$AC
Associated Capital Group, Inc.

2019 Q4 Form 10-K Financial Statement

#000114036121009678 Filed on March 24, 2021

View on sec.gov

Income Statement

Concept 2019 Q4 2019 Q2 2019
Revenue $13.99M $4.821M $22.21M
YoY Change 62.49% 0.52% -2.52%
Cost Of Revenue
YoY Change
Gross Profit
YoY Change
Gross Profit Margin
Selling, General & Admin $19.24M -$2.360M $29.52M
YoY Change 128.23% -140.2% 10.94%
% of Gross Profit
Research & Development
YoY Change
% of Gross Profit
Depreciation & Amortization $0.00 $0.00 $20.00K
YoY Change 0.0%
% of Gross Profit
Operating Expenses $16.11M $7.972M $35.47M
YoY Change 47.8% -3.28% -2.19%
Operating Profit -$3.151M -$13.26M
YoY Change -8.56% -1.63%
Interest Expense $22.01M $35.00K $216.0K
YoY Change -151.98% -10.26% -17.56%
% of Operating Profit
Other Income/Expense, Net -$3.280M $3.026M $70.48M
YoY Change -0.61% -84.64% -227.27%
Pretax Income $16.62M -$125.0K $57.22M
YoY Change -134.68% -100.77% -183.1%
Income Tax $4.560M -$277.0K $12.63M
% Of Pretax Income 27.44% 22.07%
Net Earnings $11.02M -$932.0K $39.19M
YoY Change -127.33% -107.88% -167.45%
Net Earnings / Revenue 78.77% -19.33% 176.48%
Basic Earnings Per Share -$0.04 $1.74
Diluted Earnings Per Share $490.0K -$0.04 $1.74
COMMON SHARES
Basic Shares Outstanding 22.55M 22.53M
Diluted Shares Outstanding 22.55M 22.53M

Balance Sheet

Concept 2019 Q4 2019 Q2 2019
SHORT-TERM ASSETS
Cash & Short-Term Investments $348.6M $361.6M $348.6M
YoY Change -14.89% 32.07% -14.89%
Cash & Equivalents $342.0M $361.6M $348.6M
Short-Term Investments
Other Short-Term Assets
YoY Change
Inventory
Prepaid Expenses
Receivables $24.10M $23.90M $24.10M
Other Receivables $9.600M $1.200M $9.600M
Total Short-Term Assets $382.3M $386.7M $382.3M
YoY Change -12.8% 30.6% -12.8%
LONG-TERM ASSETS
Property, Plant & Equipment $6.630M $6.600M
YoY Change 7792.86%
Goodwill $3.519M
YoY Change 0.0%
Intangibles
YoY Change
Long-Term Investments $604.7M $602.5M $604.7M
YoY Change 23.31% -13.2% 23.31%
Other Assets $2.000M $3.000M $2.000M
YoY Change -78.72% -78.72%
Total Long-Term Assets $628.6M $617.5M $628.6M
YoY Change 21.82% -12.14% 21.82%
TOTAL ASSETS
Total Short-Term Assets $382.3M $386.7M $382.3M
Total Long-Term Assets $628.6M $617.5M $628.6M
Total Assets $1.011B $1.004B $1.011B
YoY Change 5.92% 0.53% 5.92%
SHORT-TERM LIABILITIES
YoY Change
Accounts Payable $14.90M $9.300M $14.90M
YoY Change 170.91% -28.46% 170.91%
Accrued Expenses $27.60M $13.60M $27.60M
YoY Change 43.75% 94.29% 43.75%
Deferred Revenue
YoY Change
Short-Term Debt $16.30M $45.80M $16.30M
YoY Change 71.58% 246.97% 71.58%
Long-Term Debt Due
YoY Change
Total Short-Term Liabilities $63.00M $70.10M $63.00M
YoY Change 64.49% 97.46% 64.49%
LONG-TERM LIABILITIES
Long-Term Debt $0.00 $0.00 $0.00
YoY Change
Other Long-Term Liabilities $100.0K $300.0K $100.0K
YoY Change 0.0% 200.0% 0.0%
Total Long-Term Liabilities $100.0K $300.0K $100.0K
YoY Change 0.0% 200.0% 0.0%
TOTAL LIABILITIES
Total Short-Term Liabilities $63.00M $70.10M $63.00M
Total Long-Term Liabilities $100.0K $300.0K $100.0K
Total Liabilities $63.09M $70.30M $114.5M
YoY Change 64.35% -19.19% 29.82%
SHAREHOLDERS EQUITY
Retained Earnings -$701.0K -$17.67M
YoY Change -98.24%
Common Stock
YoY Change
Preferred Stock
YoY Change
Treasury Stock (at cost) $106.3M $104.2M
YoY Change 4.05%
Treasury Stock Shares $3.117M $3.059M
Shareholders Equity $896.4M $884.2M $896.4M
YoY Change
Total Liabilities & Shareholders Equity $1.011B $1.004B $1.011B
YoY Change 5.92% 0.53% 5.92%

