SEC Form 4 · accession 0000899243-17-001148
Great Elm Capital Group, Inc. · GEC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey Serota
Director
Period of report
Jan 10, 2017
Accepted (ET)
Jan 12, 2017 · 6:06 am 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 | Jan 10, 2017 | A | 16,760 | $0.00 | A | 16,760 | D |
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 November 3, 2017 contingent upon continued service as a member of the board of directors of the Issuer.