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) October 24, 2008 (October 20, 2008)
GAMCO INVESTORS, INC.
(Exact name of registrant as specified in its charter)
| New York | 1-14761 | 13-4007862 |
| (State or other jurisdiction of incorporation) | (Commission File Number) | (IRS Employer Identification No.) |
| One Corporate Center, Rye, NY | 10580 | ||
| (Address of principal executive offices) | (Zip Code) | ||
| (914) 921-5000 | |||
| Registrant's telephone number, including area code |
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 October 20, 2008, GAMCO Investors, Inc. (“GAMCO”) announced preliminary estimates for the quarter ended September 30, 2008 of $0.40 to $0.43 per diluted share versus $0.64 per diluted share in the comparable 2007 quarter. Assets Under Management (AUM) were $25.6 billion as of September 30, 2008, 9.7% lower than June 30, 2008 AUM of $28.3 billion and 19.1% below September 30, 2007 AUM of $31.6 billion. A copy of the GAMCO’s press release is attached hereto as Exhibit 99.1 and incorporated herein by reference.
| Item 9.01. Financial Statements and Exhibits. |
(d) Exhibits
99.1 GAMCO’s Press Release, dated October 20, 2008.
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
| Date: | October 24, 2008 |
| Exhibit Index |
Exhibit No. | |
| 99.1 | GAMCO’s Press Release, dated October 20, 2008. |