Cashflow Statement

Concept 2019 Q4 2019 Q2 2019
OPERATING ACTIVITIES
Net Income $11.02M -$932.0K $39.19M
YoY Change -127.33% -107.88% -167.45%
Depreciation, Depletion And Amortization $0.00 $0.00 $20.00K
YoY Change 0.0%
Cash From Operating Activities $500.0K -$23.30M -$44.33M
YoY Change -99.31% 4.95% -157.59%
INVESTING ACTIVITIES
Capital Expenditures -$200.0K -$6.300M -$6.520M
YoY Change
Acquisitions
YoY Change
Other Investing Activities -$1.200M $100.0K $1.460M
YoY Change -88.35% -69.2%
Cash From Investing Activities -$1.500M -$6.200M -$5.058M
YoY Change -85.44% -206.8%
FINANCING ACTIVITIES
Cash Dividend Paid $4.513M
YoY Change -3.28%
Common Stock Issuance & Retirement, Net $4.135M
YoY Change -41.02%
Debt Paid & Issued, Net
YoY Change
Cash From Financing Activities -1.400M -4.900M -11.58M
YoY Change 0.0% -140.83% -133.39%
NET CHANGE
Cash From Operating Activities 500.0K -23.30M -44.33M
Cash From Investing Activities -1.500M -6.200M -5.058M
Cash From Financing Activities -1.400M -4.900M -11.58M
Net Change In Cash -2.400M -34.40M -60.98M
YoY Change -103.96% 237.25% -152.38%
FREE CASH FLOW
Cash From Operating Activities $500.0K -$23.30M -$44.33M
Capital Expenditures -$200.0K -$6.300M -$6.520M
Free Cash Flow $700.0K -$17.00M -$37.81M
YoY Change

