0000807249-20-000103.txt : 20200414
0000807249-20-000103.hdr.sgml : 20200414
20200414160457
ACCESSION NUMBER: 0000807249-20-000103
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200115
FILED AS OF DATE: 20200414
DATE AS OF CHANGE: 20200414
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: GABELLI MARIO J
CENTRAL INDEX KEY: 0001185533
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37387
FILM NUMBER: 20791400
MAIL ADDRESS:
STREET 1: C/O GAMCO INVESTORS, INC
STREET 2: ONE CORPORATE CENTER
CITY: RYE
STATE: NY
ZIP: 10580
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: GGCP, INC.
CENTRAL INDEX KEY: 0001238894
STATE OF INCORPORATION: WY
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37387
FILM NUMBER: 20791401
BUSINESS ADDRESS:
STREET 1: ONE CORPORATE CENTER
CITY: RYE
STATE: NY
ZIP: 10580
BUSINESS PHONE: 9149215100
MAIL ADDRESS:
STREET 1: 191 MASON STREET
CITY: GREENWICH
STATE: CT
ZIP: 06830
FORMER NAME:
FORMER CONFORMED NAME: GABELLI GROUP CAPITAL PARTNERS INC
DATE OF NAME CHANGE: 20030604
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: GGCP Holdings LLC
CENTRAL INDEX KEY: 0001493460
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37387
FILM NUMBER: 20791402
BUSINESS ADDRESS:
STREET 1: 140 GREENWICH AVENUE
CITY: GREENWICH
STATE: CT
ZIP: 06830
BUSINESS PHONE: 203-629-9200
MAIL ADDRESS:
STREET 1: 140 GREENWICH AVENUE
CITY: GREENWICH
STATE: CT
ZIP: 06830
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: ONE CORPORATE CENTER
CITY: RYE
STATE: NY
ZIP: 10580
BUSINESS PHONE: 914-921-5135
MAIL ADDRESS:
STREET 1: ONE CORPORATE CENTER
CITY: RYE
STATE: NY
ZIP: 10580
FORMER COMPANY:
FORMER CONFORMED NAME: Gabelli Securities Group, Inc.
DATE OF NAME CHANGE: 20150512
4
1
form4.xml
X0306
4
2020-01-15
0001642122
Associated Capital Group, Inc.
AC
0001185533
GABELLI MARIO J
C/O GAMCO INVESTORS, INC
ONE CORPORATE CENTER
RYE
NY
10580
true
true
true
Executive Chairman
0001238894
GGCP, INC.
140 GREENWICH AVENUE
GREENWICH
CT
06830
true
0001493460
GGCP Holdings LLC
140 GREENWICH AVENUE
GREENWICH
CT
06830
true
Class A Common Stock
2020-01-15
4
G
0
1000
0
D
0
D
Class A Common Stock
2020-04-14
4
A
0
20000
0
A
20000
D
Class A Common Stock
77615
I
By: GGCP, Inc.
Class B Common Stock
2020-04-14
4
D
0
20000
D
Class A Common Stock
18725673
I
See Footnote
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.
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.
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 301,932 shares of the Issuer's Class B Common Stock directly.
/s/ Douglas R. Jamieson, Attorney-In-Fact for MARIO J. GABELLI, GGCP, INC., and GGCP HOLIDNGS, LLC
2020-04-14