0001104659-15-083060 Sample Contracts

Associated Capital Group, Inc. – TRANSITIONAL ADMINISTRATIVE AND MANAGEMENT SERVICES AGREEMENT (December 4th, 2015)

THIS TRANSITIONAL ADMINISTRATIVE AND MANAGEMENT SERVICES AGREEMENT (this “Agreement”) is dated as of November 30, 2015, between GAMCO Investors, Inc., a Delaware corporation (“GAMCO”), and Associated Capital Group, Inc., a Delaware corporation (“ACG”, and together with GAMCO, “Parties”, or each individually, a “Party”).

Associated Capital Group, Inc. – SEPARATION AND DISTRIBUTION AGREEMENT (December 4th, 2015)
Associated Capital Group, Inc. – TAX INDEMNITY AND SHARING AGREEMENT BETWEEN ASSOCIATED CAPITAL GROUP, INC. AND GAMCO INVESTORS, INC. Dated as of November 30, 2015 (December 4th, 2015)

THIS TAX INDEMNITY AND SHARING AGREEMENT (the “Agreement”) is dated as of November 30, 2015 by and between GAMCO Investors, Inc., a Delaware corporation (“GAMCO”), and Associated Capital Group, Inc., a Delaware corporation and a wholly-owned subsidiary of GAMCO (“ACG”).  ACG and GAMCO are the “Parties.”   Unless otherwise indicated, all “Section” references in this Agreement are to sections of the Agreement.

Associated Capital Group, Inc. – PROMISSORY NOTE (December 4th, 2015)

FOR VALUE RECEIVED, the undersigned, GAMCO Investors, Inc., a Delaware corporation (the “Maker”), hereby promises to pay to Associated Capital Group, Inc., a Delaware corporation (the “Holder”), the Outstanding Principal Amount (as defined herein) of this Promissory Note (this “Note”), in lawful money of the United States of America, in accordance with the terms, and on the dates, set forth herein.  This Note has been executed by the Maker and delivered to and accepted by the Holder on the date set forth above (the “Effective Date”).

Associated Capital Group, Inc. – EMPLOYMENT AGREEMENT (December 4th, 2015)

THIS AGREEMENT made this 30th day of November, 2015 (the “Effective Date”) by and between Associated Capital Group, Inc. (the “Company”), a Delaware corporation, and Mario J. Gabelli (the “Executive”).

Associated Capital Group, Inc. – SERVICE MARK AND NAME LICENSE AGREEMENT (December 4th, 2015)

THIS SERVICE MARK AND NAME LICENSE AGREEMENT, effective as of the 30th day of November, 2015 (“Effective Date”), is by and between GAMCO Investors, Inc., a corporation organized under the laws of Delaware (“GAMCO” or “Licensor”) and Associated Capital Group, Inc., a corporation organized under the laws of Delaware (“ACG” or “Licensee”, and together with GAMCO, “Parties”, or each individually, a “Party”).