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CY2019 us-gaap Income Loss From Continuing Operations Per Basic Share
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CY2019 us-gaap Income Loss From Discontinued Operations Net Of Tax
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CY2020 us-gaap Income Loss From Discontinued Operations Net Of Tax
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CY2019 us-gaap Income Loss From Continuing Operations Before Income Taxes Minority Interest And Income Loss From Equity Method Investments
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CY2020 us-gaap Income Loss From Continuing Operations Before Income Taxes Minority Interest And Income Loss From Equity Method Investments
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CY2020 us-gaap Income Loss From Equity Method Investments
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CY2019 us-gaap Income Loss From Equity Method Investments
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CY2020 us-gaap Income Loss From Continuing Operations Per Diluted Share
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CY2019 us-gaap Income Loss From Continuing Operations Per Diluted Share
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CY2019 us-gaap Income Loss From Continuing Operations
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CY2020 us-gaap Income Loss From Continuing Operations
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CY2019 us-gaap Income Tax Expense Benefit
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CY2020 us-gaap Income Tax Expense Benefit
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CY2020 us-gaap Income Taxes Paid Net
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CY2019 us-gaap Income Taxes Paid Net
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CY2020 us-gaap Income Loss From Continuing Operations Including Portion Attributable To Noncontrolling Interest
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CY2019 us-gaap Income Loss From Continuing Operations Including Portion Attributable To Noncontrolling Interest
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CY2020 us-gaap Income Loss From Continuing Operations Attributable To Noncontrolling Entity
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CY2019 us-gaap Income Loss From Continuing Operations Attributable To Noncontrolling Entity
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CY2019 us-gaap Income Loss From Discontinued Operations Net Of Tax Attributable To Reporting Entity
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CY2020 us-gaap Income Loss From Discontinued Operations Net Of Tax Attributable To Reporting Entity
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CY2020Q3 us-gaap Increase Decrease In Contract With Customer Liability
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CY2020 us-gaap Increase Decrease In Brokerage Receivables
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CY2019 us-gaap Increase Decrease In Accrued Income Taxes Payable
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204000
CY2020 us-gaap Increase Decrease In Accrued Income Taxes Payable
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CY2019 us-gaap Increase Decrease In Accounts Receivable
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CY2020 us-gaap Increase Decrease In Due From Affiliates Current
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CY2019 us-gaap Increase Decrease In Income Taxes Receivable
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CY2020 us-gaap Increase Decrease In Income Taxes Receivable
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CY2019 us-gaap Increase Decrease In Due To Affiliates Current
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CY2020 us-gaap Increase Decrease In Due To Affiliates Current
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CY2019 us-gaap Increase Decrease In Employee Related Liabilities
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CY2020 us-gaap Increase Decrease In Employee Related Liabilities
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CY2019 us-gaap Increase Decrease In Payables To Broker Dealers
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CY2020 us-gaap Increase Decrease In Other Operating Assets
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CY2020 us-gaap Increase Decrease In Payables To Broker Dealers
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CY2020 us-gaap Increase Decrease In Trading Securities
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CY2019 us-gaap Increase Decrease In Trading Securities
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CY2020 us-gaap Interest Expense
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CY2019 us-gaap Interest Paid Net
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CY2020 us-gaap Investment Income Interest And Dividend
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CY2019 us-gaap Investment Income Interest And Dividend
InvestmentIncomeInterestAndDividend
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CY2019Q4 us-gaap Investment Sold Not Yet Purchased At Fair Value
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CY2020Q4 us-gaap Investment Sold Not Yet Purchased At Fair Value
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CY2020Q4 us-gaap Investments In Affiliates Subsidiaries Associates And Joint Ventures
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CY2019 us-gaap Labor And Related Expense
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CY2020 us-gaap Labor And Related Expense
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CY2020Q4 us-gaap Liabilities Of Disposal Group Including Discontinued Operation
