0000807249-23-000060.txt : 20230613 0000807249-23-000060.hdr.sgml : 20230613 20230613161058 ACCESSION NUMBER: 0000807249-23-000060 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: Goldstein Peter D. CENTRAL INDEX KEY: 0001821090 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37387 FILM NUMBER: 231011333 MAIL ADDRESS: STREET 1: 249 ROYAL PALM WAY STREET 2: SUITE 503 CITY: PALM BEACH STATE: FL ZIP: 33480 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 0001821090 Goldstein Peter D. ONE CORPORATE CENTER RYE NY 10580 true Chief Legal Officer false Class A Common Stock 1694 D Phantom RSA 0 2023-05-30 4 A 0 2500 39.61 A Class A Common Stock 2500 9500 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/ Peter D. Goldstein 2023-06-13