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Associated Capital Group AMENDMENT NO. 2 (Activist Acquisition of More Than 5% of Shares)

2017-01-11 sec.gov
Unassociated Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 2)* ASSOCIATED CAPITAL GROUP, INC. (Name of Issuer) CLASS A COMMON STOCK, $.001 PAR VALUE (Title of Class of Securities) 045528106 (CUSIP Number) Philip M. Halpern, Esq. Collier, Halpern, Newberg & Nolletti, LLP One North Lexington Avenue White Plains, New York 10601 (914) 684-6800 (Name, Address and Telephone Number of Person Autho

Associated Capital Group 3D/A (Activist Acquisition of More Than 5% of Shares)

2017-01-04 sec.gov
  SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1) Associated Capital Group, Inc. (Name of Issuer) Class A Common Stock (Title of Class of Securities) _______045528106_________ (CUSIP Number) Associated Capital Group, Inc. One Corporate Center Rye, New York 10580-1435 (203) 629-9595 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) ______________________December 30, 201

Associated Capital Group FORM 8-K, DATED DECEMBER 30, 2016 (Current Report/Significant Event)

2017-01-04 sec.gov
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549     FORM 8-K   CURRENT REPORT   Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934   Date of Report (Date of earliest event reported) December 30, 2016     ASSOCIATED CAPITAL GROUP, INC. (Exact name of registrant as specified in its charter)   Delaware   1-37387   47-3965991 (State or other jurisdiction of incorporation)   (Commission File Number)   (IRS Employer Identification No.

Associated Capital Group 3G (Passive Acquisition of More Than 5% of Shares)

2016-12-27 sec.gov
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. ___)* Associated Capital Group, Inc. (Name of Issuer) Class A Common Stock (Title of Class of Securities) 045528106 (CUSIP Number) December 23, 2016 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [X] Rule 13d-1(b) [ ] Rule 13d-1(c) [ ] Rule 13d-1(d) *The rema

Associated Capital Group AMENDMENT NO. 1 (Activist Acquisition of More Than 5% of Shares)

2016-11-30 sec.gov
Unassociated Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* ASSOCIATED CAPITAL GROUP, INC. (Name of Issuer) CLASS A COMMON STOCK, $.001 PAR VALUE (Title of Class of Securities) 045528106 (CUSIP Number) Philip M. Halpern, Esq. Collier, Halpern, Newberg & Nolletti, LLP One North Lexington Avenue White Plains, New York 10601 (914) 684-6800 (Name, Address and Telephone Number of Person Authori

Associated Capital Group 3G (Passive Acquisition of More Than 5% of Shares)

2016-11-23 sec.gov
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C.  20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.   )* ASSOCIATED CAPITAL GROUP, INC. (Name of Issuer)   CLASS A COMMON STOCK, $.001 PAR VALUE (Title of Class of Securities)   045528106     (CUSIP Number)     November 11, 2016 (Date of Event Which Requires Filing of This Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed:   ☐ Rule 13d-1(b)         ☒ Rule 1

Associated Capital Group EXHIBIT 99.1, DATED NOVEMBER 14, 2016

2016-11-14 sec.gov
Exhibit 99.1     For Immediate Release:   Contact:   Douglas R. Jamieson President & CEO (203) 629-2726         Associated Capital Group’s Board Adopts Shareholder Designated Charitable Contribution Program & Approves $0.25 per share Contribution RYE, New York, November 14, 2016 – Associated Capital Group, Inc. (NYSE: AC) announced today it has adopted a Shareholder Designated Charitable Contribution program for all registered Class A and Class B shareholders.

Associated Capital Group FORM 8-K, DATED NOVEMBER 14, 2016 (Current Report/Significant Event)

2016-11-14 sec.gov
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549     FORM 8-K   CURRENT REPORT   Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934   Date of Report (Date of earliest event reported) November 14, 2016     ASSOCIATED CAPITAL GROUP, INC. (Exact name of registrant as specified in its charter)   Delaware   1-37387   47-3965991 (State or other jurisdiction of incorporation)   (Commission File Number)   (IRS Employer Identification No.