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CY2020Q4 us-gaap Liabilities And Stockholders Equity
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CY2019Q4 us-gaap Liabilities
Liabilities
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CY2020Q4 us-gaap Liabilities
Liabilities
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CY2019Q1 us-gaap Minority Interest Decrease From Redemptions
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CY2019Q4 us-gaap Minority Interest
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CY2020Q4 us-gaap Minority Interest
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CY2020 us-gaap Net Cash Provided By Used In Operating Activities Continuing Operations
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CY2020 us-gaap Net Income Loss
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CY2019 us-gaap Net Income Loss
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CY2019 us-gaap Net Cash Provided By Used In Financing Activities
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CY2020 us-gaap Net Cash Provided By Used In Financing Activities
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CY2020 us-gaap Net Income Loss Attributable To Noncontrolling Interest
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CY2019 us-gaap Nonoperating Income Expense
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CY2020Q4 us-gaap Number Of Foreign Currency Derivatives Held
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CY2020 us-gaap Number Of Operating Segments
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CY2020Q3 us-gaap Noncontrolling Interest Increase From Sale Of Parent Equity Interest
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CY2019 us-gaap Profit Loss
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CY2020 us-gaap Profit Loss
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CY2019Q4 us-gaap Property Plant And Equipment Gross
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CY2020Q4 us-gaap Property Plant And Equipment Net
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CY2019Q4 us-gaap Redeemable Noncontrolling Interest Equity Carrying Amount
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CY2020Q4 us-gaap Redeemable Noncontrolling Interest Equity Carrying Amount
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CY2019 us-gaap Repayments Of Related Party Debt
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CY2020 us-gaap Repayments Of Related Party Debt
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CY2019Q4 us-gaap Stockholders Equity
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CY2020Q4 us-gaap Stockholders Equity
StockholdersEquity
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CY2020Q4 us-gaap Temporary Equity Carrying Amount Including Portion Attributable To Noncontrolling Interests
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CY2019Q4 us-gaap Temporary Equity Carrying Amount Including Portion Attributable To Noncontrolling Interests
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CY2020Q4 us-gaap Trading Securities
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CY2019Q4 us-gaap Trading Securities
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CY2019 us-gaap Stock Repurchased During Period Shares
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CY2019 us-gaap Stock Repurchased During Period Value
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CY2020 us-gaap Stock Repurchased During Period Value
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CY2020Q3 us-gaap Stockholders Equity Note Spinoff Transaction
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CY2019Q4 us-gaap Stockholders Equity Including Portion Attributable To Noncontrolling Interest
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CY2020Q4 us-gaap Stockholders Equity Including Portion Attributable To Noncontrolling Interest
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CY2020Q3 us-gaap Stockholders Equity Including Portion Attributable To Noncontrolling Interest
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CY2019Q2 us-gaap Stockholders Equity Including Portion Attributable To Noncontrolling Interest
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CY2020Q1 us-gaap Stockholders Equity Including Portion Attributable To Noncontrolling Interest
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CY2019Q4 us-gaap Trading Securities Debt
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CY2020Q4 us-gaap Trading Securities Debt
TradingSecuritiesDebt
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CY2020 us-gaap Trading Gains Losses
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CY2020Q4 us-gaap Transfer Of Investments
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CY2019 us-gaap Trading Gains Losses
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CY2020Q4 srt Payables To Broker Dealers And Clearing Organizations
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CY2019Q4 srt Payables To Broker Dealers And Clearing Organizations
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CY2019 us-gaap Weighted Average Number Of Shares Outstanding Basic
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CY2020 us-gaap Weighted Average Number Of Shares Outstanding Basic
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22369000
CY2020 us-gaap Weighted Average Number Of Diluted Shares Outstanding
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CY2019 us-gaap Weighted Average Number Of Diluted Shares Outstanding
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CY2020Q4 us-gaap Treasury Stock Shares
TreasuryStockShares
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CY2019Q4 us-gaap Treasury Stock Shares
TreasuryStockShares
