8-K
Associated Capital Group, Inc. (ACGP)
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<br><br> <br>FOR | VOTES<br><br> <br>WITHHELD | BROKER<br><br> <br>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<br><br> <br>FOR | VOTES<br><br> <br>AGAINST | ABSTAINED | BROKER<br><br> <br>NON-VOTES |
| --- | --- | --- | --- |
| 191,370,271 | 120,220 | 660,329 | 0 |
| (3) | Approval of the advisory vote on named executive officer compensation: | ||
| --- | --- | ||
| VOTES<br><br> <br>FOR | VOTES<br><br> <br>AGAINST | ABSTAINED | BROKER<br><br> <br>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