SEC Form SC 13D/A filed by Kaman Corporation (Amendment)
1
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Names of reporting persons
I.R.S. identification nos. of above persons (entities only)
Gabelli Funds, LLC
I.D. No. 13-4044523
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2
|
Check the appropriate box if a member of a group (SEE INSTRUCTIONS) (a)
(b)
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3
|
Sec use only
|
||
4
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Source of funds (SEE INSTRUCTIONS)
00-Funds of investment advisory clients
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||
5
|
Check box if disclosure of legal proceedings is required pursuant to items 2 (d) or 2 (e)
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6
|
Citizenship or place of organization
New York
|
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Number Of
Shares
Beneficially
Owned
By Each
Reporting
Person
With
|
: 7
:
:
:
|
Sole voting power
893,100 (Item 5)
|
|
: 8
:
:
:
|
Shared voting power
None
|
||
: 9
:
:
:
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Sole dispositive power
893,100 (Item 5)
|
||
:10
:
:
:
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Shared dispositive power
None
|
||
11
|
Aggregate amount beneficially owned by each reporting person
893,100 (Item 5)
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||
12
|
Check box if the aggregate amount in row (11) excludes certain shares
(SEE INSTRUCTIONS)
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||
13
|
Percent of class represented by amount in row (11)
3.19%
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||
14
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Type of reporting person (SEE INSTRUCTIONS)
IA, CO
|
1
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Names of reporting persons
I.R.S. identification nos. of above persons (entities only)
GAMCO Asset Management Inc. I.D. No. 13-4044521
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2
|
Check the appropriate box if a member of a group (SEE INSTRUCTIONS) (a)
(b)
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3
|
Sec use only
|
||
4
|
Source of funds (SEE INSTRUCTIONS)
00-Funds of investment advisory clients
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||
5
|
Check box if disclosure of legal proceedings is required pursuant to items 2 (d) or 2 (e)
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6
|
Citizenship or place of organization
New York
|
||
Number Of
Shares
Beneficially
Owned
By Each
Reporting
Person
With
|
: 7
:
:
:
|
Sole voting power
2,470,450 (Item 5)
|
|
: 8
:
:
:
|
Shared voting power
None
|
||
: 9
:
:
:
|
Sole dispositive power
2,492,450 (Item 5)
|
||
:10
:
:
:
|
Shared dispositive power
None
|
||
11
|
Aggregate amount beneficially owned by each reporting person
2,492,450 (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)
8.90%
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||
14
|
Type of reporting person (SEE INSTRUCTIONS)
IA, CO
|
1
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Names of reporting persons
I.R.S. identification nos. of above persons (entities only)
Teton Advisors, Inc. I.D. No. 13-4008049
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2
|
Check the appropriate box if a member of a group (SEE INSTRUCTIONS) (a)
(b)
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3
|
Sec use only
|
||
4
|
Source of funds (SEE INSTRUCTIONS)
00 – Funds of investment advisory clients
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||
5
|
Check box if disclosure of legal proceedings is required pursuant to items 2 (d) or 2 (e)
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6
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Citizenship or place of organization
Delaware
|
||
Number Of
Shares
Beneficially
Owned
By Each
Reporting
Person
With
|
: 7
:
:
:
|
Sole voting power
140,830 (Item 5)
|
|
: 8
:
:
:
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Shared voting power
None
|
||
: 9
:
:
:
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Sole dispositive power
140,830 (Item 5)
|
||
:10
:
:
:
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Shared dispositive power
None
|
||
11
|
Aggregate amount beneficially owned by each reporting person
140,830 (Item 5)
|
||
12
|
Check box if the aggregate amount in row (11) excludes certain shares
(SEE INSTRUCTIONS)
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||
13
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Percent of class represented by amount in row (11)
0.50%
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||
14
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Type of reporting person (SEE INSTRUCTIONS)
IA, CO
|
1
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Names of reporting persons
I.R.S. identification nos. of above persons (entities only)
MJG Associates, Inc. I.D. No. 06-1304269
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2
|
Check the appropriate box if a member of a group (SEE INSTRUCTIONS) (a)
(b)
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3
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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)
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6
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Citizenship or place of organization
Connecticut
|
||
Number Of
Shares
Beneficially
Owned
By Each
Reporting
Person
With
|
: 7
:
:
:
|
Sole voting power
7,800 (Item 5)
|
|
: 8
:
:
:
