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GGCP Holdings LLC, et al. – ‘4’ for 4/21/20 re: Associated Capital Group, Inc.

On:  Friday, 5/29/20, at 4:14pm ET   ·   For:  4/21/20   ·   Accession #:  807249-20-133   ·   File #:  1-37387

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 5/29/20  GGCP Holdings LLC                 4                      1:11K  Associated Capital Group, Inc.    Gamco Investors Inc … al
          GGCP, Inc.
          Gabelli Mario J

Statement of Changes in Beneficial Ownership of Securities by an Insider   —   Form 4   —   SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 4           Statement of Changes in Beneficial Ownership of     HTML      3K 
                Securities by an Insider -- form4.xml/3.6


        

This ‘4’ Document is an XML Data File that may be rendered in various formats:

  Form 4    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 
 
XML Data rendering:  Statement of Changes in Beneficial Ownership of Securities by an Insider
 
                                                                                                                                                                                
<?xml version="1.0" encoding="windows-1252"?>
<ownershipDocument>
<schemaVersion> X0306 </schemaVersion>
<documentType> 4 </documentType>
<periodOfReport> 2020-04-21 </periodOfReport>
<issuer>
<issuerCik> 0001642122 </issuerCik>
<issuerName> Associated Capital Group, Inc. </issuerName>
<issuerTradingSymbol> AC </issuerTradingSymbol>
</issuer>
<reportingOwner>
<reportingOwnerId>
<rptOwnerCik> 0001185533 </rptOwnerCik>
<rptOwnerName> GABELLI MARIO J </rptOwnerName>
</reportingOwnerId>
<reportingOwnerAddress>
<rptOwnerStreet1> C/O GAMCO INVESTORS, INC </rptOwnerStreet1>
<rptOwnerStreet2> ONE CORPORATE CENTER </rptOwnerStreet2>
<rptOwnerCity> RYE </rptOwnerCity>
<rptOwnerState> NY </rptOwnerState>
<rptOwnerZipCode> 10580 </rptOwnerZipCode>
<rptOwnerStateDescription></rptOwnerStateDescription>
</reportingOwnerAddress>
<reportingOwnerRelationship>
<isDirector> true </isDirector>
<isOfficer> true </isOfficer>
<isTenPercentOwner> true </isTenPercentOwner>
<officerTitle> Executive Chairman </officerTitle>
</reportingOwnerRelationship>
</reportingOwner>
<reportingOwner>
<reportingOwnerId>
<rptOwnerCik> 0001238894 </rptOwnerCik>
<rptOwnerName> GGCP, INC. </rptOwnerName>
</reportingOwnerId>
<reportingOwnerAddress>
<rptOwnerStreet1> 191 MASON STREET </rptOwnerStreet1>
<rptOwnerStreet2></rptOwnerStreet2>
<rptOwnerCity> GREENWICH </rptOwnerCity>
<rptOwnerState> CT </rptOwnerState>
<rptOwnerZipCode> 06830 </rptOwnerZipCode>
<rptOwnerStateDescription></rptOwnerStateDescription>
</reportingOwnerAddress>
<reportingOwnerRelationship>
<isTenPercentOwner> true </isTenPercentOwner>
</reportingOwnerRelationship>
</reportingOwner>
<reportingOwner>
<reportingOwnerId>
<rptOwnerCik> 0001493460 </rptOwnerCik>
<rptOwnerName> GGCP Holdings LLC </rptOwnerName>
</reportingOwnerId>
<reportingOwnerAddress>
<rptOwnerStreet1> 191 MASON STREET </rptOwnerStreet1>
<rptOwnerStreet2></rptOwnerStreet2>
<rptOwnerCity> GREENWICH </rptOwnerCity>
<rptOwnerState> CT </rptOwnerState>
<rptOwnerZipCode> 06830 </rptOwnerZipCode>
<rptOwnerStateDescription></rptOwnerStateDescription>
</reportingOwnerAddress>
<reportingOwnerRelationship>
<isTenPercentOwner> true </isTenPercentOwner>
</reportingOwnerRelationship>
</reportingOwner>
<nonDerivativeTable>
<nonDerivativeTransaction>
<securityTitle>
<value> Class A Common Stock </value>
</securityTitle>
<transactionDate>
<value> 2020-04-21 </value>
</transactionDate>
<transactionCoding>
<transactionFormType> 4 </transactionFormType>
<transactionCode> G </transactionCode>
<equitySwapInvolved> 0 </equitySwapInvolved>
</transactionCoding>
<transactionAmounts>
<transactionShares>
<value> 10000 </value>
</transactionShares>
<transactionPricePerShare>
<value> 0 </value>
</transactionPricePerShare>
<transactionAcquiredDisposedCode>
<value> D </value>
</transactionAcquiredDisposedCode>
</transactionAmounts>
<postTransactionAmounts>
<sharesOwnedFollowingTransaction>
<value> 10000 </value>
</sharesOwnedFollowingTransaction>
</postTransactionAmounts>
<ownershipNature>
<directOrIndirectOwnership>
<value> D </value>
</directOrIndirectOwnership>
</ownershipNature>
</nonDerivativeTransaction>
<nonDerivativeTransaction>
<securityTitle>
<value> Class A Common Stock </value>
</securityTitle>
<transactionDate>
<value> 2020-04-29 </value>
</transactionDate>
<transactionCoding>
<transactionFormType> 4 </transactionFormType>
