SEC Form 4 · accession 0000899243-17-022346
Great Elm Capital Group, Inc. · GEC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Peter A Reed
Officer — Chief Executive Officer · Director
Period of report
Sep 18, 2017
Accepted (ET)
Sep 20, 2017 · 4:53 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option (right to buy)F1 | $3.60 | Sep 18, 2017 | A | 213,000 | A | — | Sep 18, 2027 | Common Stock | 213,000 | 213,000 | D |
| Option (right to buy)F2 | $3.60 | Sep 18, 2017 | A | 461,165 | A | — | Sep 18, 2022 | Common Stock | 461,165 | 461,165 | D |
Explanation of responses
- F1The Reporting Person was awarded stock options that vest commencing on September 18, 2018 and vest in full on September 18, 2022, contingent upon his continued service.
- F2The Reporting Person was awarded stock options that vest commencing on March 18, 2018 and vest in full on September 18, 2018, contingent upon his continued service.