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) May 3, 2017
ASSOCIATED CAPITAL GROUP, INC.
(Exact name of registrant as specified in its charter)
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Delaware
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1-37387
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47-3965991
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(State or other
jurisdiction of incorporation)
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(Commission File Number)
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(IRS Employer
Identification No.)
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One Corporate Center, Rye, NY
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10580
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(Address of principal executive offices)
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(Zip Code)
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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))
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Item 5.07
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Submission of Matters to a Vote of Security Holders.
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The annual meeting of shareholders of Associated Capital Group, Inc. (“AC”) was held on May 3, 2017. At the annual meeting: (1) seven persons were elected to serve as directors of AC and (2) the appointment of Deloitte & Touche LLP as AC's independent registered public accounting firm for the year ending December 31, 2017 was ratified.
Set forth below, with respect to each of the matters submitted to shareholders, are the number of votes cast for or against or withheld, and the number of abstentions and broker non-votes, where applicable.
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VOTES FOR
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VOTES WITHHELD
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BROKER NON-VOTES
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(1) Election of Directors
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NOMINEE
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Richard L. Bready
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188,216,710
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41,411
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742,382
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Mario J. Gabelli
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185,990,924
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2,267,197
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742,382
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| Douglas R. Jamieson | 188,242,328 | 15,793 | 742,382 | |||||||||
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Daniel R. Lee
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188,043,737
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214,384
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742,382
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Bruce M. Lisman
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188,215,838
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42,283
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742,382
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| Frederic V. Salerno | 188,228,144 | 29,977 | 742,382 | |||||||||
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Salvatore F. Sodano
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188,217,266
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40,855
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742,382
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VOTES FOR
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VOTES AGAINST
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ABSTAINED
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BROKER NON-VOTES
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(2) Ratification of independent registered public accounting firm
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188,993,221
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3,324
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3,958
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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/ Patrick Dennis
Patrick Dennis
Executive Vice-President and Chief Financial Officer
Date:May 4, 2017