Annual Report Pursuant to Regulation a (1-k)

Form 1-K Issuer Information

FORM 1-K

UNITED STATE

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

FORM 1-K

OMB APPROVAL

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1-K: Filer Information

Issuer CIK

0001444874 

Issuer CCC

XXXXXXXX 

Is filer a shell company?

o Yes x No

Is the electronic copy of an official filing submitted in paper format?

o

File Number

 

Is this filing by a successor company pursuant to Rule 257(b)(5) resulting from a merger or other business combination?

o Yes x No

Successor File Number

 

Is this a LIVE or TEST Filing?

x LIVE o TEST

Would you like a Return Copy?

o

Period

12-31-2022 

Submission Contact Information

Name

 

Phone

 

E-Mail Address

 

Notify via Filing Website only?

o

1-K: Tab 1 Notification

This Form 1-K is to provide an

x Annual Report o Special Financial Report for the fiscal year

Fiscal Year End

12-31-2022 

Exact name of issuer as specified in the issuer's charter

Teton Advisors, Inc. 

CIK

0001444874 

Jurisdiction of Incorporation / Organization

DELAWARE  

I.R.S. Employer Identification Number

13-4008049 

Address of Principal Executive Offices

Address 1

189 Mason Street 

Address 2

 

City

Greenwich 

State/Country

CONNECTICUT  

Mailing Zip/ Postal Code

06830 

Phone

914-457-1070 

Title of each class of securities issued pursuant to Regulation A

Common Stock 

1-K: Summary Information Regarding Prior Offering and Proceeds

Summary Information

oThe following information must be provided for any Regulation A offering that has terminated or completed prior to the filing of this Form 1-K, unless such information has been previously reported in a manner permissible under Rule 257. If such information has been previously reported, check this box and leave the rest of Part I blank.

Commission File Number of the offering statement

024-11882 

Date of qualification of the offering statement

06-01-2022 

Date of commencement of the offering

06-03-2022 

Amount of securities qualified to be sold in the offering

440162 

Amount of securities sold in the offering

325349 

Price per security

$ 15.5000 

The portion of aggregate sales attributable to securities sold on behalf of the issuer

$ 5042910.00 

The portion of the aggregate sales attributable to securities sold on behalf of selling securityholders

$ 0.00 

Fees in connection with this offering and names of service providers.

Underwriters - Name of Service Provider

Underwriters - Fees

$  

Sales Commissions - Name of Service Provider

Sales Commissions - Fee

$  

Finders' Fees - Name of Service Provider

Finders' Fees - Fees

$  

Audit - Name of Service Provider

RSM US LLP

Audit - Fees

$ 19950.00 

Legal - Name of Service Provider

Olshan Frome Wolosky LLP

Legal - Fees

$ 131253.00 

Promoters - Name of Service Provider

N/A

Promoters - Fees

$ 13861.00 

Blue Sky Compliance - Name of Service Provider

VSP Services LLC

Blue Sky Compliance - Fees

$ 13861.00 

CRD Number of any broker or dealer listed

 

Net proceeds to the issuer

$ 4786237.00 

Clarification of responses (if necessary)