SEC Form 4 · accession 0000899243-18-028645
Great Elm Capital Group, Inc. · GEC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brent J Pearson
Officer — Chief Accounting Officer
Period of report
Nov 7, 2018
Accepted (ET)
Nov 9, 2018 · 9:42 pm EST
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 | $3.43 | Nov 7, 2018 | A | 40,000 | A | — | Nov 7, 2023 | Common Stock | 40,000 | 40,000 | D |
Explanation of responses
- F1The Reporting Person was awarded stock options, 8,000 of which vest on November 7, 2019, and the remainder of which vest in equal quarterly installments until November 7, 2023.