SEC Form 4 · accession 0000899243-18-008508
Great Elm Capital Group, Inc. · GEC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John J Woods
Officer — Chief Financial Officer
Period of report
Mar 15, 2018
Accepted (ET)
Mar 26, 2018 · 6:17 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F1 | $3.85 | Mar 15, 2018 | A | 55,680 | A | — | Mar 15, 2028 | Common Stock | 55,680 | 55,680 | D |
Explanation of responses
- F1The Reporting Person was awarded stock options, 13,920 of which vest on March 15, 2019, and the remainder of which vest in equal monthly installments until March 15, 2022.