0000807249-21-000114.txt : 20210617 0000807249-21-000114.hdr.sgml : 20210617 20210617172004 ACCESSION NUMBER: 0000807249-21-000114 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180808 FILED AS OF DATE: 20210617 DATE AS OF CHANGE: 20210617 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: JAMIESON DOUGLAS R CENTRAL INDEX KEY: 0001185526 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37387 FILM NUMBER: 211025835 MAIL ADDRESS: STREET 1: C/O GAMCO INVESTORS, INC. STREET 2: ONE CORPORATE CENTER CITY: RYE STATE: NY ZIP: 10580 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Associated Capital Group, Inc. CENTRAL INDEX KEY: 0001642122 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 191 MASON STREET CITY: GREENWICH STATE: CT ZIP: 06830 BUSINESS PHONE: 914-921-5135 MAIL ADDRESS: STREET 1: 191 MASON STREET CITY: GREENWICH STATE: CT ZIP: 06830 FORMER COMPANY: FORMER CONFORMED NAME: Gabelli Securities Group, Inc. DATE OF NAME CHANGE: 20150512 4 1 form4.xml X0306 4 2018-08-08 0001642122 Associated Capital Group, Inc. AC 0001185526 JAMIESON DOUGLAS R C/O GAMCO INVESTORS, INC. ONE CORPORATE CENTER RYE NY 10580 true true President & CEO Class A Common Stock 14948 D Class B Common Stock 29471 D Phantom RSA 0 2018-08-08 4 A 0 14000 35.12 A Class A Common Stock 14000 14000 D Phantom RSA 0 2020-12-18 4 A 0 14000 36.09 A Class A Common Stock 14000 28000 D Phantom RSA 0 2021-05-20 4 A 0 32000 36.32 A Class A Common Stock 32000 60000 D Each phantom RSA represents the right to receive the cash value of one share of Associated Capital Group, Inc. Class A common stock. Phantom RSAs are awarded pursuant to the Issuer's Stock Award and Incentive Plan and are payable in cash upon vesting. Thirty percent of these phantom RSAs vest after three years from the date of the award and the remaining seventy percent vest after five years from the date of the award. /s/ Douglas R. Jamieson 2021-06-17