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) May 8, 2020
 
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)
 
Registrant's telephone number, including area code (203) 629-9595

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.

The annual meeting of shareholders of Associated Capital Group, Inc. (“AC”) was held on May 5, 2020. At the annual meeting: (1) eight persons were elected to serve as directors of AC (2) the appointment of Deloitte & Touche LLP as AC's independent registered public accounting firm for the year ending December 31, 2020 was ratified and (3) the advisory vote on named executive officer compensation was approved.

Set forth below, with respect to each of the matters submitted to shareholders, are the number of votes cast for or against or withheld, and the number of abstentions and broker non-votes, where applicable.

(1)
Election of Directors:

NOMINEE
VOTES
FOR
VOTES
WITHHELD
BROKER
NON-VOTES
Marc Gabelli
190,449,294
1,250,686
450,840
Mario J. Gabelli
191,108,755
591,225
450,840
Douglas R. Jamieson
191,168,919
531,061
450,840
Daniel R. Lee
191,167,993
531,987
450,840
Bruce M. Lisman
191,143,997
555,983
450,840
Frederic V. Salerno
191,132,900
567,080
450,840
Salvatore F. Sodano
191,171,227
528,753
450,840
Elisa M. Wilson
190,473,416
1,226,564
450,840

(2)
The ratification of Deloitte & Touche LLP as the Company’s independent registered public accountants for the year ending December 31, 2020:

VOTES
FOR
VOTES
AGAINST
ABSTAINED
BROKER
NON-VOTES
191,370,271
120,220
660,329
0

(3)
Approval of the advisory vote on named executive officer compensation:

VOTES
FOR
VOTES
AGAINST
ABSTAINED
BROKER
NON-VOTES
190,900,226
138,577
661,137
450,840



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/ Kenneth D. Masiello
Kenneth D. Masiello
Chief Accounting Officer

Date: May 8, 2020
 



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