false 0001642122 0001642122 2024-06-04 2024-06-04
 
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) June 4, 2024
 
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.)
     
191 Mason Street, Greenwich, CT
  
06830
(Address of principal executive offices)
  
(Zip Code)
 
(203) 629-9595
(Registrant's telephone number, including area code)
 
Not applicable
(Former name or former address, if changed since last report)
 
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2 below):
 
☐
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
 
☐
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
 
☐
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
 
☐
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
 
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (240.12b-2 of this chapter).
 
Emerging growth company ☐
 
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
 
Securities registered pursuant to Section 12(b) of the Act:
 
Title of each class
Trading Symbol(s)
Name of each exchange on which registered
 
Class A Common Stock, par value $0.001 per share
AC
New York Stock Exchange
  
 
 
 
 
 
 
Item 5.07                            Submission of Matters to a Vote of Security Holders.
 
On June 4, 2024, Associated Capital Group, Inc. (the "Company") held its 2024 Annual Meeting of Shareholders (the “Meeting”). 
 
As of April 16, 2024, the record date for the Meeting, the Company had outstanding 2,461,175 shares of Class A common stock (“Class A Stock”) and 18,950,571 shares of Class B common stock (“Class B Stock”). The Class A Stock and Class B Stock vote together as a single class on all matters. Each share of Class A Stock is entitled to one vote per share and each share of Class B Stock is entitled to ten votes per share. Shares present or represented at the Meeting were 1,936,505 shares of Class A Stock and 18,461,909 shares of Class B Stock, constituting a quorum.
 
At the Meeting, the shareholders of the Company (1) elected the nine director nominees to the board of directors of the Company to serve until the 2025 Annual Meeting of Shareholders or until their respective successors are duly elected and qualified, (2) ratified the appointment of Deloitte & Touche LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2024 and (3) approved the compensation of the Company's named executive officers. 
 
Set forth below are the final voting results with respect to each matter submitted to a vote of the shareholders.
 
(1) Election of Directors:
 
NOMINEES
  
VOTES FOR
    
VOTES WITHHELD
    
BROKER NON-VOTES
  
Mario J. Gabelli
     185,945,117       324,583       285,895  
Marc Gabelli
     186,089,544       180,157       285,895  
Daniel R. Lee
     186,139,720       129,981       285,895  
Bruce M. Lisman
     186,108,448       161,253       285,895  
Frederic V. Salerno
     185,931,087       338,614       285,895  
Salvatore F. Sodano
     186,254,831       14,869       285,895  
Elisa M. Wilson
     185,971,549       298,152       285,895  
Douglas R. Jamieson
     186,268,516       1,185       285,895  
Richard T. Prins
     186,253,929       15,771       285,895  
 
(2) Ratification of appointment of Deloitte & Touche LLP:
 
VOTES FOR
    
VOTES AGAINST
    
ABSTAINED
    
BROKER NON-VOTES
  
186,554,215       1,380       -       -  
 
(3) Advisory vote on the named executive officer compensation:
 
VOTES FOR     VOTES AGAINST     ABSTAINED     BROKER NON-VOTES  
186,239,152       25,921       4,628       285,895  
 
 
 
 
 
SIGNATURE
 
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
 
Associated Capital Group, Inc.
 
By: /s/ Ian J. McAdams
Ian J. McAdams         
Chief Financial Officer
 
Date: June 5, 2024
 
 
 
v3.24.1.1.u2
Document And Entity Information
Jun. 04, 2024
Document Information [Line Items]  
Entity, Registrant Name ASSOCIATED CAPITAL GROUP, INC.
Document, Type 8-K
Document, Period End Date Jun. 04, 2024
Entity, Incorporation, State or Country Code DE
Entity, File Number 1-37387
Entity, Tax Identification Number 47-3965991
Entity, Address, Address Line One 191 Mason Street
Entity, Address, City or Town Greenwich
Entity, Address, State or Province CT
Entity, Address, Postal Zip Code 06830
City Area Code 203
Local Phone Number 629-9595
Written Communications false
Soliciting Material false
Pre-commencement Tender Offer false
Pre-commencement Issuer Tender Offer false
Entity, Emerging Growth Company false
Title of 12(b) Security Class A Common Stock, par value $0.001 per share
Trading Symbol AC
Security Exchange Name NYSE
Amendment Flag false
Entity, Central Index Key 0001642122
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