SEC Form 4 · accession 0000899243-18-030681
Great Elm Capital Group, Inc. · GEC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Peter A Reed
Officer — Chief Executive Officer · Director
Period of report
Dec 7, 2018
Accepted (ET)
Dec 11, 2018 · 6:51 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 | Dec 7, 2018 | P | 101 | $3.65 | A | 731,524 | D | |
| Common StockF2,F1 | Dec 10, 2018 | P | 7,216 | $3.63 | A | 738,740 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Includes 220,923 shares of unvested restricted stock.
- F2The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.55 to $3.65, inclusive. The reporting person undertakes to provide to Great Elm Capital Group, Inc. ("GEC"), any security holder of GEC, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth herein.