Gamco investors, inc. et al (GBL)
Balance Sheet / TTM
Mar'20Dec'19Sep'19Jun'19Mar'19Dec'18Sep'18Jun'18Mar'18Dec'17Sep'17Jun'17Mar'17Dec'16Sep'16Jun'16Mar'16Dec'15Sep'15Jun'15Mar'15Dec'14Sep'14Jun'14Mar'14Dec'13Sep'13Jun'13Mar'13Dec'12Sep'12Jun'12Mar'12Dec'11Sep'11Jun'11Mar'11Dec'10Sep'10Jun'10
ASSETS
Cash and cash equivalents

77,834

86,136

86,179

52,008

64,389

41,202

34,334

41,488

27,383

17,821

61,097

90,405

88,230

39,812

33,852

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

Cash and cash equivalents

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

24,224

28,045

13,719

62,561

11,202

11,261

12,694

358,421

307,490

243,142

210,451

245,411

222,776

273,353

190,608

288,685

324,440

324,630

276,340

335,656

260,839

164,671

169,601

294,271

321,029

Investments in securities

-

-

-

-

-

-

29,704

33,955

-

36,790

101,425

35,225

33,190

37,285

32,889

32,079

36,419

32,975

34,095

37,429

37,954

38,942

254,630

225,596

234,414

231,228

237,744

220,440

229,286

218,843

235,445

249,630

257,607

238,333

214,759

298,425

279,713

305,486

228,210

213,079

Investments in securities

-

-

32,322

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

Investments in securities

17,819

27,726

-

36,811

31,623

33,789

-

-

31,407

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

Investments in debt securities, at amortized cost

2,998

6,547

-

-

-

0

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

Investments in sponsored registered investment companies

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

39,520

40,791

42,433

44,042

43,688

52,341

64,294

61,872

64,223

59,561

62,305

59,214

55,564

64,880

-

-

-

-

Investments in sponsored registered investment companies

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

65,903

-

-

-

Investments in partnerships

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

107,434

107,896

105,849

95,992

97,752

94,535

94,260

97,549

102,604

102,119

101,685

100,893

98,286

98,598

94,584

82,871

79,244

74,107

Receivable from brokers

3,808

989

4,574

4,188

3,529

3,423

2,654

2,993

1,876

1,578

1,342

843

523

453

344

230

1,135

1,091

1,157

1,490

2,100

1,683

79,885

58,945

54,084

49,461

43,854

39,669

44,583

50,655

55,159

41,513

29,298

20,913

67,064

35,968

43,308

46,621

62,209

54,548

Investment advisory fees receivable

19,249

36,093

23,774

22,865

23,058

25,677

-

-

27,150

38,712

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

Investment advisory fees receivable

-

-

-

-

-

-

25,010

28,536

-

-

25,549

27,495

29,810

43,736

26,606

31,811

29,612

31,048

26,638

31,171

32,241

37,727

31,155

32,228

33,035

51,506

31,151

28,240

29,624

42,429

29,187

26,026

27,193

32,156

23,451

25,746

24,992

44,660

17,145

16,844

Receivable from affiliates

3,917

3,940

3,804

4,019

4,435

4,194

4,531

4,470

4,794

5,635

4,784

4,893

5,325

5,960

4,745

0

5,256

5,041

27,957

28,219

28,373

26,447

-

-

-

6,238

-

-

-

4,457

-

-

-

5,048

-

-

-

3,837

-

-

Finance lease

-

-

-

-

-

2,095

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

Capital lease

-

-

-

-

-

-

-

-

-

2,304

-

-

-

2,514

-

-

-

2,723

-

-

-

2,933

-

-

-

3,142

-

-

-

2,872

-

-

-

3,133

-

-

-

3,394

-

-

Goodwill and identifiable intangible assets

3,337

3,765

3,765

3,765

-

3,765

-

-

-

3,765

-

-

-

3,765

-

-

-

3,765

-

-

-

2,104

-

-

-

5,358

-

-

-

5,358

-

-

-

5,358

-

-

-

-

-

-

Income taxes receivable and deferred tax assets

-

-

-

-

-

-

-

-

-

-

-

-

-

9,349

-

-

-

6,787

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

Carrying amount due within one year of the balance sheet date from income tax receivables and deferred tax assets.

