FORM 10-K/A GAMCO Investors, Inc. - Gabelli

More documents

Recommendations

Info

The following table provides information with respect to the shares of our class A common stock we repurchased during the three months ended December 31, 2006: Period (a) Total Number of Shares Repurchased (b) Average Price Paid Per Share, net of Commissions (c) Total Number of Shares Repurchased as Part of Publicly Announced Plans or Programs (d) Maximum Number of Shares (or Approximate Dollar Value) That May Yet Be Purchased Under the Plans or Programs 10/01/06 – 10/31/06 - - - 652,461 11/01/06 – 11/30/06 - - - 1,052,461 12/01/06 – 12/31/06 4,700 $ 37.91 4,700 1,047,761 Totals 4,700 4,700 In November 2006, we announced an increase in the number of shares of GBL to be repurchased of 400,000 shares. Our stock repurchase program is not subject to an expiration date. We are required by the Securities and Exchange Commission to provide you with a comparison of the cumulative total return on our class A common stock as of December 31, 2006 with that of a broad equity market index and either a published industry index or a peer group index selected by us. The following chart compares the return on the class A common stock with the return on the S&P 500 Index, the Russell 2000 Index and an index comprised of public companies with the Standard Industrial Classification (SIC) Code 6282, Investment Advice. We have elected to use the S&P 500 Index in place of the Russell 2000 Index as our broad market index. We view the S&P 500 Index as a more widely recognized benchmark of U.S. equity market performance. The comparison assumes that $100 was invested in the class A common stock and in each of the named indices, including the reinvestment of dividends, on December 31, 2001. This chart is not intended to forecast future performance of our common stock. [TOTAL RETURN COMPARISON GRAPH] Dec. 31, Dec. 31, Dec. 31, Dec. 31, Dec. 31, Dec. 31, 2001 2002 2003 2004 2005 2006 GAMCO Investors, Inc. 100.00 69.54 92.18 116.61 104.82 92.90 SIC Code Index 100.00 78.23 103.13 132.63 165.57 215.88 S&P 500 Index 100.00 76.85 97.71 109.92 115.32 133.54 Russell 2000 Index 100.00 78.42 114.00 133.94 138.40 162.02 40
The following table shows information regarding outstanding options and shares reserved for future issuance under our equity compensation plans as of December 31, 2006. Number of Securities to be Issued upon Exercise of Outstanding Options, Warrants and Rights Weighted- Average Exercise Price of Outstanding Options, Warrants and Rights Number of Securities Remaining Available for Future Issuance under Equity Compensation Plans (Excluding Securities Reflected in the First Column Plan Category Equity compensation plans approved by security holders 193,075 $ 31.77 1,244,775 Equity compensation plans not approved by security holders -0- -0- -0- Total 193,075 $ 31.77 1,244,775 41
Page 1 and 2: UNITED STATES SECURITIES AND EXCHAN
Page 3 and 4: The aggregate market value of the c
Page 5 and 6: Our assets under management are org
Page 7 and 8: - GAM GAMCO Equity Fund, managed by
Page 9 and 10: As in prior years, we experienced c
Page 11 and 12: To further extend “value investin
Page 13 and 14: · Diversified Product Offerings: S
Page 15 and 16: Open-end Funds On December 31, 2006
Page 17 and 18: Assets Under Management The followi
Page 19 and 20: The following table lists the Mutua
Page 21 and 22: Net Assets as of December 31, Fund
Page 23 and 24: Net Assets as of December 31, Fund
Page 25 and 26: Shareholders of the open-end Funds
Page 27 and 28: Gabelli & Company also offers our o
Page 29 and 30: Investments by GBL on behalf of our
Page 31 and 32: ITEM 1A: RISK FACTORS Business Risk
Page 33 and 34: Catastrophic and unpredictable even
Page 35 and 36: During 2006, as in prior years, we
Page 37 and 38: Our businesses are subject to exten
Page 39: PART II ITEM 5: MARKET FOR THE REGI
Page 43 and 44: December 31, 2002 (a) 2003 (a) 2004
Page 45 and 46: As a result of the first material w
Page 47 and 48: Consolidated Statements of Income I
Page 49 and 50: Our liquid balance sheet, coupled w
Page 51 and 52: For the three years ended December
Page 53 and 54: Expenses Compensation: Compensation
Page 55 and 56: Mutual fund revenues increased $3.9
Page 57 and 58: Liquidity and Capital Resources Our
Page 59 and 60: Our revenues are primarily driven b
Page 61 and 62: Critical Accounting Policies In the
Page 63 and 64: Recent Accounting Developments In F
Page 65 and 66: ITEM 8: FINANCIAL STATEMENTS AND SU
Page 67 and 68: REPORT OF INDEPENDENT REGISTERED PU
Page 69 and 70: GAMCO INVESTORS, INC. AND SUBSIDIAR
Page 71 and 72: (In thousands) See accompanying not
Page 73 and 74: GAMCO INVESTORS, INC. AND SUBSIDIAR
Page 75 and 76: Gabelli Direct, Inc. (“Gabelli Di
Page 77 and 78: Goodwill Goodwill pertains to the c
Page 79 and 80: Restatement As discussed within the
Page 81 and 82: In February 2007, the FASB issued F
Page 83 and 84: We were not required to consolidate
Page 85 and 86: E. Debt Debt consists of the follow
Page 87 and 88: The table below represents for vari
Page 89 and 90: Shelf Registration On December 28,
Page 91 and 92:
We serve as the investment advisor
Page 93 and 94:
N. Goodwill In accordance with SFAS
Page 95 and 96:
As a result of the first material w
Page 97 and 98:
ITEM 14: PRINCIPAL ACCOUNTANT FEES
Page 99 and 100:
POWER OF ATTORNEY Each person whose
Page 101 and 102:
Exhibit 21.1 Subsidiaries of GAMCO
Page 103 and 104:
Exhibit 31.1 Certifications I, Mari
Page 105 and 106:
Certifications Exhibit 31.3 I, Dian
Page 107:
Exhibit 32.2 Certification of Actin
show all

FORM 10-K/A GAMCO Investors, Inc. - Gabelli

Create successful ePaper yourself

Delete template?

Save as template?