SEC Form 4 · accession 0000899243-16-025405
Great Elm Capital Group, Inc. · GEC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard Chernicoff
Officer — CHIEF EXECUTIVE OFFICER · Director
Period of report
Jul 18, 2016
Accepted (ET)
Jul 20, 2016 · 6:47 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 | $6.99 | Jul 18, 2016 | A | 141,437 | A | — | Jul 18, 2026 | COMMON STOCK | 141,437 | 141,437 | D |
Explanation of responses
- F1Shares subject to option shall vest and become exercisable ratably in equal quarterly installments commencing on July 18, 2016 and ending on the two year anniversary of the date of grant.