11,043

16,389

17,305

18,250

15,661

15,001

11,532

17,177

12,878

15,615

24,941

19,361

12,829

-

10,634

11,905

2,452

-

2,409

2,303

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

Goodwill and identifiable intangible asset

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

5,358

-

-

Income tax receivable

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

2,433

2,433

2,433

1,077

445

445

433

413

917

1,018

1,018

402

39

39

227

238

302

325

0

3,436

Other assets

7,459

8,301

7,772

8,450

11,534

5,466

10,692

11,542

11,505

6,066

11,888

12,709

12,615

6,355

12,198

13,665

13,006

6,750

10,776

11,648

11,680

7,829

25,282

30,779

26,418

11,622

34,589

25,087

24,312

15,072

22,250

23,039

23,668

15,322

25,883

25,964

24,030

10,583

21,140

20,445

Assets of discontinued operations

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

706,523

741,946

673,263

733,638

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

Total assets

147,464

189,886

179,495

150,356

154,229

134,612

118,457

140,161

116,993

128,286

231,026

190,931

182,522

149,229

121,268

113,914

115,925

103,899

872,116

865,408

799,305

866,430

898,760

804,802

739,820

709,485

734,622

683,501

760,629

690,733

798,571

826,730

826,425

756,749

820,890

810,658

697,503

672,736

702,219

703,488

LIABILITIES AND STOCKHOLDERS' EQUITY
Payable to brokers

-

-

3

99

478

112

0

6,329

164

14,926

13,311

4,670

10,022

66

10,203

45

0

12

533

1,257

46

12

46,790

19,859

11,370

10,765

14,675

14,986

15,059

14,346

28,039

20,113

22,366

10,770

15,590

2,950

7,998

1,554

4,151

3,351

Carrying amount as of the balance sheet date of the unpaid sum of the known and estimated amounts payable to satisfy all domestic and foreign income tax obligations due and the cumulative amount for all deferred tax liabilities as of the balance sheet date arising from temporary differences between accounting income in accordance with generally accepted accounting principles and tax-basis income that will result in future taxable income exceeding future accounting income.

219

757

2,314

1,935

8,068

-

3,555

3,242

7,491

3,128

3,215

3,486

19,787

3,815

164

822

12,198

4,823

5,963

11,033

23,133

17,980

27,412

31,029

41,427

39,846

28,726

27,864

34,292

25,398

16,445

12,846

24,782

-

21,235

21,622

-

-

-

-

Income taxes payable

-

-

-

-

-

2,388

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

15,296

-

-

25,035

23,225

4,533

0

Present value of lessee's discounted obligation for lease payments from operating and finance lease.

5,315

5,431

-

-

-

4,794

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

Lease liability obligations

-

-

5,602

5,825

5,300

-

4,834

4,872

4,908

4,943

4,976

5,008

5,038

5,066

5,094

5,120

5,145

5,170

5,191

5,213

5,234

5,253

5,272

5,290

5,307

5,323

5,331

4,877

4,914

4,949

4,982

5,013

5,043

5,072

5,100

5,126

5,151

-

5,197

5,219

Compensation payable

21,291

64,279

79,841

65,335

59,142

60,408

70,385

97,626

84,333

82,907

82,896

53,642

42,295

42,384

31,469

25,592

19,218

24,426

83,700

62,811

38,823

30,803

93,535

68,908

41,447

34,663

86,174

59,643

34,676

10,535

33,998

28,985

28,834

17,695

31,559

29,484

22,883

23,771

23,575

18,613

Securities sold, not yet purchased

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

129

0

0

0

0

14,180

14,329

10,788

6,178

7,725

7,598

6,377

3,136

3,856

7,010

9,657

5,488

6,743

10,244

15,550

19,299

18,446

13,652

Payable to affiliates

265

3,982

380

434

0

1,041

140

978

864

855

2,981

2,387

1,528

1,412

7,679

1,226

3,754

7,687

153

204

28

0

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

Accrued expenses and other liabilities

30,833

36,529

34,451

29,930

30,196

32,091

27,571

27,827

27,706

28,656

24,134

28,791

27,942

29,178

31,801

30,483

29,710

28,882

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

Total of liabilities before senior notes, convertible notes, and subordinated debt.

