EXA Corp (NASDAQ:EXA): Mario Gabelli’s GAMCO Investors filed an amended 13D.
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You can access the original SEC filing by clicking here.
Ownership Summary Table
Name | Sole Voting Power | Shared Voting Power | Sole Dispositive Power | Shared Dispositive Power | Aggregate Amount Owned Power | Percent of Class |
---|---|---|---|---|---|---|
Gabelli Funds | 548,266 | 548,266 | 548,266 | 3.61% | ||
GAMCO Asset Management Inc. I.D. No. 13-40445 | 239,496 | 239,496 | 239,496 | 1.58% | ||
Gabelli Company Investment Advisers, Inc. I.D. No. 13-3379374 | 226,467 | 226,467 | 226,467 | 1.49% | ||
GGCP, Inc. I.D. No. 13-3056041 | 0.00% | |||||
GAMCO Investors, Inc. I.D. No. 13-400786 | 0.00% | |||||
Associated Capital Group, Inc. I.D. No. 47-3965991 Check the appropriate box if a member of a group (SEE INSTRUCTIONS) (a) (b) | 0.00% | |||||
Mario J. Gabelli | 0.06% |
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Page 1 of 17 – SEC Filing
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Page 2 of 17 – SEC Filing
1 | Names of reporting persons I.R.S. identification nos. of above persons (entities only) Gabelli Funds, LLC I.D. No. 13-4044523 | ||
2 | Check the appropriate box if a member of a group (SEE INSTRUCTIONS) (a) (b) | ||
3 | Sec use only | ||
4 | Source of funds (SEE INSTRUCTIONS) 00-Funds of investment advisory clients | ||
5 | Check box if disclosure of legal proceedings is required pursuant to items 2 (d) or 2 (e) | ||
6 | Citizenship or place of organization New York | ||
Number Of Shares Beneficially Owned By Each Reporting Person With | : 7 : : : | Sole voting power 548,266 (Item 5) | |
: 8 : : : | Shared voting power None | ||
: 9 : : : | Sole dispositive power 548,266 (Item 5) | ||
:10 : : : | Shared dispositive power None | ||
11 | Aggregate amount beneficially owned by each reporting person 548,266 (Item 5) | ||
12 | Check box if the aggregate amount in row (11) excludes certain shares (SEE INSTRUCTIONS) | ||
13 | Percent of class represented by amount in row (11) 3.61% | ||
14 | Type of reporting person (SEE INSTRUCTIONS) IA, CO |
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Page 3 of 17 – SEC Filing
1 | Names of reporting persons I.R.S. identification nos. of above persons (entities only) GAMCO Asset Management Inc. I.D. No. 13-4044521 | ||
2 | Check the appropriate box if a member of a group (SEE INSTRUCTIONS) (a) (b) | ||
3 | Sec use only | ||
4 | Source of funds (SEE INSTRUCTIONS) 00-Funds of investment advisory clients | ||
5 | Check box if disclosure of legal proceedings is required pursuant to items 2 (d) or 2 (e) | ||
6 | Citizenship or place of organization New York | ||
Number Of Shares Beneficially Owned By Each Reporting Person With | : 7 : : : | Sole voting power 239,496 (Item 5) | |
: 8 : : : | Shared voting power None | ||
: 9 : : : | Sole dispositive power 239,496 (Item 5) | ||
:10 : : : | Shared dispositive power None | ||
11 | Aggregate amount beneficially owned by each reporting person 239,496 (Item 5) | ||
12 | Check box if the aggregate amount in row (11) excludes certain shares (SEE INSTRUCTIONS) | ||
13 | Percent of class represented by amount in row (11) 1.58% | ||
14 | Type of reporting person (SEE INSTRUCTIONS) IA, CO |
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Page 4 of 17 – SEC Filing
1 | Names of reporting persons I.R.S. identification nos. of above persons (entities only) Gabelli & Company Investment Advisers, Inc. I.D. No. 13-3379374 | ||
2 | Check the appropriate box if a member of a group (SEE INSTRUCTIONS) (a) (b) | ||
3 | Sec use only | ||
4 | Source of funds (SEE INSTRUCTIONS) 00 – Client funds | ||
5 | Check box if disclosure of legal proceedings is required pursuant to items 2 (d) or 2 (e) | ||
6 | Citizenship or place of organization Delaware | ||
Number Of Shares Beneficially Owned By Each Reporting Person With | : 7 : : : | Sole voting power 226,467 (Item 5) | |
: 8 : : : | Shared voting power None | ||
: 9 : : : | Sole dispositive power 226,467 (Item 5) | ||
:10 : : : | Shared dispositive power None | ||
11 | Aggregate amount beneficially owned by each reporting person 226,467 (Item 5) | ||
12 | Check box if the aggregate amount in row (11) excludes certain shares (SEE INSTRUCTIONS) | ||