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Shared voting power
None
|
||
: 9
:
:
:
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Sole dispositive power
7,800 (Item 5)
|
||
:10
:
:
:
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Shared dispositive power
None
|
||
11
|
Aggregate amount beneficially owned by each reporting person
7,800 (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)
0.03%
|
||
14
|
Type of reporting person (SEE INSTRUCTIONS)
CO
|
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
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2
|
Check the appropriate box if a member of a group (SEE INSTRUCTIONS) (a)
(b)
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3
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Sec use only
|
||
4
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Source of funds (SEE INSTRUCTIONS)
00 – Client Funds
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||
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
766 (Item 5)
|
|
: 8
:
:
:
|
Shared voting power
None
|
||
: 9
:
:
:
|
Sole dispositive power
766 (Item 5)
|
||
:10
:
:
:
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Shared dispositive power
None
|
||
11
|
Aggregate amount beneficially owned by each reporting person
766 (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)
0.00%
|
||
14
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Type of reporting person (SEE INSTRUCTIONS)
HC, CO, IA
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1
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Names of reporting persons
I.R.S. identification nos. of above persons (entities only)
Gabelli Foundation, Inc. I.D. No. 94-2975159
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2
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Check the appropriate box if a member of a group (SEE INSTRUCTIONS) (a)
(b)
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3
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Sec use only
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4
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Source of funds (SEE INSTRUCTIONS)
WC
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5
|
Check box if disclosure of legal proceedings is required pursuant to items 2 (d) or 2 (e)
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6
|
Citizenship or place of organization
NV
|
||
Number Of
Shares
Beneficially
Owned
By Each
Reporting
Person
With
|
: 7
:
:
:
|
Sole voting power
8,000 (Item 5)
|
|
: 8
:
:
:
|
Shared voting power
None
|
||
: 9
:
:
:
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Sole dispositive power
8,000 (Item 5)
|
||
:10
:
:
:
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Shared dispositive power
None
|
||
11
|
Aggregate amount beneficially owned by each reporting person
8,000 (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)
0.03%
|
||
14
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Type of reporting person (SEE INSTRUCTIONS)
00-Private Foundation
|
1
|
Names of reporting persons
I.R.S. identification nos. of above persons (entities only)
GGCP, Inc. I.D. No.
13-3056041
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2
|
Check the appropriate box if a member of a group (SEE INSTRUCTIONS) (a)
(b)
|
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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
|
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
|
1
|
Names of reporting persons
I.R.S. identification nos. of above persons (entities only)
GAMCO Investors, Inc.
I.D. No. 13-4007862
|
||
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
Delaware
|
||
Number Of
Shares
Beneficially
Owned
By Each
Reporting
Person
With
|
: 7
:
:
:
|
Sole voting power
500 (Item 5)
|
|
: 8
:
:
:
|
Shared voting power
None
|
||
: 9
:
:
:
|
Sole dispositive power
500 (Item 5)
|
||
:10
:
:
:
|
Shared dispositive power
None
|
||
11
|
Aggregate amount beneficially owned by each reporting person
500 (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
|
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
300 (Item 5)
|
|
: 8
:
:
:
|
Shared voting power
None
|
||
: 9
:
:
:
|
Sole dispositive power
300 (Item 5)
|
||
:10
:
:
:
|
Shared dispositive power
None
|
||
11
|
Aggregate amount beneficially owned by each reporting person
300 (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)
IN
|
Name
|
Common Shares
|
% of Common
Shares
|
Common Shares Plus
Notes converted
|
% of
Common Shares Plus Notes converted
|
GAMCO
|
2,492,450
|
8.90%
|
2,492,450
|
8.90%
|
Gabelli Funds
|
893,100
|
3.19%
|
893,100
|
3.19%
|
MJG Associates
|
7,800
|
0.03%
|
7,800
|
0.03%
|
Teton Advisors
|
140,830
|
0.50%
|
140,830
|
0.50%
|
GCIA
|
0
|
0.00%
|
766
|
0.00%
|
Foundation
|
8,000
|
0.03%
|
8,000
|
0.03%
|
GBL
|
500
|
0.00%
|
500
|
0.00%
|
Mario Gabelli
|
300
|
0.00%
|
300
|
0.00%
|
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, G.research, LLC, Teton
Advisors, LLC, or GAMCO Investors, Inc., the business address of each of which is One Corporate Center, Rye, New York 10580, or Gabelli & Company Investment Advisers, Inc. or Associated Capital Group, Inc., the business address of each of
which is 191 Mason Street, Greenwich, CT 06830 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.
|
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
Operating Partner
AE Industrial Partners, LP
2500 N. Military Trail, Suite 470
Boca Raton, FL 33431
|
||
Mario J. Gabelli
Elisa M. Wilson
Douglas R. Jamieson
|
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.
