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

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Net Assets as of December 31, Fund Advisory 12b-1 Initial 2006 (Morningstar Overall Primary Investment Fund Fees Fees Offer (all classes) Rating) (1) Objective Characteristics (%) (%) Date ($ in millions) The Gabelli Woodland Long Term capital appreciation Class AAA: 1.00 (8) .25 12/31/02 $ 10 Small Cap Value Fund investing at least 80% of its No-load, ««« in equity securities of Open-end, companies with market Non-diversified capitalizations less than Multi-class shares (2) the greater of $3.0 billion or the largest company in the Russell 2000 Index. Westwood Long-term capital Class AAA: 1.00 (8) .25 04/15/97 $ 10 SmallCap appreciation, investing No-load, Equity Fund at least 80% of its assets Open-end, «« in equity securities of Diversified companies with market Multi-class shares (2) capitalizations of $2.5 billion or less at the time of purchase. FOCUSED VALUE: The Gabelli Value High level of capital Class A: 1.00 .25 09/29/89 $ 889 Fund appreciation from Front end-load, ««« undervalued equity Open-end securities that are Non-diversified held in a concentrated Multi-class shares (2) portfolio. GROWTH: GAMCO International Capital appreciation Class AAA: 1.00 .25 06/30/95 $ 65 Growth Fund by investing primarily No-load, ««« in equity securities of Open-end, foreign companies with Diversified rapid growth in revenues Multi-class shares (2) and earnings. The GAMCO Growth Capital appreciation from Class AAA: 1.00 .25 04/10/87 $ 959 Fund companies that have No-load, ««« favorable, yet undervalued, Open-end, prospects for earnings Diversified growth. Invests in equity Multi-class Shares (2) securities of companies that have above-average or expanding market shares and profit margins. AGGRESSIVE GROWTH: The GAMCO Global High level of capital Class AAA: 1.00 .25 02/07/94 $ 103 Growth Fund appreciation through No load, «« investment in a Open-end, portfolio of equity Non-diversified securities focused on Multi-class shares (2) companies involved in the global marketplace. MICRO-CAP: Westwood Long-term capital appreciation Class AAA: 1.00 .25 05/11/94 $ 38 Mighty Mites SM Fund by investing primarily No load, «««« In equity securities with Open-end, Market capitalization Diversified of $300 million or less Multi-class shares (2) at the time of purchase. 20
Net Assets as of December 31, Fund Advisory 12b-1 Initial 2006 (Morningstar Overall Primary Investment Fund Fees Fees Offer (all classes) Rating) (1) Objective Characteristics (%) (%) Date ($ in millions) SPECIALTY EQUITY: The GAMCO Global High level of capital Class AAA: 1.00 (8) .25 05/11/98 $ 24 Opportunity Fund appreciation through No-load, «««« worldwide investments Open-end, in equity securities. Non-diversified Multi-class shares (2) The GAMCO Global High level of total return Class AAA: 1.00 (8) .25 02/03/94 $ 11 Convertible through a combination of No-load, Securities Fund current income and capital Open-end, ««« Appreciation through Non-diversified investment in convertible Multi-class shares (2) securities of U.S. and non-U.S. issuers. The Gabelli Capital Asset Capital appreciation from No-load, .75 n/a 05/01/95 $ 234 Fund equity securities of companies Open-end, (not rated) (7) selling at a significant Diversified, discount to their private Variable Annuity market value. SECTOR: The Gabelli Utilities High level of total return through Class AAA: 1.00 .25 08/31/99 $ 568 Fund a combination of capital No-load, «« appreciation and current income Open-end, from investments in utility Diversified companies. Multi-class shares (2) The GAMCO Global High level of capital Class AAA: 1.00 .25 11/01/93 $ 216 Telecommunications appreciation through No-load, Fund worldwide investments Open-end, «««« in equity securities, Non-diversified including the U.S., Multi-class shares (2) primarily in the telecommunications industry. GAMCO Gold Seeks capital Class AAA: 1.00 .25 07/11/94 $ 449 Fund appreciation and No-load, ««« employs a value Open-end, approach to investing Diversified primarily in equity Multi-class shares (2) securities of goldrelated companies worldwide. ABSOLUTE RETURN: The Gabelli ABC Fund Total returns that are No-load, .50 (6) n/a (6) 5/14/93 $ 155 attractive to investors Open-end, «« in various market conditions Non-diversified without excessive risk of capital loss, utilizing certain arbitrage strategies and investing in value orientated common stocks at a significant discount to their PMV. 21
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: The following table lists the Mutua
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 and 40: PART II ITEM 5: MARKET FOR THE REGI
Page 41 and 42: The following table shows informati
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
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FORM 10-K/A GAMCO Investors, Inc. - Gabelli

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