8-K 1 form8k.htm FORM 8-K, DATED FEBRUARY 1, 2018

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) February 1, 2018
 
 
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.)
 
 
 
One Corporate Center, Rye, NY
 
 
 
10580
(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.


Item 8.01
Other Events
 
On February 1, 2018, Associated Capital Group, Inc. issued a press release announcing the commencement of an offer to exchange up to 1 million shares of its Class A common stock for shares of Class A common stock of GAMCO Investors, Inc. that it beneficially owns. A copy of the press release is attached as Exhibit 99.1 to this Current Report on Form 8-K and is incorporated herein by reference.
 
Item 9.01
 
Financial Statements and Exhibits.

  (d) Exhibits
 
Exhibits 99.1
Associated Capital Group, Inc. press release dated February 1, 2018
 
Exhibit Index
 
Exhibit No.
 
Associated Capital Group, Inc. press release dated February 1, 2018
 

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/ Francis J. Conroy
 
Francis J. Conroy
Interim Chief Financial Officer
 
Date: February 2, 2018