SEC Form 4 · accession 0000899243-17-022517
Great Elm Capital Group, Inc. · GEC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Adam M Kleinman
Officer — See Remarks
Period of report
Sep 18, 2017
Accepted (ET)
Sep 25, 2017 · 3:06 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 | 194,175 | A | — | Sep 18, 2022 | Common Stock | 194,175 | 194,175 | 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.
Remarks
General Counsel and Chief Operating Officer of Great Elm Capital Management, Inc.