<transactionCode> G </transactionCode>
<equitySwapInvolved> 0 </equitySwapInvolved>
</transactionCoding>
<transactionAmounts>
<transactionShares>
<value> 10000 </value>
</transactionShares>
<transactionPricePerShare>
<value> 0 </value>
</transactionPricePerShare>
<transactionAcquiredDisposedCode>
<value> D </value>
</transactionAcquiredDisposedCode>
</transactionAmounts>
<postTransactionAmounts>
<sharesOwnedFollowingTransaction>
<value> 0 </value>
</sharesOwnedFollowingTransaction>
</postTransactionAmounts>
<ownershipNature>
<directOrIndirectOwnership>
<value> D </value>
</directOrIndirectOwnership>
</ownershipNature>
</nonDerivativeTransaction>
<nonDerivativeTransaction>
<securityTitle>
<value> Class A Common Stock </value>
</securityTitle>
<transactionDate>
<value> 2020-05-28 </value>
</transactionDate>
<transactionCoding>
<transactionFormType> 4 </transactionFormType>
<transactionCode> A </transactionCode>
<equitySwapInvolved> 0 </equitySwapInvolved>
<footnoteId id="F1"/>
</transactionCoding>
<transactionAmounts>
<transactionShares>
<value> 20000 </value>
</transactionShares>
<transactionPricePerShare>
<value> 0 </value>
</transactionPricePerShare>
<transactionAcquiredDisposedCode>
<value> A </value>
</transactionAcquiredDisposedCode>
</transactionAmounts>
<postTransactionAmounts>
<sharesOwnedFollowingTransaction>
<value> 20000 </value>
</sharesOwnedFollowingTransaction>
</postTransactionAmounts>
<ownershipNature>
<directOrIndirectOwnership>
<value> D </value>
</directOrIndirectOwnership>
</ownershipNature>
</nonDerivativeTransaction>
<nonDerivativeHolding>
<securityTitle>
<value> Class A Common Stock </value>
</securityTitle>
<postTransactionAmounts>
<sharesOwnedFollowingTransaction>
<value> 77165 </value>
</sharesOwnedFollowingTransaction>
</postTransactionAmounts>
<ownershipNature>
<directOrIndirectOwnership>
<value> I </value>
</directOrIndirectOwnership>
<natureOfOwnership>
<value> By: GGCP, Inc. </value>
</natureOfOwnership>
</ownershipNature>
</nonDerivativeHolding>
</nonDerivativeTable>
<derivativeTable>
<derivativeTransaction>
<securityTitle>
<value> Class B Common Stock </value>
</securityTitle>
<conversionOrExercisePrice>
<footnoteId id="F2"/>
</conversionOrExercisePrice>
<transactionDate>
<value> 2020-05-28 </value>
</transactionDate>
<transactionCoding>
<transactionFormType> 4 </transactionFormType>
<transactionCode> D </transactionCode>
<equitySwapInvolved> 0 </equitySwapInvolved>
<footnoteId id="F1"/>
</transactionCoding>
<transactionAmounts>
<transactionShares>
<value> 20000 </value>
</transactionShares>
<transactionPricePerShare>
<footnoteId id="F2"/>
</transactionPricePerShare>
<transactionAcquiredDisposedCode>
<value> D </value>
</transactionAcquiredDisposedCode>
</transactionAmounts>
<exerciseDate>
<footnoteId id="F2"/>
</exerciseDate>
<expirationDate>
<footnoteId id="F2"/>
</expirationDate>
<underlyingSecurity>
<underlyingSecurityTitle>
<value> Class A Common Stock </value>
</underlyingSecurityTitle>
<underlyingSecurityShares>
<footnoteId id="F2"/>
</underlyingSecurityShares>
</underlyingSecurity>
<postTransactionAmounts>
<sharesOwnedFollowingTransaction>
<value> 18705673 </value>
</sharesOwnedFollowingTransaction>
</postTransactionAmounts>
<ownershipNature>
<directOrIndirectOwnership>
<value> I </value>
</directOrIndirectOwnership>
<natureOfOwnership>
<value> See Footnote </value>
<footnoteId id="F3"/>
</natureOfOwnership>
</ownershipNature>
</derivativeTransaction>
</derivativeTable>
<footnotes>
<footnote id="F1"> Mr. Gabelli exchanged with the Issuer shares of Class B Common Stock for an equal number of shares of Class A Common Stock. These transactions were effected pursuant to Rule 16b-3 under the Securities Act of 1934 for the purpose of exempting such acquisition and disposition. </footnote>
<footnote id="F2"> 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. </footnote>
<footnote id="F3"> Mario J. Gabelli is the Chairman and CEO of GAMCO and controls a majority of GAMCO's voting power through his direct ownership of GAMCO 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 GAMCO'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 281,932 shares of the Issuer's Class B Common Stock directly. </footnote>
</footnotes>
<ownerSignature>
<signatureName> /s/ Douglas R. Jamieson, Attorney-In-Fact for MARIO J. GABELLI, GGCP, INC., and GGCP HOLIDNGS, LLC </signatureName>
<signatureDate> 2020-05-29 </signatureDate>
</ownerSignature>
</ownershipDocument>


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