SEC Form 4/A · accession 0000899243-17-026203
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
Peter A Reed
Officer — Chief Executive Officer · Director
Period of report
Dec 4, 2015
Accepted (ET)
Nov 14, 2017 · 4:36 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 StockF2 | Dec 4, 2015 | A | 8,333 | $0.00 | A | 8,333 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The Reporting Person was awarded restricted stock units that vested in full on December 4, 2016 upon the Reporting Persons continued service as a member of the board of directors of the Issuer.
- F2The Form 4 filed on December 15, 2015 contained a typographical error that inadvertently stated the value of the award as the number of shares awarded resulting in an overstatement in the number of shares that were granted to the Reporting Person. This amendment corrects the error to reflect the number of shares actually granted. As a result of the typographical error the amount of securities beneficially owned was also incorrectly reported in the Form 4 filed November 7, 2016, the Form 4 filed January 4, 2017 (and later amended on May 19, 2017) and the Form 4 filed on November 13, 2017.