Stearns (65,000); BT Alex. Brown (65,000); Oppenheimer (65,000); Donaldson, Lufkin & Jenrette (65,000); A.G. Edwards (65,000); Lehman Brothers (65,000); Morgan Stanley (65,000); PaineWebber (65,000); Prudential Securities (65,000); Schroder & Co. Inc (65,000); UBS (65,000); Advest, Inc (38,000); Barrington Research Associates, Inc (38,000); George K. Baum & Company (38,000); William Blair (38,000); Burnham Securities Inc (38,000); EVEREN Securities, Inc (38,000); Ferris, Baker Watts, Incorporated (38,000); Gruntal & Co., L.L.C (38,000); Herzog, Heine, Geduld Inc (38,000); Edward D. Jones & Co., L.P (38,000); Keeley Investment Corporation (38,000); Legg Mason (38,000); Needham & Company (38,000); Putnam, Lovell, de Guardiola & Thornton Inc (38,000); Truist Securities (38,000); Sanders Morris Mundy (38,000); Sandler O'Neill & Partners, L.P (38,000); Southwest Securities, Inc (38,000); C.E. Unterberg, Towbin (38,000)
Read from the cover pages of the filings listed under “Prospectus pages read” below; check the document for anything that matters.
On this site
- Form 5500 plan sponsor: GAMCO INVESTORS, INC. EXACT (EIN (EXACT))
- SEC filer: GAMCO INVESTORS, INC. ET AL EXACT (CIK (EXACT))
Filings 6
| Filed | Form | What it is | Name as filed | EDGAR |
|---|---|---|---|---|
| 1998-04-24 | S-1 | S-1 (registration) | ALPHA G INC | 0000950123-98-004136 ↗ |
| 1998-10-07 | S-1/A | S-1/A (amendment) | ALPHA G INC | 0000950123-98-008798 ↗ |
| 1998-11-24 | S-1/A | S-1/A (amendment) | ALPHA G INC | 0000950123-98-010267 ↗ |
| 1999-01-29 | S-1/A | S-1/A (amendment) | GABELLI ASSET MANAGEMENT INC | 0000950123-99-000442 ↗ |
| 1999-02-10 | S-1/A | S-1/A (amendment) | GABELLI ASSET MANAGEMENT INC | 0000950123-99-000838 ↗ |
| 1999-02-11 | 424B1 | 424B1 (final prospectus) | GABELLI ASSET MANAGEMENT INC | 0000950123-99-000999 ↗ |
Prospectus pages read 2
| Filed | Form | Read as | Range | Price | Shares | Proceeds | Listing | Underwriters | What was found | Document |
|---|---|---|---|---|---|---|---|---|---|---|
| 1999-02-10 | S-1/A | registration statement | $16.00–$19.00 | 6,000,000 | - | NYSE GBL | 3 | from the submission text; range, shares headline, cover names 3 | document ↗ | |
| 1999-02-11 | 424B1 | final prospectus | $17.50 | 6,000,000 | $105,000,000 | NYSE GBL | 34 | from the submission text; price table, shares headline, proceeds computed, underwriting table 34, cover names 3 | document ↗ |
Officers, directors and large holders Forms 3, 4 and 5
| Insider | Role | Title | Filings | Years | On this site |
|---|---|---|---|---|---|
| BREADY RICHARD L | Director | 3 | 2006–2014 | ||
| ALPERT BRUCE N | Officer | COO ( Gabelli Funds, LLC); COO of Gabelli Funds LLC; COO of Gabelli Funds LLC.; COO of Gabelli Funds, LLC; Senior Vice President | 29 | 2006–2021 | |
| JAMIESON DOUGLAS R | Officer | President and COO; President & C.O.O.; President & COO; President & COO of GAMCO Asset | 47 | 2006–2021 | |
| MCKEE JAMES E | Officer | General Counsel; General Counsel & Secretary | 4 | 2006–2007 | |
| GABELLI MARIO J | Director,Officer,TenPercentOwner; TenPercentOwner | Chairman and CEO; Chairman & CEO | 198 | 2006–2022 | |
| MANCHESKI FREDERICK J | TenPercentOwner | 9 | 2006–2016 | ||
| CASCADE INVESTMENT LLC | TenPercentOwner | 20 | 2006–2017 | ||
