0000807249-22-000161.txt : 20221229 0000807249-22-000161.hdr.sgml : 20221229 20221229160932 ACCESSION NUMBER: 0000807249-22-000161 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220708 FILED AS OF DATE: 20221229 DATE AS OF CHANGE: 20221229 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MCADAMS IAN J CENTRAL INDEX KEY: 0001960023 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37387 FILM NUMBER: 221498940 MAIL ADDRESS: STREET 1: 191 MASON STREET 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: 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 3 1 form3.xml X0206 3 2022-07-08 0 0001642122 Associated Capital Group, Inc. AC 0001960023 MCADAMS IAN J 191 MASON STREET GREENWICH CT 06830 true Interim Co-CFO Phantom RSA 41.7 Class A Common Stock 4500 D These phantom RSAs were awarded to the Reporting Person on August 3, 2022. 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/ Ian J. McAdams 2022-12-29