Director
c/o GAMCO Investors, Inc.
One Corporate Center
Rye, NY 10580
President and Chief Executive Officer of Associated Capital Group, Inc.
President, Chief Operating Officer and Managing Director of GAMCO Asset Management Inc.
|
||
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
|
||
Agnes Mullady
|
Former Senior Vice President of GAMCO Investors, Inc.
|
||
Alexis Glick
|
Former Chief Executive Officer of GENYOUth
|
||
Officers:
|
|||
Mario J. Gabelli
|
Chairman and Chief Executive Officer
|
||
Peter D. Goldstein
Kieran Caterina
|
General Counsel
Chief Accounting Officer
|
||
GAMCO Asset Management Inc.
Directors:
|
|||
Douglas R. Jamieson
Regina M. Pitaro
Paul Swirbul
Christopher Desmarais
|
|||
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
|
||
David Goldman
|
Vice President, Corporate Development and General Counsel
|
||
Richard Walz
|
Chief Compliance Officer
|
||
Kieran Caterina
|
Chief Accounting Officer
|
||
John Ball
|
Senior Vice President, Fund Administration
|
||
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
|
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 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, LLC
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
|
|
Elisa M. Wilson
|
Director
|
|
Officers:
|
||
Mario J. Gabelli
|
Chief Executive Officer and Chief Investment Officer
|
|
Marc Gabelli
|
President
|
|
GGCP Holdings LLC
Members:
GGCP, Inc.
Mario J. Gabelli
|
Manager and Member
Member
|
Teton Advisors, LLC
Directors:
|
|
Marc Gabelli
Vincent J. Amabile
Stephen G. Bondi, CPA
Aaron J. Feingold, M.D.
Nicholas F. Galluccio
Kevin M. Keeley
James C. Abbott, CFA, CAIA
Herve D. Francois
Jason D. Lamb
|
Chief Executive Officer & Chairman of the Board
Founder- Amabile Partners
Chief Financial Officer – Mittleman Brothers, LLC
President and Founder – Raritan Bay Cardiology Group
Chairman of Teton Advisors, LLC
President & Executive Chairman – Keeley Teton Advisors, LLC
Former Chairman and CEO of Carillon Tower Advisors
Multifamily real estate investors
Special advisor to the LGL Systems Acquisition Corporation
|
Officers:
|
|
Marc Gabelli
Patrick B. Huvane, CPA, CFA
Casey Haars
Tiffany Hayden
|
See above
Chief Financial Officer
Controller
Chief Compliance Officer
|
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.
|
Marc Gabelli
|
President – GGCP, Inc.
|
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
|
Richard T. Prins
|
Former Partner
Skadden, Arps, Slate, Meagher & Flom LLP
|
Salvatore F. Sodano
|
Vice Chairman – Retired
Broadridge Financial Solutions
|
Frederic V. Salerno
|
See above
|
Elisa M. Wilson
|
Director
|
Officers:
|
|
Mario J. Gabelli
Douglas R. Jamieson
Patrick Huvane
Ian McAdams
Peter D. Goldstein
David Goldman
|
Executive Chairman
President and Chief Executive Officer
Interim Co-Chief Financial Officer
Interim Co-Chief Financial Officer
Chief Legal Officer
General Counsel
|
Gabelli & Company Investment Advisers, Inc.
|
|
Directors:
|
|
Douglas R. Jamieson
|
Officers:
|
|
Douglas R. Jamieson
John Givissis
Craig A. Weynand
|
Chief Executive Officer and President
Controller
Chief Compliance Officer
|
G.research, LLC
|
|
Officers:
|
|
Cornelius V. McGinity
|
Office of the Chairman
|
Vincent Amabile
|
President
|
Bernard Frize
Joseph Fernandez
|
Chief Compliance Officer
Controller and Financial and Operations Principal
|