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CY2020 us-gaap Treasury Stock Acquired Average Cost Per Share
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CY2020 us-gaap Unrecognized Tax Benefits Decreases Resulting From Prior Period Tax Positions
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CY2020 us-gaap Use Of Estimates
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<div style="font-family: 'Times New Roman'; font-size: 10pt;"><div style="text-align: justify; font-style: italic;">Use of Estimates</div><div>&#160;</div><div style="text-align: justify;">The preparation of the consolidated financial statements in conformity with accounting principles generally accepted in the United States of America (&#8220;GAAP&#8221;) requires management to make estimates and assumptions that affect the amounts reported on the consolidated financial statements and accompanying notes. Actual results could differ from those estimates.</div></div>
CY2019 us-gaap Weighted Average Number Of Share Outstanding Basic And Diluted
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CY2020 us-gaap Weighted Average Number Of Share Outstanding Basic And Diluted
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CY2020 dei Amendment Flag
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CY2020 dei Document Period End Date
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2020-12-31
CY2020 dei Entity Address State Or Province
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CT
CY2020 dei Entity Well Known Seasoned Issuer
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No
CY2020 dei Entity Voluntary Filers
EntityVoluntaryFilers
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CY2020 dei Entity Current Reporting Status
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CY2020 dei Entity Filer Category
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Non-accelerated Filer
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125203285
CY2020 dei Entity Registrant Name
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Associated Capital Group, Inc.
CY2020 dei Entity Central Index Key
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CY2020 dei Document Fiscal Year Focus
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CY2020 dei Document Fiscal Period Focus
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FY
CY2020 dei Document Type
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10-K
CY2020 dei Entity Interactive Data Current
EntityInteractiveDataCurrent
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CY2020 dei Entity Shell Company
EntityShellCompany
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CY2020 dei Entity Emerging Growth Company
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CY2020 dei Entity Ex Transition Period
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CY2020 dei Entity Small Business
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CY2020 ac Number Of Stock Award And Incentive Plans
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CY2019 ac Share Based Compensation Expense Including Cash Settlement
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CY2020 ac Share Based Compensation Expense Including Cash Settlement
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CY2017Q3 ac Stock Repurchase Program Number Of Additional Shares Authorized To Be Repurchased
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CY2018Q2 ac Stock Repurchase Program Number Of Additional Shares Authorized To Be Repurchased
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500000
CY2019Q4 ac Disposal Group Including Discontinued Operation Due To Affiliate
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CY2019Q4 ac Investment In Parent Company Stock Market Value
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CY2020Q4 ac Investment In Parent Company Stock Market Value
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CY2020Q4 ac Investment Sold Not Yet Purchased Cost
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CY2019Q4 ac Investment Sold Not Yet Purchased Cost
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CY2019Q4 ac Shares Under Derivative Contract In Shares
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CY2020Q4 ac Shares Under Derivative Contract In Shares
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CY2020Q4 ac Management Fee Expense Percentage
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CY2019Q4 ac Adjustments To Additional Paid In Capital Merger
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CY2019Q3 ac Net Income Loss Including Portion Attributable To Noncontrolling Interests
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5951000
CY2020Q1 ac Net Income Loss Including Portion Attributable To Noncontrolling Interests
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NetIncomeLossIncludingPortionAttributableToNoncontrollingInterests
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CY2020Q3 ac Net Income Loss Including Portion Attributable To Noncontrolling Interests
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5815000
CY2019Q1 ac Net Income Loss Including Portion Attributable To Noncontrolling Interests
NetIncomeLossIncludingPortionAttributableToNoncontrollingInterests
23147000
CY2020Q4 ac Net Income Loss Including Portion Attributable To Noncontrolling Interests
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CY2019 ac Shareholder Designated Contribution
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3281000
CY2020 ac Shareholder Designated Contribution
ShareholderDesignatedContribution
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CY2019 ac Management Fee
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ManagementFee
3101000
CY2019Q4 ac Marketable Securities Investments In Affiliated Registered Investment Companies Cost
