Filing Details

Accession Number:
0000807249-19-000235
Form Type:
4
Zero Holdings:
No
Publication Time:
2019-12-17 16:19:10
Reporting Period:
2019-12-16
Accepted Time:
2019-12-17 16:19:10
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1642122 Associated Capital Group Inc. AC () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1185533 J Mario Gabelli C/O Gamco Investors, Inc
One Corporate Center
Rye NY 10580
Executive Chairman No No No No
1238894 Ggcp, Inc. 140 Greenwich Avenue
Greenwich CT 06830
No No No No
1493460 Ggcp Holdings Llc 140 Greenwich Avenue
Greenwich CT 06830
No No No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Class A Common Stock Acquisiton 2019-12-16 900 $35.92 72,177 No 4 P Indirect By: GGCP, Inc.
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect By: GGCP, Inc.
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Class A Common Stock 1,000 Direct
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Class A Common Stock Class B Common Stock $0.00 0 18,765,673 Indirect
Expiration Date Amount Remaning Holdings Nature of Ownership
0 18,765,673 Indirect
Footnotes
  1. The Class B Common Stock of the Issuer is convertible at the option of the holder on a one-for-one basis into Class A Common Stock of the Issuer and has no expiration date.
  2. Mario J. Gabelli is the Executive Chairman of Associated Capital Group, Inc. ("AC") and controls a majority of AC's voting power through his direct ownership of AC common stock and his position as CEO, a Director and the controlling shareholder GGCP, Inc., which, through its intermediate subsidiary GGCP Holdings, LLC, controls a majority of the AC's voting power. Mario J. Gabelli beneficially owns 18,423,741 shares of the Issuer's Class B Common Stock through GGCP Holdings LLC and 341,932 shares of the Issuer's Class B Common Stock directly.