SEC Form 4 · accession 0000899243-15-002084
Great Elm Capital Group, Inc. · GEC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Noah D Mesel
Officer — EVP, GC and Secretary
Period of report
Jul 30, 2015
Accepted (ET)
Aug 3, 2015 · 4:17 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001082506
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F1 | $0.66 | Jul 30, 2015 | A | 750,000 | A | — | Jul 30, 2025 | Common Stock | 750,000 | 750,000 | D |
Explanation of responses
- F1The options vest with respect to one third of the underlying shares of Common Stock on July 30, 2016, and thereafter, in equal quarterly installments over the following two years, contingent upon the Reporting Person's continuous service with the Issuer.