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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Morgan Group Holding Co (PK) | USOTC:MGHL | OTCMarkets | Common Stock |
Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 0.60 | 0.60 | 1.95 | 0.00 | 13:54:17 |
Delaware
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333-73996
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13-4196940
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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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☐ |
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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☐ |
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-2)
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d(b))
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☐ |
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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Title of each class
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Trading
Symbol(s)
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Name of each exchange
on which registered
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None
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Item 1.01 |
Entry into a Material Definitive Agreement.
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• |
G.research agreed to operate its business in the ordinary course prior to the closing of the Merger (with certain exceptions) and not to take certain specified actions without the prior written consent of the Company.
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• |
The Company agreed to operate its business in the ordinary course prior to the closing of the Merger (with certain exceptions) and not to take certain specified actions without the prior written consent of AC.
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Item 2.01 |
Completion of Acquisition or Disposition of Assets
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Item 3.02 |
Unregistered Sales of Equity Securities.
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Item 4.01 |
Changes in Registrant’s Certifying Accountant.
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Item 5.01 |
Changes in Control of Registrant.
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Item 5.02 |
Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.
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Item 5.06 |
Changes in Shell Company Status.
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Item 7.01 |
Regulation FD Disclosure.
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Item 9.01 |
Financial Statements and Exhibits.
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Exhibit No.
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Description
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Agreement and plan of merger, dated as of October 31, 2019, by and among Morgan Group Holding Co., G.R. Acquisition, LLC, G.research, LLC, Institutional Services Holdings, LLC and Associated Capital Group, Inc.
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Securities Purchase Agreement, dated as of October 31, 2019, by and among Morgan Group Holding Co. and the investors signatory thereto
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Amended and Restated Expense Sharing Agreement, dated as of November 23, 2016, between G.research, LLC and GAMCO Investors, Inc.
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Amended and Restated Expense Sharing Agreement, dated as of November 23, 2016, between G.research, LLC and Gabelli & Company Investment Advisers, Inc.
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Expense Sharing Agreement, dated as of November 23, 2016, between G.research, LLC and Associated Capital Group, Inc.
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License Agreement, by and between, dated October 31, 2019, G.research, LLC and GAMCO Investors, Inc.
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Letter from Daszkal Bolton LLP, dated November 6, 2019
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Morgan Group Holding Co. Information Statement
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Press release, dated October 31, 2019
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MORGAN GROUP HOLDING CO.
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By:
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/s/ Joseph L. Fernandez | ||
Name: Joseph L. Fernandez
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Title: Executive Vice President-Finance
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1 Year Morgan (PK) Chart |
1 Month Morgan (PK) Chart |
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