0000807249-23-000062.txt : 20230613 0000807249-23-000062.hdr.sgml : 20230613 20230613161343 ACCESSION NUMBER: 0000807249-23-000062 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230530 FILED AS OF DATE: 20230613 DATE AS OF CHANGE: 20230613 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Huvane Patrick CENTRAL INDEX KEY: 0001568399 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37387 FILM NUMBER: 231011353 MAIL ADDRESS: STREET 1: 780 THIRD AVENUE, 21ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 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 X0407 4 2023-05-30 0001642122 Associated Capital Group, Inc. AC 0001568399 Huvane Patrick 191 MASON STREET GREENWICH CT 06830 true Interim Co-CFO false Phantom RSA 0 2023-05-30 4 A 0 3000 39.61 A Class A Common Stock 3000 3000 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/ Patrick Huvane 2023-06-13