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) January 6, 2021

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 January 4, 2021, Associated Capital Group, Inc. (“AC”) announced that Timothy H. Schott 51 has been named Executive Vice President – Finance & Chief Financial Officer of Associated Capital Group and in such role will serve as AC’s principal accounting officer.   Mr. Schott served a Principal Accounting Officer at Tiptree, Inc. from 2016 to 2020 where he was instrumental in the transformation of the company’s accounting, tax and internal controls.  From 2011 to 2016 Mr. Schott served as Director of Accounting Policy at Lazard Ltd. where he was responsible for the review of all of Lazard’s GAAP regulatory accounting filings.  From 2007 to 2011 Mr. Schott was a partner at Deloitte & Touche.

Item 9.01
Financial Statements and Exhibits.
 

(d)
Exhibits
 

99.1
Associated Capital Group’s Press Release, dated January 4, 2021.
 

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: January 6, 2021