Douglas R. Jamieson - May 30, 2023 Form 4 Insider Report for Associated Capital Group, Inc. (AC)

Signature
/s/ Douglas R. Jamieson
Stock symbol
AC
Transactions as of
May 30, 2023
Transactions value $
$475,320
Form type
4
Date filed
6/13/2023, 04:12 PM
Previous filing
Dec 16, 2021
Next filing
Aug 13, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding AC Class A Common Stock 14.9K May 30, 2023 Direct
holding AC Class B Common Stock 29.5K May 30, 2023 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 $475K +12K +20% $39.61 72K May 30, 2023 Class A Common Stock 12K $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.