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Associated Capital Group, Inc. – ‘8-K’ for 1/6/21

On: Wednesday, 1/6/21, at 10:09am ET · For: 1/6/21 · Accession #: 1140361-21-311 · File #: 1-37387

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

 1/06/21  Associated Capital Group, Inc.    8-K:5,9     1/06/21   11:171K                                   Edgarfilings Ltd.

Current Report — Form 8-K
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 8-K         Current Report                                      HTML     24K 
 2: EX-99.1     Miscellaneous Exhibit                               HTML     10K 
 7: R1          Document and Entity Information                     HTML     48K 
 9: XML         IDEA XML File -- Filing Summary                      XML     12K 
 6: XML         XBRL Instance -- brhc10018612_8k_htm                 XML     15K 
 8: EXCEL       IDEA Workbook of Financial Reports                  XLSX      6K 
 4: EX-101.LAB  XBRL Labels -- ac-20210106_lab                       XML     65K 
 5: EX-101.PRE  XBRL Presentations -- ac-20210106_pre                XML     47K 
 3: EX-101.SCH  XBRL Schema -- ac-20210106                           XSD     15K 
10: JSON        XBRL Instance as JSON Data -- MetaLinks               14±    21K 
11: ZIP         XBRL Zipped Folder -- 0001140361-21-000311-xbrl      Zip     12K

‘8-K’ — Current Report

This is an HTML Document rendered as filed. [ Alternative Formats ]

iX: C:

i false i 001-37387 i 000164212200016421222021-01-062021-01-06

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

FORM i 8-K

CURRENT REPORT

Pursuant to Section 13 or 15(d) of The

Securities Exchange Act of 1934

Date of Report (Date of earliest event reported) i January 6, 2021

i ASSOCIATED CAPITAL GROUP, INC.

(Exact name of registrant as specified in its charter)

i Delaware	1-37387	i 47-3965991
(State or other jurisdiction of incorporation)	(Commission File Number)	(IRS Employer Identification No.)

i 191 Mason Street, i Greenwich, i CT		i 06830

(Address of principal executive offices)		(Zip Code)

Registrant's telephone number, including area code ( i 203) i 629-9595

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2 below):

i ☐	Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

i ☐	Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

i ☐	Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

i ☐	Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (240.12b-2 of this chapter).

Emerging growth company i ☒

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. i ☒

Securities registered pursuant to Section 12(b) of the Act:

Title of each class	Trading Symbol(s)	Name of each exchange on which registered
i Class A Common Stock, par value $0.001 per share	i AC	i New York Stock Exchange

Item 5.02

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.

On January 4, 2021, Associated Capital Group, Inc. (“AC”) announced that Timothy H. Schott 51 has been named Executive Vice President – Finance & Chief Financial Officer of Associated Capital Group and in such role will serve as AC’s principal accounting officer. Mr. Schott served a Principal Accounting Officer at Tiptree, Inc. from 2016 to 2020 where he was instrumental in the transformation of the company’s accounting, tax and internal controls. From 2011 to 2016 Mr. Schott served as Director of Accounting Policy at Lazard Ltd. where he was responsible for the review of all of Lazard’s GAAP regulatory accounting filings. From 2007 to 2011 Mr. Schott was a partner at Deloitte & Touche.

Item 9.01

Financial Statements and Exhibits.

(d)

Exhibits

99.1

Associated Capital Group’s Press Release, dated January 4, 2021.

SIGNATURE

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

Associated Capital Group, Inc.

By: /s/ Kenneth D. Masiello

Kenneth D. Masiello

Chief Accounting Officer

Date: January 6, 2021

Dates Referenced Herein and Documents Incorporated by Reference

This ‘8-K’ Filing	Date	Other Filings

Filed on / For Period end:	1/6/21
	1/4/21	3
		List all Filings

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Filing Submission 0001140361-21-000311 – Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)