form8k042909.htm
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) April 28, 2009
GAMCO
INVESTORS, INC.
(Exact
name of registrant as specified in its charter)
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New
York
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1-14761
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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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One
Corporate Center, Rye, NY
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10580
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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 (914)
921-5000
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))
Item
2.02. Results of Operations and Financial Condition.
The
following information is furnished pursuant to Item 2.02, “Results of Operations
and Financial Condition.”
On April
28, 2009, GAMCO Investors, Inc. (“GAMCO”) announced preliminary estimates for
the quarter ended March 31, 2009 of $0.29 to $0.31 per diluted share versus
$0.37 per diluted share in the comparable 2008 quarter. Assets
Under Management (AUM) were $18.5 billion as of March 31, 2009, 8.4% lower than
December 31, 2008 AUM of $20.2 billion and 34.6% below March 31, 2008 AUM of
$28.3 billion. The December 31, 2008 and March 31, 2008 AUM exclude
Teton Advisors, Inc.’s AUM of $450 million and $431 million, respectively, due
to the spin-off of Teton on March 20, 2009. A copy of the GAMCO’s
press release is attached hereto as Exhibit 99.1 and incorporated herein by
reference.
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Item
9.01. Financial Statements and Exhibits.
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(d)
Exhibits
99.1 GAMCO’s
Press Release, dated April 28, 2009.
SIGNATURE
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/ Jeffrey
M. Farber
Jeffrey
M. Farber
Executive
Vice-President and Chief Financial Officer
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Exhibit
No.
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| 99.1 |
GAMCO’s
Press Release, dated April 28,
2009. |