13 | Percent of class represented by amount in row (11) 1.49% | ||
14 | Type of reporting person (SEE INSTRUCTIONS) HC, CO, IA |
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Page 5 of 17 – SEC Filing
1 | Names of reporting persons I.R.S. identification nos. of above persons (entities only) GGCP, Inc. I.D. No. 13-3056041 | ||
2 | Check the appropriate box if a member of a group (SEE INSTRUCTIONS) (a) (b) | ||
3 | Sec use only | ||
4 | Source of funds (SEE INSTRUCTIONS) None | ||
5 | Check box if disclosure of legal proceedings is required pursuant to items 2 (d) or 2 (e) | ||
6 | Citizenship or place of organization Wyoming | ||
Number Of Shares Beneficially Owned By Each Reporting Person With | : 7 : : : | Sole voting power None (Item 5) | |
: 8 : : : | Shared voting power None | ||
: 9 : : : | Sole dispositive power None (Item 5) | ||
:10 : : : | Shared dispositive power None | ||
11 | Aggregate amount beneficially owned by each reporting person None (Item 5) | ||
12 | Check box if the aggregate amount in row (11) excludes certain shares (SEE INSTRUCTIONS) X | ||
13 | Percent of class represented by amount in row (11) 0.00% | ||
14 | Type of reporting person (SEE INSTRUCTIONS) HC, CO |
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Page 6 of 17 – SEC Filing
1 | Names of reporting persons I.R.S. identification nos. of above persons (entities only) GAMCO Investors, Inc. I.D. No. 13-4007862 | ||
Check the appropriate box if a member of a group (SEE INSTRUCTIONS) (a) (b) | |||
3 | Sec use only | ||
4 | Source of funds (SEE INSTRUCTIONS) None | ||
5 | Check box if disclosure of legal proceedings is required pursuant to items 2 (d) or 2 (e) | ||
6 | Citizenship or place of organization Delaware | ||
Number Of Shares Beneficially Owned By Each Reporting Person With | : 7 : : : | Sole voting power None (Item 5) | |
: 8 : : : | Shared voting power None | ||
: 9 : : : | Sole dispositive power None (Item 5) | ||
:10 : : : | Shared dispositive power None | ||
11 | Aggregate amount beneficially owned by each reporting person None (Item 5) | ||
12 | Check box if the aggregate amount in row (11) excludes certain shares (SEE INSTRUCTIONS) X | ||
13 | Percent of class represented by amount in row (11) 0.00% | ||
14 | Type of reporting person (SEE INSTRUCTIONS) HC, CO |
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Page 7 of 17 – SEC Filing
1 | Names of reporting persons I.R.S. identification nos. of above persons (entities only) Associated Capital Group, Inc. I.D. No. 47-3965991 | ||
Check the appropriate box if a member of a group (SEE INSTRUCTIONS) (a) (b) | |||
3 | Sec use only | ||
4 | Source of funds (SEE INSTRUCTIONS) None | ||
5 | Check box if disclosure of legal proceedings is required pursuant to items 2 (d) or 2 (e) | ||
6 | Citizenship or place of organization Delaware | ||
Number Of Shares Beneficially Owned By Each Reporting Person With | : 7 : : : | Sole voting power None (Item 5) | |
: 8 : : : | Shared voting power None | ||
: 9 : : : | Sole dispositive power None (Item 5) | ||
:10 : : : | Shared dispositive power None | ||
11 | Aggregate amount beneficially owned by each reporting person None (Item 5) | ||
12 | Check box if the aggregate amount in row (11) excludes certain shares (SEE INSTRUCTIONS) X | ||
13 | Percent of class represented by amount in row (11) 0.00% | ||
14 | Type of reporting person (SEE INSTRUCTIONS) HC, CO |
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Page 8 of 17 – SEC Filing
1 | Names of reporting persons I.R.S. identification nos. of above persons (entities only) Mario J. Gabelli | ||
2 | Check the appropriate box if a member of a group (SEE INSTRUCTIONS) (a) (b) | ||
3 | Sec use only | ||
4 | Source of funds (SEE INSTRUCTIONS) None | ||
5 | Check box if disclosure of legal proceedings is required pursuant to items 2 (d) or 2 (e) | ||
6 | Citizenship or place of organization USA | ||
Number Of Shares Beneficially Owned By Each Reporting Person With | : 7 : : : | Sole voting power NONE (Item 5) | |
: 8 : : : | Shared voting power None | ||
: 9 : : : | Sole dispositive power NONE (Item 5) | ||
:10 : : : | Shared dispositive power None | ||
11 | Aggregate amount beneficially owned by each reporting person NONE (Item 5) | ||
12 | Check box if the aggregate amount in row (11) excludes certain shares (SEE INSTRUCTIONS) X | ||
