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 9, 2022

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 5.02
Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.
 
On June 14, 2022, Associated Capital Group, Inc. (the “Company”) announced that its Executive Vice President and Chief Financial Officer, Timothy H. Schott, was resigning as an officer and employee of the Company, effective July 8, 2022, to pursue opportunities outside of the Company.

The Board of Directors of the Company intends to conduct a search for a new Chief Financial Officer to replace Mr. Schott.  Patrick Huvane, the Chief Financial Officer for affiliate Teton Advisors, Inc., and Ian McAdams, the Company’s Manager of External Reporting and Technical Accounting, will serve as Co-Chief Financial Officers on an interim basis until such time as the Board of Directors has named a successor to Mr. Schott.

Item 9.01
Financial Statements and Exhibits.
 
(d)
Exhibits
     
104
Cover Page Interactive Data File (formatted as Inline XBRL)

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/ Peter D. Goldstein
 
Peter D. Goldstein
 
Chief Legal Officer and Secretary
 
 
 
Date: June 14, 2022