57,923

110,978

122,591

103,558

103,184

100,834

106,485

140,874

125,466

135,415

131,513

97,984

106,612

81,921

86,410

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

Including the current and noncurrent portions, carrying value as of the balance sheet date of notes payable, whose interest may be paid in kind (in whole or in part) on the then-outstanding principal amount (a "PIK Amount") in lieu of cash at the election of the Company.

-

-

-

-

0

-

0

20,000

40,000

50,000

70,000

80,000

90,000

100,000

100,000

250,000

250,000

250,000

0

0

0

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

AC 1.6% Note Payable (due February 28, 2018) (Note G)

-

-

-

-

-

-

0

0

-

15,000

0

0

0

0

-

-

20,000

35,000

0

0

0

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

Mandatorily redeemable noncontrolling interests

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

1,304

1,339

1,337

1,355

1,327

1,322

1,343

1,342

1,356

1,352

1,390

1,386

1,490

1,478

1,466

1,444

1,367

1,632

Accrued expenses and other liabilities

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

32,467

29,263

32,071

28,160

31,007

32,194

30,658

32,511

28,906

31,971

34,537

26,365

30,175

29,641

28,692

24,441

31,450

34,620

28,351

23,089

25,436

28,146

Liabilities of discontinued operations

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

66,614

76,515

35,782

75,930

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

Sub-total

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

63,288

70,025

71,129

194,621

186,296

135,117

158,138

219,500

172,948

142,334

130,641

172,864

148,261

131,198

86,071

118,851

104,960

120,764

80,148

113,167

105,524

106,434

97,564

82,705

70,613

4.5% Convertible note (due August 15, 2021) (Note F)

-

-

-

-

-

-

0

0

-

-

109,862

109,853

109,844

109,835

109,826

0

0

0

0

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

Sub-total

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

63,288

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

80,148

113,167

105,524

106,434

97,564

82,705

70,613

Senior Notes (net of issuance costs of $28 and $34, respectively) (due June 1, 2021) (Note 7)

24,197

24,191

24,186

24,180

24,174

24,168

24,162

24,156

24,150

24,144

24,138

24,132

24,126

24,120

24,115

24,109

24,103

24,097

99,447

99,422

99,398

-

-

-

-

-

0

0

99,000

99,000

99,000

99,000

99,000

99,000

99,000

99,000

99,000

99,000

99,000

99,000

AC 4% PIK Note (due November 30, 2020) (Note F)

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

0

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

Loan from GGCP (due December 28, 2016) (Note F)

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

0

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

5.875% Senior notes (due June 1, 2021)

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

100,000

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

5.875% Senior notes (due June 1, 2021)

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

100,000

100,000

100,000

100,000

100,000

100,000

100,000

100,000

100,000

100,000

100,000

100,000

100,000

100,000

0

0

0

0

6% Convertible note (due August 14, 2011; repaid September 30, 2010)

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

19,948

6.5% Convertible note (due October 2, 2018; repaid October 13, 2010)

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

60,000

60,000

Zero coupon subordinated debentures, Face value: $0.0 million at September 30, 2016, $0.0 million at December 31, 2015 and $6.9 million at September 30, 2015, respectively (due December 31, 2015)

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

6,750

6,628

9,936

12,163

11,941

11,813

12,098

11,911

17,347

17,028

17,688

17,366

17,118

66,598

65,300

64,119

62,973

61,814

60,697

59,580

0

0

Total liabilities

82,120

135,169

146,777

127,738

127,358

125,002

130,647

185,030

189,616

224,559

335,513

311,969

330,582

315,876

320,351

337,397

364,128

380,226

300,818

292,346

244,451

270,301

331,441

284,761

254,432

242,552

290,211

265,289

347,886

302,437

334,969

370,558

385,064

343,267

375,140

366,338

266,131

256,144

241,705

249,561

Redeemable noncontrolling interests from discontinued operations

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

0

6,018

5,943

5,519

68,334

56,086

22,806

8,464

6,751

5,765

7,021

-

-

-

-

-

-

-

-

-

-

-

-

Redeemable noncontrolling interests

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

16,414

17,362

20,228

26,162

16,828

6,071

38,050

35,519

28,884

26,984

15,994

7,773

Commitments and contingencies (Note 10)

