GBL Gamco Investors Inc

As filed with the Securities and Exchange Commission on September 20, 2022

 

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
____________________________

Post-Effective Amendment No. 1 (No. 333-258065)

Post-Effective Amendment No. 1 (No. 333-221394)

TO

FORM S-3

REGISTRATION STATEMENT UNDER
THE SECURITIES ACT OF 1933

GAMCO INVESTORS, INC.
(Exact name of registrant as specified in its charter)

 

Delaware (State or other jurisdiction of incorporation or organization)	13-4007862 (I.R.S. Employer Identification No.)
191 Mason Street, Greenwich, CT 06830 One Corporate Center, Rye, NY 10580 (203) 629-2726 (Address, including zip code, and telephone number, including area code, of registrant’s principal executive offices)

____________________________

 

Peter Goldstein

GAMCO Investors, Inc.

One Corporate Center

Rye, New York 10580

(914) 921-3700

(Name, address, including zip code, and telephone number, including area code, of agent for service)

____________________________

 

With a copy to:

Elizabeth Gonzalez-Sussman, Esq.

Kenneth A. Schlesinger, Esq.

Olshan Frome Wolosky LLP

1325 Avenue of the Americas

New York, New York 10019

(212) 451-2300

____________________________

Approximate date of commencement of proposed sale to the public: Not applicable.

If the only securities being registered on this Form are being offered pursuant to dividend or interest reinvestment plans, please check the following box. ¨

If any of the securities being registered on this Form are to be offered on a delayed or continuous basis pursuant to Rule 415 under the Securities Act of 1933, other than securities offered only in connection with dividend or interest reinvestment plans, check the following box: ¨

If this Form is filed to register additional securities for an offering pursuant to Rule 462(b) under the Securities Act, please check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering. ¨

If this Form is a post-effective amendment filed pursuant to Rule 462(c) under the Securities Act, check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering. ¨

If this Form is a registration statement pursuant to General Instruction I.D. or a post-effective amendment thereto that shall become effective upon filing with the Commission pursuant to Rule 462(e) under the Securities Act, check the following box. ¨

If this Form is a post-effective amendment to a registration statement filed pursuant to General Instruction I.D. filed to register additional securities or additional classes of securities pursuant to Rule 413(b) under the Securities Act, check the following box. ¨

 

Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company, or an emerging growth company. See the definitions of “large accelerated filer,” “accelerated filer,” “smaller reporting company” and “emerging growth company” in Rule 12b-2 of the Exchange Act.

	Large accelerated filer  ¨	Accelerated filer  ý
	Non-accelerated filer  ¨	Smaller reporting company  ý
	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 7(a)(2)(B) of the Securities Act. ¨

 

EXPLANATORY NOTE/DEREGISTRATION OF SECURITIES

 

GAMCO Investors, Inc., a Delaware corporation (“GAMCO” or the “Company”), is filing these post-effective amendments (the “Post-Effective Amendments”) to the following Registration Statements on Form S-3 (the “Registration Statements”), which have been previously filed with the Securities and Exchange Commission (the “SEC”), to deregister:

 

1.

Any and all securities, registered but unsold or otherwise unissued as of the date hereof under the Registration Statement No. 333-258065, filed with the SEC on July 21, 2021, registering an indeterminate number of Senior or Subordinated Debt Securities, Preferred Stock, par value $0.001 per share, Class A Common Stock, par value $0.001 per share (the “Common Stock”), Stock Purchase Contracts, Stock Purchase Units, Warrants and Rights, or any combination of the foregoing, having an aggregate initial public offering price not to exceed $500 million.

2.

Any and all shares of Common Stock, registered but unsold or otherwise unissued as of the date hereof under Registration Statement No. 333-221394, filed with the SEC on November 7, 2017, registering 4,393,055 shares of Common Stock offered for sale, from time to time, by the selling stockholder identified thereby.

 

On September 16, 2022, the Company announced its intention to apply for the voluntary delisting of the Common Stock from the New York Stock Exchange and the voluntary deregistration from the reporting requirements under the Securities Exchange Act of 1934, as amended (the “Exchange Act”), with the SEC. In connection with the Company’s voluntary decision to delist and deregister, the Company has terminated any and all offerings pursuant to the Registration Statements. Accordingly, this filing is made pursuant to an undertaking made by the Company in Part II of each Registration Statement to remove from registration by means of a post-effective amendment any securities that had been registered for issuance but remain unsold at the termination of each offering. The Company, by filing these Post-Effective Amendments, hereby terminates the effectiveness of the Registration Statements and removes from registration any and all securities registered but unsold or otherwise unissued under the Registration Statements as of the date hereof.

 

SIGNATURES

Pursuant to the requirements of the Securities Act of 1933, as amended (the “Securities Act”), the Company certifies that it has reasonable grounds to believe that it meets all of the requirements for filing on Form S-3 and has duly caused these Post-Effective Amendments to the Registration Statements on Form S-3 to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of Rye, State of New York on September 20, 2022.

	GAMCO INVESTORS, INC.
	By:	/s/ Kieran Caterina
		Name:	Kieran Caterina
		Title:	Chief Accounting Officer (Principal Financial Officer and Principal Accounting Officer)

 

 

No other person is required to sign these Post-Effective Amendments in reliance upon Rule 478 under the Securities Act of 1933.