# EDGAR Filing Document

**Accession Number:** 0001642122
**File Stem:** 0001437749-25-019585
**Filing Date:** 2025-6
**Character Count:** 6031
**Document Hash:** 5d7c93275df08626aad7c8c67daf8c47
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001437749-25-019585.hdr.sgml**: 20250605

**ACCESSION NUMBER**: 0001437749-25-019585

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 13

**CONFORMED PERIOD OF REPORT**: 20250604

**ITEM INFORMATION**: Submission of Matters to a Vote of Security Holders

**FILED AS OF DATE**: 20250605

**DATE AS OF CHANGE**: 20250605

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Associated Capital Group, Inc.
- **CENTRAL INDEX KEY:** 0001642122
- **STANDARD INDUSTRIAL CLASSIFICATION:** SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211]
- **ORGANIZATION NAME:** 02 Finance
- **EIN:** 000000000
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-37387
- **FILM NUMBER:** 251028213

**BUSINESS ADDRESS:**
- **STREET 1:** 191 MASON STREET
- **CITY:** GREENWICH
- **STATE:** CT
- **ZIP:** 06830
- **BUSINESS PHONE:** 914-921-5135

**MAIL ADDRESS:**
- **STREET 1:** 191 MASON STREET
- **CITY:** GREENWICH
- **STATE:** CT
- **ZIP:** 06830

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Gabelli Securities Group, Inc.
- **DATE OF NAME CHANGE:** 20150512

?xml version='1.0' encoding='ASCII'? ac20250519_8k.htm

**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, 2025**

## 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 | Name of each exchange on which registered |
| Class A Common Stock, par value $0.001 per share<br> AC | New York Stock Exchange |

---

------

**Item 5.07 Submission of Matters to a Vote of Security Holders.**

On June 4, 2025, Associated Capital Group, Inc. (the "Company") held its 2024 Annual Meeting of Shareholders (the "Meeting").

As of April 16, 2025, the record date for the Meeting, the Company had outstanding 2,192,901 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 1,631,332 shares of Class A Stock and 18,430,506 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 2026 Annual Meeting of Shareholders or until their respective successors are duly elected and qualified and (2) ratified the appointment of Deloitte & Touche LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2025.

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 | 185585590 | 152655 | 198147 |
| Marc Gabelli | 185583046 | 155199 | 198147 |
| Douglas R. Jamieson | 185726857 | 11388 | 198147 |
| Daniel R. Lee | 185632117 | 106128 | 198147 |
| Bruce M. Lisman | 185591069 | 147176 | 198147 |
| Richard T. Prins | 185737144 | 1101 | 198147 |
| Frederic V. Salerno | 185585253 | 152992 | 198147 |
| Salvatore F. Sodano | 185734528 | 3717 | 198147 |
| Elisa M. Wilson | 185563921 | 174324 | 198147 |

---

**(2) Ratification of appointment of Deloitte & Touche LLP:**

---

| | | | | | |
|:---|:---|:---|:---|:---|:---|
| **VOTES FOR** | **VOTES AGAINST** | **VOTES AGAINST** | **ABSTAINED** | **ABSTAINED** | **BROKER NON-VOTES** |
| 1672501 |  | 386 |  | 184263505 |  |

---

------

**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.**

<u>By: /s/ Ian J. McAdams</u>

Ian J. McAdams

Chief Financial Officer

Date: <u>June 5, 2025</u>