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