| GATES WILLIAM H III | TenPercentOwner | 20 | 2006–2017 | ||
| MCGRATH EUGENE R | Director | 5 | 2007–2019 | ||
| GABELLI JOHN D | Director | 3 | 2007–2008 | ||
| Caterina Kieran | Officer | Acting Co-CFO; Chief Accounting Officer; Co-Chief Accounting Officer | 31 | 2007–2022 | |
| LaPointe Diane | Officer | Acting Co-CFO; Co-Chief Accounting Officer | 21 | 2007–2018 | |
| Van der Eb Henry | Officer | Senior Vice President | 19 | 2007–2022 | |
| Avansino Raymond | Director | 5 | 2008–2019 | ||
| FARBER JEFFREY M | Officer | Executive VP & CFO | 2 | 2008 | |
| Wilson Elisa M. | Director | 16 | 2009–2019 | ||
| GGCP, INC. | Director,Officer,TenPercentOwner; TenPercentOwner | Chairman & CEO | 76 | 2009–2022 | |
| Mullady Agnes | Director; Officer | Senior Vice President; Sr. VP of GAMCO Investors Inc. | 20 | 2009–2022 | |
| ZUCCARO ROBERT S | Officer | Executive VP & CFO | 6 | 2011–2014 | |
| HANDWERKER KEVIN | Officer | Executive VP & General Counsel | 11 | 2013–2021 | |
| GAMCO INVESTORS, INC. ET AL | DirectorOther | 1 | 2014 | ||
| PRATHER ROBERT S JR | Director | 1 | 2014 | ||
| GABELLI MARC | Director | 4 | 2014–2015 | ||
| Associated Capital Group, Inc. | Director,Officer,TenPercentOwner; TenPercentOwner | Chairman & CEO | 40 | 2015–2022 | |
| GABELLI SECURITIES, INC. | TenPercentOwner | 1 | 2015 | ||
| GGCP Holdings LLC | TenPercentOwner | 61 | 2015–2022 | ||
| DANIELS LESLIE B | Director | 3 | 2016–2020 | ||
| FREDERICK J. MANCHESKI REVOCABLE TRUST INDENTURE, dated June 8, 1999, as amended | TenPercentOwner | 1 | 2019 | ||
| Goldstein Peter D. | Officer | General Counsel | 2 | 2021 | |
| Glick Alexis | Director | 1 | 2022 |
Everyone who filed an insider report for this company, from the SEC’s Insider Transactions Data Sets (2006 on). Person pages are matched by name and state only.
Data: SEC EDGAR. The quarterly full index (every S-1, S-1/A, F-1 and F-1/A since 1993, with the pricing prospectus, notice of effectiveness and withdrawal request of each registrant) and the company submissions data (SIC, state of incorporation, address, EIN, tickers, former names). Company details are what EDGAR holds today, not at the time of the filing.
Also on this site Fuzzy
| Record | Name as filed | Where | Dataset | Matched by |
|---|---|---|---|---|
| SEC filer | GAMCO INVESTORS, INC. ET AL | SEC filers (EDGAR) | CIK (EXACT) | |
| Form 5500 plan sponsor | GAMCO INVESTORS, INC. | EIN (EXACT) |
Matched by an identifier (EIN, CIK, CRD), by name and state or city, or by street address; a shared name or address is not proof of the same person or organization. Every link says how it was made; how the cross-referencing works.
Others with the same interests
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- PWG CAPITAL TRUST II CT
- SOUNDVIEW TECHNOLOGY GROUP INC CT
- Interactive Brokers Group, Inc. CT
- Grayscale Investments, Inc. CT
- HAMBRECHT & QUIST GROUP CA
- S3 INVESTMENT COMPANY, INC. CA
- JMP GROUP LLC CA
- Thomas Weisel Partners Group, Inc. CA
- JMP Group Inc. CA
In other datasets, the same topic (Finance) in CT:
- Form D issuer: 200 Park Avenue Partners, LLC (Form D private offerings)
- Lobbying client: 1ST ALLIANCE LENDING (Federal lobbying (LDA))
Interests: Security Brokers, Dealers & Flotation Companies · Finance