SEC Form 4 · accession 0000899243-15-007231
Great Elm Capital Group, Inc. · GEC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Oct 28, 2015
Accepted (ET)
Oct 28, 2015 · 6:16 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 Stock, $0.001 Par ValueF1,F2 | Oct 28, 2015 | S | 4,511,389 | $0.8765 | D | 0 | I | See Footnote |
| Common Stock, $0.001 Par ValueF1,F3 | Oct 28, 2015 | S | 4,338,000 | $0.8765 | D | 0 | I | See Footnote |
| Common Stock, $0.001 Par ValueF1,F4 | Oct 28, 2015 | P | 8,849,389 | $0.8765 | A | 10,117,671 | I | See Footnote |
| Common Stock, $0.001 Par ValueF1,F5 | holding | — | — | — | 10,951,109 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The filing of this Form 4 shall not be construed as an admission that MAST Capital Management, LLC ("MAST Capital") or David J. Steinberg, the principal of MAST Capital, is or was for the purposes of Section 16(a) of the Securities Exchange Act of 1934, as amended, or otherwise the beneficial owner of any of the Common Stock, $0.001 Par Value (the "Common Stock"), of Unwired Planet, Inc. (the "Issuer") purchased by certain private investment funds advised by MAST Capital (collectively, the "MAST Accounts"). Pursuant to Rule 16a-1, both MAST Capital and Mr. Steinberg disclaim such beneficial ownership except to the extent of such person's pecuniary interest.
- F2Mast Credit Opportunities I Master Fund Limited, for which MAST Capital is the investment manager, holds 0 shares of Common Stock of the Issuer. David J. Steinberg reports the Common Stock held indirectly by MAST Capital because, as the principal of MAST Capital at the time of purchase, he controlled the disposition and voting of the securities. MAST Capital has the right to an asset-based fee relating the above fund.
- F3Mast Select Opportunities Master Fund LP, for which MAST Capital is the investment manager, holds 0 shares of Common Stock of the Issuer. David J. Steinberg reports the Common Stock held indirectly by MAST Capital because, as the principal of MAST Capital at the time of purchase, he controlled the disposition and voting of the securities. MAST Capital has the right to an asset-based fee relating the above fund.
- F4Mast Admiral Master Fund LP, for which MAST Capital is the investment manager, holds 10,117,671 shares of Common Stock of the Issuer. David J. Steinberg reports the Common Stock held indirectly by MAST Capital because, as the principal of MAST Capital at the time of purchase, he controlled the disposition and voting of the securities. MAST Capital has the right to an asset-based fee relating the above fund.
- F5Mast OC I Master Fund LP, for which MAST Capital is the investment manager, holds 10,951,109 shares of Common Stock of the Issuer. David J. Steinberg reports the Common Stock held indirectly by MAST Capital because, as the principal of MAST Capital at the time of purchase, he controlled the disposition and voting of the securities. MAST Capital has the right to an asset-based fee relating the above fund.