-

-

-

-

-

-

0

0

-

-

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

Stockholders' equity:
Stockholders' Equity
Preferred stock, $0.001 par value; 10,000,000 shares authorized; none issued and outstanding

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

-

-

Common stock

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

13

33

33

33

Additional paid-in capital

17,974

17,033

16,190

15,347

14,769

14,192

13,614

13,113

12,759

12,572

11,084

8,981

4,602

3,903

3,135

2,417

1,382

345

299,769

297,494

293,958

291,681

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

Class B Common Stock

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

20

-

-

-

Additional paid-in capital

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

289,664

287,879

285,215

282,496

281,194

280,210

280,196

280,089

267,914

266,231

265,280

264,409

264,028

263,371

262,686

262,108

255,860

254,444

Retained earnings

373,208

362,515

338,680

325,605

302,139

282,928

260,171

225,735

194,732

155,939

143,026

127,058

104,749

80,515

48,412

18,155

-8,794

-34,224

661,415

648,231

625,926

602,950

582,357

560,238

532,839

506,441

487,702

456,163

429,553

408,295

450,326

439,292

431,963

409,191

413,295

406,666

387,101

370,272

425,383

430,605

Accumulated comprehensive income

-265

-204

-271

-243

-220

-240

-218

-205

-145

11,876

12,365

10,016

8,720

11,271

9,317

8,839

11,670

9,115

17,575

24,305

24,505

25,014

23,392

25,844

27,550

30,239

23,271

25,392

32,291

26,300

26,307

23,403

25,960

22,520

18,425

26,349

27,900

25,389

19,306

15,960

Treasury stock, at cost (7,692,260 and 6,012,002 shares, respectively)

325,606

324,660

321,914

318,124

289,850

287,303

285,790

283,545

280,002

276,693

270,995

267,126

266,164

262,369

259,980

252,927

252,494

251,596

416,147

405,633

397,813

394,617

-

-

-

361,878

-

-

-

347,109

-

-

-

-

-

291,287

278,870

271,773

259,442

258,956

Total stockholders' equity

65,344

54,717

32,718

22,618

26,871

9,610

-12,190

-44,869

-72,623

-96,273

-104,487

-121,038

-148,060

-

-199,083

-223,483

-248,203

-276,327

562,645

564,430

546,609

525,061

508,494

494,418

474,112

457,331

435,857

408,413

392,999

367,608

440,013

426,659

421,084

403,972

404,000

405,132

398,850

386,029

441,140

442,086

Noncontrolling interests from discontinued operations

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

0

2,635

2,689

2,726

2,734

2,739

2,817

2,812

2,851

2,789

2,778

3,330

3,326

3,361

3,351

3,449

3,439

3,700

3,669

3,638

3,579

3,380

4,068

Total deficit

-

-

-

-

-

-

-

-

-

-

-

-

-

-166,647

-

-

-

-276,327

565,280

567,119

549,335

527,795

511,233

497,235

476,924

460,182

438,646

411,191

396,329

370,934

443,374

430,010

424,533

407,411

407,700

408,801

402,488

389,608

444,520

446,154

Total liabilities and stockholders' equity

147,464

189,886

179,495

150,356

154,229

134,612

118,457

140,161

116,993

128,286

231,026

190,931

182,522

149,229

121,268

113,914

115,925

103,899

872,116

865,408

799,305

866,430

898,760

804,802

739,820

709,485

734,622

683,501

760,629

690,733

798,571

826,730

826,425

756,749

820,890

810,658

697,503

672,736

702,219

703,488

Class A [Member]
Common stock

14

14

14

14

14

14

-

-

14

14

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

Class B [Member]
Common stock

19

19

19

19

19

19

-

-

19

19

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-