0000807249-19-000159.txt : 20190905 0000807249-19-000159.hdr.sgml : 20190905 20190905160327 ACCESSION NUMBER: 0000807249-19-000159 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190904 FILED AS OF DATE: 20190905 DATE AS OF CHANGE: 20190905 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: 191077223 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: 191077224 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: 191077225 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 form4.xml X0306 4 2019-09-04 0001642122 Associated Capital Group, Inc. AC 0001185533 GABELLI MARIO J C/O GAMCO INVESTORS, INC ONE CORPORATE CENTER RYE NY 10580 true true true Executive Chairman 0001238894 GGCP, INC. 140 GREENWICH AVENUE GREENWICH CT 06830 true 0001493460 GGCP Holdings LLC 140 GREENWICH AVENUE GREENWICH CT 06830 true Class A Common Stock 2019-09-04 4 P 0 1116 34.1748 A 20787 I By: GGCP, Inc. Class A Common Stock 2019-09-05 4 P 0 2200 34.8569 A 22987 I By: GGCP, Inc. Class B Common Stock Class A Common Stock 18765673 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 Executive Chairman of Associated Capital Group, Inc. ("AC") and controls a majority of AC's voting power through his direct ownership of AC 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 AC'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 341,932 shares of the Issuer's Class B Common Stock directly. /s/ Douglas R. Jamieson, Attorney-in-Fact for MARIO J. GABELLI, GGCP, INC. and GGCP HOLDINGS, LLC 2019-09-05