Douglas R. Jamieson - Aug 8, 2018 Form 4 Insider Report for Associated Capital Group, Inc. (AC)

Role: President & CEO, Director
Signature: /s/ Douglas R. Jamieson
Stock symbol: AC
Transactions as of: Aug 8, 2018
Transactions value $: $2,159,180
Form type: 4
Date filed: 6/17/2021, 05:20 PM
Next filing: Jun 17, 2021

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
holding	AC	Class A Common Stock						14.9K	Aug 8, 2018	Direct
holding	AC	Class B Common Stock						29.5K	Aug 8, 2018	Direct

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Underlying Class	Amount	Exercise Price	Ownership	Footnotes
transaction	AC	Phantom RSA	Award	$492K	+14K		$35.12^*	14K	Aug 8, 2018	Class A Common Stock	14K	$0.00	Direct	F1, F2
transaction	AC	Phantom RSA	Award	$505K	+14K	+100%	$36.09	28K	Dec 18, 2020	Class A Common Stock	14K	$0.00	Direct	F1, F2
transaction	AC	Phantom RSA	Award	$1.16M	+32K	+114.29%	$36.32	60K	May 20, 2021	Class A Common Stock	32K	$0.00	Direct	F1, F2

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	Each phantom RSA represents the right to receive the cash value of one share of Associated Capital Group, Inc. Class A common stock.
F2	Phantom RSAs are awarded pursuant to the Issuer's Stock Award and Incentive Plan and are payable in cash upon vesting. Thirty percent of these phantom RSAs vest after three years from the date of the award and the remaining seventy percent vest after five years from the date of the award.