SEC Form 4 · accession 0000899243-15-009890
Great Elm Capital Group, Inc. · GEC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Philip A Vachon
Director
Period of report
Dec 4, 2015
Accepted (ET)
Dec 15, 2015 · 5:43 pm EST
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 | Dec 4, 2015 | A | 100,000 | $0.00 | A | 293,551 | D | |
| COMMON STOCKF2 | holding | — | — | — | 10,400 | I | BY CHILDREN |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The Reporting Person was awarded restricted stock units that vest in full on December 4, 2016 contingent upon continued service as a member of the board of directors of the Issuer.
- F2These shares are held in account established for the Reporting Person's children under the Uniform Gifts to Minors Act. The Reporting Person disclaims beneficial ownership with respect to these shares, except to the extent of his pecuniary interest therein.