SEC Form 4/A · accession 0000899243-17-013973
Great Elm Capital Group, Inc. · GEC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Richard Chernicoff
Officer — CHIEF EXECUTIVE OFFICER · Director
Period of report
Dec 30, 2016
Accepted (ET)
May 19, 2017 · 9:41 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 STOCKF1 | Dec 30, 2016 | P | 15,484 | $3.29 | A | 188,362 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Amended share count represents 537additional shares purchased as a result of a finalized backstop purchase obligation in connection with a rights offering.