Associated Capital Group EXHIBIT 99.1, DATED NOVEMBER 10, 2016

2016-11-10 sec.gov
Exhibit 99.1     For Immediate Release:   Contact:   Douglas R. Jamieson President & CEO (203) 629-2726 Associated-Capital-Group.com         ASSOCIATED CAPITAL GROUP, INC. Announces Changes to Management Team Rye, New York, November 10, 2016 – Associated Capital Group, Inc. (AC:NYSE) (“AC” or “the Company”) announces management and organizational changes to further implement its strategic growth plans.

Associated Capital Group FORM 8-K, DATED NOVEMBER 4, 2016 (Current Report/Significant Event)

2016-11-10 sec.gov
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549     FORM 8-K   CURRENT REPORT   Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934   Date of Report (Date of earliest event reported) November 4, 2016     ASSOCIATED CAPITAL GROUP, INC. (Exact name of registrant as specified in its charter)   Delaware   1-37387   47-3965991 (State or other jurisdiction of incorporation)   (Commission File Number)   (IRS Employer Identification No.

Associated Capital Group FORM 8-K, DATED NOVEMBER 9, 2016 (Current Report/Significant Event)

2016-11-09 sec.gov
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549     FORM 8-K   CURRENT REPORT   Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934   Date of Report (Date of earliest event reported) November 9, 2016     ASSOCIATED CAPITAL GROUP, INC. (Exact name of registrant as specified in its charter)   Delaware   1-37387   47-3965991 (State or other jurisdiction of incorporation)   (Commission File Number)   (IRS Employer Identification No.

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BRIEF-ARI Network Services entered into a second loan modification agreement dated Nov 1

2016-11-04 feeds.reuters
* ARI Network Services Inc- On November 1, 2016, ARI Network Services, Inc. entered into a second loan modification agreement dated Nov 1, 2016

Associated Capital Group (Quarterly Report)

2016-11-04 sec.gov
  SECURITIES & EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2016 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from ___ to ___ Commission File No. 001-37387 ASSOCIATED CAPITAL GROUP, INC.

Associated Capital Group EXHIBIT 99.1, DATED NOVEMBER 4, 2016

2016-11-04 sec.gov
Exhibit 99.1     For Immediate Release:   Contact:   Patrick Dennis Chief Financial Officer (203) 629-9595 Associated-Capital-Group.com         ASSOCIATED CAPITAL GROUP, INC. Reports Third Quarter Results   · Assets Under Management (AUM) of $1.25 billion at September 30, 2016, versus $1.19 billion at June 30, 2016 · Diluted EPS increases to $0.16 per share for the quarter versus a loss of $0.30 per share for the comparable quarter in 2015 · GAMCO Note reduced to $100 million as of September 30,

Associated Capital Group FORM 8-K, DATED NOVEMBER 4, 2016 (Current Report/Significant Event)

2016-11-04 sec.gov
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549     FORM 8-K   CURRENT REPORT   Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934   Date of Report (Date of earliest event reported) November 4, 2016     ASSOCIATED CAPITAL GROUP, INC. (Exact name of registrant as specified in its charter)   Delaware   1-37387   47-3965991 (State or other jurisdiction of incorporation)   (Commission File Number)   (IRS Employer Identification No.

Associated Capital Group FORM 8-K, DATED SEPTEMBER 2, 2016 (Current Report/Significant Event)

2016-09-07 sec.gov
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549     FORM 8-K   CURRENT REPORT   Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934   Date of Report (Date of earliest event reported) September 2, 2016     ASSOCIATED CAPITAL GROUP, INC. (Exact name of registrant as specified in its charter)   Delaware   1-37387   47-3965991 (State or other jurisdiction of incorporation)   (Commission File Number)   (IRS Employer Identification No.

Associated Capital Group FORM 8-K, DATED AUGUST 12, 2016 (Current Report/Significant Event)

2016-08-17 sec.gov
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549     FORM 8-K   CURRENT REPORT   Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934   Date of Report (Date of earliest event reported) August 12, 2016     ASSOCIATED CAPITAL GROUP, INC. (Exact name of registrant as specified in its charter)   Delaware   1-37387   47-3965991 (State or other jurisdiction of incorporation)   (Commission File Number)   (IRS Employer Identification No.

