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