0000807249-18-000117.txt : 20180615 0000807249-18-000117.hdr.sgml : 20180615 20180615153540 ACCESSION NUMBER: 0000807249-18-000117 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180615 FILED AS OF DATE: 20180615 DATE AS OF CHANGE: 20180615 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: 18902047 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: 18902048 BUSINESS ADDRESS: STREET 1: ONE CORPORATE CENTER CITY: RYE STATE: NY ZIP: 10580 BUSINESS PHONE: 9149215100 MAIL ADDRESS: STREET 1: 140 GREENWICH AVENUE 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: 18902049 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 primary_doc.xml PRIMARY DOCUMENT X0306 4 2018-06-15 0 0001642122 Associated Capital Group, Inc. AC 0001185533 GABELLI MARIO J C/O GAMCO INVESTORS, INC ONE CORPORATE CENTER RYE NY 10580 1 1 1 0 Executive Chairman 0001238894 GGCP, INC. 140 GREENWICH AVENUE GREENWICH CT 06830 0 0 1 0 0001493460 GGCP Holdings LLC 140 GREENWICH AVENUE GREENWICH CT 06830 0 0 1 0 Class A Common Stock 2018-06-15 4 G 0 8000 0 D 27000 D Class B Common Stock Class A Common Stock 18797036 I See Footnote 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 373,295 shares of the Issuer's Class B Common Stock directly. /s/ David Goldman, Attorney-in-Fact for MARIO J. GABELLI, GGCP, INC., AND GGCP HOLDINGS, LLC 2018-06-15