Associated Capital Group FORM 8-K, DATED AUGUST 9, 2016 (Current Report/Significant Event)

2016-08-12 sec.gov
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549     FORM 8-K   CURRENT REPORT   Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934   Date of Report (Date of earliest event reported) August 9, 2016     ASSOCIATED CAPITAL GROUP, INC. (Exact name of registrant as specified in its charter)   Delaware   1-37387   47-3965991 (State or other jurisdiction of incorporation)   (Commission File Number)   (IRS Employer Identification No.

Associated Capital Group (Quarterly Report)

2016-08-05 sec.gov
  SECURITIES & EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2016 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from ___ to ___ Commission File No. 001-37387 ASSOCIATED CAPITAL GROUP, INC.

Associated Capital Group CONSENT OF DELOITTE & TOUCHE LLP, AN INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM

2016-08-05 sec.gov
  Exhibit 23.1   Consent of Independent Registered Public Accounting Firm The Board of Directors Associated Capital Group, Inc. Rye, New York We consent to the incorporation by reference in this Registration Statement on Form S-8 of our report dated March 23, 2016, relating to the consolidated financial statements of Associated Capital Group, Inc. and its subsidiaries (the “Company”) (which report expresses an unqualified opinion and includes an explanatory paragraph relating to the Company’s fi

Associated Capital Group OPINION OF OLSHAN FROME WOLOSKY LLP

2016-08-05 sec.gov
  Exhibit 5.1 August 5, 2016 Associated Capital Group, Inc. One Corporate Center Rye, New York 10580 Re: Registration Statement on Form S-8 Ladies and Gentlemen: We have acted as counsel to Associated Capital Group, Inc., a Delaware corporation (the “Company”), in connection with the filing of its registration statement on Form S-8 (the “Registration Statement”) relating to the registration of 1,450,300 shares (the “Shares”) of the Company’s Class A common stock, par value $0.

Associated Capital Group FORM OF NON-QUALIFIED STOCK OPTION AGREEMENT UNDER THE 2015 STOCK AWARD AND INCENTIVE PLAN

2016-08-05 sec.gov
  Exhibit 4.3   NON-QUALIFIED STOCK OPTION AGREEMENT THIS NON-QUALIFIED STOCK OPTION AGREEMENT (this “Agreement”) made this __ day of _________, 20__, between Associated Capital Group, Inc., a New York corporation (the “Company”), and ____________ (the “Grantee”). Pursuant to the Associated Capital Group, Inc. 2015 Stock Award and Incentive Plan (the “Plan”), the Committee has determined that the Grantee is to be awarded, on the terms and conditions set forth herein (and subject to the terms and

Associated Capital Group FORM OF RESTRICTED STOCK AWARD UNDER THE 2015 STOCK AWARD AND INCENTIVE PLAN

2016-08-05 sec.gov
  Exhibit 4.2   ASSOCIATED CAPITAL GROUP, INC. STOCK AWARD AND INCENTIVE PLAN RESTRICTED STOCK AWARD AGREEMENT THIS RESTRICTED STOCK AWARD AGREEMENT, (this “Agreement”), effective as of _________, 20__ (the “Grant Date”), is made by and between Associated Capital Group, Inc., a Delaware corporation (the “Company”), and ______________ (the “Grantee”). WHEREAS, the Company adopted the Associated Capital Group, Inc.

Associated Capital Group ASSOCIATED CAPITAL GROUP, INC. S-8, DATED AUGUST 5, 2016

2016-08-05 sec.gov
  As filed with the Securities and Exchange Commission on August 5, 2016 Registration No. 333-     UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 __________ FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 _______________________________________ Associated Capital Group, Inc. (Exact name of registrant as specified in its charter) _______________________________________________________________     Delaware 47-3965991 (State or other jurisdiction of (I.

Associated Capital Group EXHIBIT 99.1, DATED AUGUST 2, 2016

2016-08-02 sec.gov
Exhibit 99.1     For Immediate Release:   Contact:   Patrick Dennis Chief Financial Officer (203) 629-9595 Associated-Capital-Group.com         ASSOCIATED CAPITAL GROUP, INC. Reports Second Quarter Results   · Assets Under Management (AUM) of $1.19 billion at June 30, 2016, versus $1.13 billion and $1.08 billion at March 31, 2016 and December 31, 2015, respectively · Diluted EPS increases to $0.04 per share for the quarter versus $0.


CUSIP: 045528106