SEC Form 4 · accession 0000899243-15-000109
Great Elm Capital Group, Inc. · GEC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel Mendez
Officer — Executive Vice President
Period of report
Jun 30, 2015
Accepted (ET)
Jul 2, 2015 · 3:42 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001082506
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| COMMON STOCKF1,F2 | Jun 30, 2015 | F | 16,531 | $0.62 | D | 614,777 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares were forfeited, pursuant to the terms of the grant agreement, in lieu of payment of tax liability in connection with the vesting of one quarterly installment of 62,500 restricted stock units ("RSUs") granted to the Reporting Person under the Issuer's Amended and Restated 2006 Stock Incentive Plan.
- F2The number of shares forfeited by the Reporting Person is based on the closing price of the Issuer's common stock on the Transaction Date reported above, which was the vesting date of such RSUs.