SEC Form 4 · accession 0000899243-18-028636
Great Elm Capital Group, Inc. · GEC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark A Snell
Director
Period of report
Nov 7, 2018
Accepted (ET)
Nov 9, 2018 · 9:36 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 StockF1 | Nov 7, 2018 | A | 15,954 | $0.00 | A | 32,714 | D | |
| Common StockF2 | Nov 7, 2018 | A | 19,673 | $0.00 | A | 52,387 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The Reporting Person was awarded restricted shares that fully vested on November 7, 2018.
- F2The Reporting Person was awarded restricted shares that vest commencing November 1, 2018, with one-twelfth vesting each monthly anniversary of such date, contingent upon continued service as a member of the board of directors of Great Elm Capital Group, Inc.
Remarks
Exhibit 24 - Power of Attorney