SEC Form 4 · accession 0000807249-17-000094
Associated Capital Group, Inc. · AC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Douglas R Jamieson
Officer — President & CEO
Period of report
Jun 15, 2017
Accepted (ET)
Jun 16, 2017 · 4:57 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001642122
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | Jun 15, 2017 | F | 3,198 | $34.35 | D | 14,948 | D | |
| Class A Common StockF2 | Jun 16, 2017 | J | 1,620 | $0.00 | D | 1,620 | I | Custodian of UGMA account |
| Class B Common Stock | holding | — | — | — | 29,471 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares transferred from an Uniform Gifts to Minors Act ("UGMA") account over which Mr. Jamieson had voting and dispositive control to an Individual account which Mr. Jamieson does not have voting or dispositive control.
- F2Mr. Jamieson is the Uniform Gifts to Minors Act ("UGMA") custodian for his minor childrens' UGMA accounts. Mr. Jamieson has voting and dispositive control of these shares.