SEC Form 4 · accession 0000899243-17-026065
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
Nov 9, 2017
Accepted (ET)
Nov 13, 2017 · 5:04 pm 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 StockF1,F2 | Nov 9, 2017 | P | 10,000 | $3.65 | A | 243,181 | D | |
| Common StockF2 | Nov 10, 2017 | P | 20,000 | $3.65 | A | 263,181 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.65 to $3.70, inclusive. The reporting person undertakes to provide to Great Elm Capital Group, Inc., any security holder of Great Elm Capital Group, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (1) on this Form 4.
- F2Includes 220,923 shares of unvested restricted stock.
Remarks
General Counsel and Chief Operating Officer of Great Elm Capital Management, Inc.