13 | Percent of class represented by amount in row (11) 0.06% | ||
14 | Type of reporting person (SEE INSTRUCTIONS) IN |
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Page 9 of 17 – SEC Filing
Name | Shares of Common Stock | % of Class of Common |
GAMCO Gabelli Funds GCIA | 239,496 548,266 226,467 | 1.58% 3.61% 1.49% |
Exhibit A: | Joint Filing Agreement |
Exhibit B: | Powers of Attorney to David M. Goldman and Douglas R. Jamieson from Mario J. Gabelli individually and/or as an executive officer or director of any entity of which Mr. Gabelli serves. |
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Page 10 of 17 – SEC Filing
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Page 11 of 17 – SEC Filing
The following sets forth as to each of the executive officers and directors of the undersigned: his name; his business address; his present principal occupation or employment and the name, principal business and address of any corporation or other organization in which such employment is conducted. Unless otherwise specified, the principal employer of each such individual is GAMCO Asset Management Inc., Gabelli Funds, LLC, Gabelli & Company Investment Advisers, Inc., G.research, LLC, Teton Advisors, Inc., Associated Capital Group, Inc. or GAMCO Investors, Inc., the business address of each of which is One Corporate Center, Rye, New York 10580, and each such individual identified below is a citizen of the United States. To the knowledge of the undersigned, during the last five years, no such person has been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors), and no such person was a party to a civil proceeding of a judicial or administrative body of competent jurisdiction as a result of which he was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities law or finding any violation with respect to such laws except as reported in Item 2(d) and (e) of this Schedule 13D. |
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Page 12 of 17 – SEC Filing
GAMCO Investors, Inc. Directors: | |||
Edwin L. Artzt Raymond C. Avansino Leslie B. Daniels | Former Chairman and Chief Executive Officer Procter & Gamble Company 900 Adams Crossing Cincinnati, OH 45202 Chairman & Chief Executive Officer E.L. Wiegand Foundation 165 West Liberty Street Reno, NV 89501 Director c/o GAMCO Investors, Inc. One Corporate Center Rye, NY 10580 | ||
Mario J. Gabelli Elisa M. Wilson | Chief Executive Officer and Chief Investment Officer of GGCP, Inc. Chairman & Chief Executive Officer of GAMCO Investors, Inc. Executive Chairman & Chief Executive Officer of Associated Capital Group, Inc. Director/Trustee of all registered investment companies advised by Gabelli Funds, LLC. Director c/o GAMCO Investors, Inc. One Corporate Center Rye, NY 10580 | ||
Eugene R. McGrath | Former Chairman and Chief Executive Officer Consolidated Edison, Inc. 4 Irving Place New York, NY 10003 | ||
Robert S. Prather | President & Chief Executive Officer Heartland Media, LLC 1843 West Wesley Road Atlanta, GA 30327 | ||
Officers: | |||
Mario J. Gabelli | Chairman and Chief Executive Officer | ||
Henry G. Van der Eb Bruce N. Alpert Agnes Mullady Kevin Handwerker | Senior Vice President Senior Vice President Senior Vice President Executive Vice President, General Counsel and Secretary | ||
GAMCO Asset Management Inc. Directors: | |||
Douglas R. Jamieson Regina M. Pitaro William S. Selby | |||
Officers: | |||
Mario J. Gabelli | Chief Executive Officer and Chief Investment Officer – Value Portfolios | ||
Douglas R. Jamieson David Goldman | President, Chief Operating Officer and Managing Director General Counsel, Secretary & Chief Compliance Officer | ||
Gabelli Funds, LLC Officers: | |||
Mario J. Gabelli | Chief Investment Officer – Value Portfolios | ||
Bruce N. Alpert | Executive Vice President and Chief Operating Officer | ||
Agnes Mullady | President and Chief Operating Officer – Open End Fund Division | ||
David Goldman | General Counsel | ||
Gabelli Foundation, Inc. Officers: | |||
Mario J. Gabelli | Chairman, Trustee & Chief Investment Officer | ||
Elisa M. Wilson Marc Gabelli Matthew R. Gabelli Michael Gabelli | President Trustee Trustee Trustee | ||
MJG-IV Limited Partnership Officers: | |||
Mario J. Gabelli | General Partner |