MarketableSecuritiesInvestmentsInAffiliatedRegisteredInvestmentCompaniesCost
123994000
CY2020Q4 ac Investment Advisory Fees Receivable
InvestmentAdvisoryFeesReceivable
7346000
CY2019Q4 ac Investment Advisory Fees Receivable
InvestmentAdvisoryFeesReceivable
9582000
CY2019Q4 ac Investments In Partnerships
InvestmentsInPartnerships
145372000
CY2020Q4 ac Investments In Partnerships
InvestmentsInPartnerships
123994000
CY2020Q4 ac Investments In Securities And Sponsored Registered Investment Companies
InvestmentsInSecuritiesAndSponsoredRegisteredInvestmentCompanies
249887000
CY2019Q4 ac Investments In Securities And Sponsored Registered Investment Companies
InvestmentsInSecuritiesAndSponsoredRegisteredInvestmentCompanies
271320000
CY2019Q4 ac Investments In Unaffiliated Entities
InvestmentsInUnaffiliatedEntities
20500000
CY2020Q4 ac Investments In Unaffiliated Entities
InvestmentsInUnaffiliatedEntities
24900000
CY2020 ac Sponsor Partnership Commitment Amount
SponsorPartnershipCommitmentAmount
6480000
CY2020 ac Sponsor Partnership Investment Percentage
SponsorPartnershipInvestmentPercentage
0.62
CY2020Q4 ac Direct Investment In Sponsor
DirectInvestmentInSponsor
4000000
CY2019Q4 ac Other Assets Including Income Tax Receivables
OtherAssetsIncludingIncomeTaxReceivables
23005000
CY2020Q4 ac Other Assets Including Income Tax Receivables
OtherAssetsIncludingIncomeTaxReceivables
39034000
CY2020Q4 ac Marketable Securities Investments In Affiliated Registered Investment Companies
MarketableSecuritiesInvestmentsInAffiliatedRegisteredInvestmentCompanies
170605000
CY2019Q4 ac Marketable Securities Investments In Affiliated Registered Investment Companies
MarketableSecuritiesInvestmentsInAffiliatedRegisteredInvestmentCompanies
159311000
CY2019Q4 ac Deferred Tax Assets Shareholder Designated Contribution
DeferredTaxAssetsShareholderDesignatedContribution
2831000
CY2020Q4 ac Deferred Tax Assets Shareholder Designated Contribution
DeferredTaxAssetsShareholderDesignatedContribution
3244000
CY2018Q4 ac Unrecognized Tax Benefits Liabilities
UnrecognizedTaxBenefitsLiabilities
6000
CY2020Q4 ac Unrecognized Tax Benefits Liabilities
UnrecognizedTaxBenefitsLiabilities
0
CY2019Q4 ac Unrecognized Tax Benefits Liabilities
UnrecognizedTaxBenefitsLiabilities
0
CY2019 ac Effective Income Tax Rate Reconciliation Deductions Dividends Received
EffectiveIncomeTaxRateReconciliationDeductionsDividendsReceived
-0.005
CY2020 ac Effective Income Tax Rate Reconciliation Deductions Dividends Received
EffectiveIncomeTaxRateReconciliationDeductionsDividendsReceived
-0.014
CY2020Q4 ac Investments In Affiliated Equity Mutual Funds
InvestmentsInAffiliatedEquityMutualFunds
170700000
CY2019Q4 ac Investments In Affiliated Equity Mutual Funds
InvestmentsInAffiliatedEquityMutualFunds
159300000
CY2020Q4 ac Cash And Cash Equivalents Invested In Affiliated Money Market Funds
CashAndCashEquivalentsInvestedInAffiliatedMoneyMarketFunds
31500000
CY2019Q4 ac Cash And Cash Equivalents Invested In Affiliated Money Market Funds
CashAndCashEquivalentsInvestedInAffiliatedMoneyMarketFunds
336700000
CY2019Q4 ac Liability For Shareholder Designated Contribution Program
LiabilityForShareholderDesignatedContributionProgram
2000000
CY2020Q4 ac Liability For Shareholder Designated Contribution Program
LiabilityForShareholderDesignatedContributionProgram
2000000
CY2020 ac Payments For Proceeds From Investments In Government Securities Held In Trust Account
PaymentsForProceedsFromInvestmentsInGovernmentSecuritiesHeldInTrustAccount
175000000
CY2020 ac Net Income Loss From Continuing Operations Including Portion Attributable To Noncontrolling Interest
NetIncomeLossFromContinuingOperationsIncludingPortionAttributableToNoncontrollingInterest
-20509000
CY2019 ac Net Income Loss From Continuing Operations Including Portion Attributable To Noncontrolling Interest
NetIncomeLossFromContinuingOperationsIncludingPortionAttributableToNoncontrollingInterest
-44596000
CY2020 ac Contributions From Nonredeemable Noncontrolling Interests
ContributionsFromNonredeemableNoncontrollingInterests
2451000
CY2019 ac Contributions From Nonredeemable Noncontrolling Interests
ContributionsFromNonredeemableNoncontrollingInterests
0
CY2020 ac Fair Value Of Donated Securities
FairValueOfDonatedSecurities
891000
CY2019 ac Fair Value Of Donated Securities
FairValueOfDonatedSecurities
2152000
CY2020 ac Increase Decrease In Contributions To Partnerships
IncreaseDecreaseInContributionsToPartnerships
4829000
CY2019 ac Increase Decrease In Contributions To Partnerships
IncreaseDecreaseInContributionsToPartnerships
28071000
CY2019 ac Increase Decrease In Distributions From Partnerships
IncreaseDecreaseInDistributionsFromPartnerships
11603000
CY2020 ac Increase Decrease In Distributions From Partnerships
IncreaseDecreaseInDistributionsFromPartnerships
35847000
CY2019 ac Contributions From Redeemable Noncontrolling Interests
ContributionsFromRedeemableNoncontrollingInterests
0
CY2020 ac Contributions From Redeemable Noncontrolling Interests
ContributionsFromRedeemableNoncontrollingInterests
162655000
CY2019 ac Payments For Proceeds From Investments In Government Securities Held In Trust Account
PaymentsForProceedsFromInvestmentsInGovernmentSecuritiesHeldInTrustAccount
-589000
CY2020 ac Additional Contribution Per Share Approved
AdditionalContributionPerShareApproved
0.20
CY2020 ac Maximum Threshold Percentage Of Ownership Interest For Recording Noncotrolling Interests In Consolidated Entities
MaximumThresholdPercentageOfOwnershipInterestForRecordingNoncotrollingInterestsInConsolidatedEntities
1
CY2015Q4 ac Number Of Shares Of Common Stock Issued For Each Share Of Common Stock Of Parent Company In Spin Off
NumberOfSharesOfCommonStockIssuedForEachShareOfCommonStockOfParentCompanyInSpinOff
1

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