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Page 13 of 17 – SEC Filing
GGCP, Inc. Directors: | ||
Mario J. Gabelli | Chief Executive Officer and Chief Investment Officer of GGCP, Inc. Chairman & Chief Executive Officer of GAMCO Investors, Inc. Executive Chairman & Chief Executive Officer of Associated Capital Group, Inc. Director/Trustee of all registered investment companies advised by Gabelli Funds, LLC. | |
Marc Gabelli | President – GGCP, Inc. | |
Matthew R. Gabelli | Vice President – Trading G.research, Inc. One Corporate Center Rye, NY 10580 | |
Michael Gabelli | President & COO Gabelli & Partners, LLC One Corporate Center Rye, NY 10580 | |
Frederic V. Salerno | Chairman Former Vice Chairman and Chief Financial Officer Verizon Communications | |
Vincent S. Tese | Executive Chairman – FCB Financial Corp | |
Officers: | ||
Mario J. Gabelli | Chief Executive Officer and Chief Investment Officer | |
Marc Gabelli | President | |
Silvio A. Berni | Vice President, Assistant Secretary and Controller | |
GGCP Holdings LLC Members: GGCP, Inc. Mario J. Gabelli | Manager and Member Member |
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Page 14 of 17 – SEC Filing
Teton Advisors, Inc. Directors: | |
Stephen G. Bondi Nicholas F. Galluccio Vincent J. Amabile John Tesoro | Chairman of the Board Chief Executive Officer and President |
Officers: | |
Nicholas F. Galluccio Michael J. Mancuso Tiffany Hayden | See above Chief Financial Officer Secretary |
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Page 15 of 17 – SEC Filing
Associated Capital Group, Inc. Directors: | |
Mario J. Gabelli | Chief Executive Officer and Chief Investment Officer of GGCP, Inc. Chairman & Chief Executive Officer of GAMCO Investors, Inc. Executive Chairman of Associated Capital Group, Inc. Director/Trustee of all registered investment companies advised by Gabelli Funds, LLC. |
Richard L. Bready | Former Chairman and Chief Executive Officer Nortek, Inc. 50 Kennedy Plaza Providence, RI 02903 |
Douglas R. Jamieson | President and Chief Executive Officer |
Bruce Lisman | Former Chairman – JP Morgan – Global Equity Division |
Daniel R. Lee | Chief Executive Officer Full House Resorts, Inc. 4670 South Ford Apache Road, Suite 190 Las Vegas, NV 89147 |
Salvatore F. Sodano | Vice Chairman of the Board |
Frederic V. Salerno | See above |
Officers: | |
Mario J. Gabelli Douglas R. Jamieson Patrick Dennis Kevin Handwerker David Fitzgerald | Executive Chairman President and Chief Executive Officer Executive Vice President and Chief Financial Officer Executive Vice President, General Counsel and Secretary Assistant Secretary |
Gabelli & Company Investment Advisers, Inc. | |
Directors: | |
Douglas R. Jamieson |
Officers: | |
Douglas R. Jamieson Patrick Dennis Kevin Handwerker David Fitzgerald | Chief Executive Officer and President Executive Vice President, Chief Financial Officer Executive Vice President, General Counsel and Secretary Assistant Secretary |
G.research, LLC | |
Officers: | |
Cornelius V. McGinity Patrick Dennis Maria Gigi | President Executive Vice President and Chief Financial Officer Controller and Financial Operations Principal |
Bruce N. Alpert Douglas R. Jamieson Kevin Handwerker David Fitzgerald Josephine D. LaFauci | Vice President Secretary Assistant Secretary Assistant Secretary Chief Compliance Officer |
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Page 16 of 17 – SEC Filing
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Page 17 of 17 – SEC Filing
MARIO J. GABELLI GGCP, INC. MJG ASSOCIATES, INC. GABELLI FOUNDATION, INC. MJG-IV LIMITED PARTNERSHIP By:/s/ David Goldman David Goldman Attorney-in-Fact | |
TETON ADVISORS, INC. GABELLI FUNDS, LLC By: /s/ David Goldman David Goldman General Counsel -Gabelli Funds, LLC Counsel-Teton Advisors, Inc. | |
GAMCO INVESTORS, INC. By:/s/ Kevin Handwerker Kevin Handwerker General Counsel & Secretary – GAMCO Investors, Inc. | |
ASSOCIATED CAPITAL GROUP, INC. GAMCO ASSET MANAGEMENT INC. GABELLI & COMPANY INVESTMENT ADVISERS, INC. G.RESEARCH, LLC. By:/s/ Douglas R. Jamieson Douglas R. Jamieson President & Chief Executive Officer – Associated Capital Group, Inc. President – GAMCO Asset Management Inc. Vice President – Gabelli & Company Investment Advisers, Inc. Secretary – G.research, LLC. |