0000899243-19-029079.txt : 20191212
0000899243-19-029079.hdr.sgml : 20191212
20191212181445
ACCESSION NUMBER: 0000899243-19-029079
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20191108
FILED AS OF DATE: 20191212
DATE AS OF CHANGE: 20191212
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Drapkin Matthew A
CENTRAL INDEX KEY: 0001458693
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-16073
FILM NUMBER: 191282885
MAIL ADDRESS:
STREET 1: 10 CORBIN DRIVE
STREET 2: 3RD FLOOR
CITY: DARIEN
STATE: CT
ZIP: 06820
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Great Elm Capital Group, Inc.
CENTRAL INDEX KEY: 0001082506
STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372]
IRS NUMBER: 943219054
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0630
BUSINESS ADDRESS:
STREET 1: 800 SOUTH STREET
STREET 2: SUITE 230
CITY: WALTHAM
STATE: MA
ZIP: 02453
BUSINESS PHONE: (617) 375-3024
MAIL ADDRESS:
STREET 1: 800 SOUTH STREET
STREET 2: SUITE 230
CITY: WALTHAM
STATE: MA
ZIP: 02453
FORMER COMPANY:
FORMER CONFORMED NAME: UNWIRED PLANET, INC.
DATE OF NAME CHANGE: 20120504
FORMER COMPANY:
FORMER CONFORMED NAME: OPENWAVE SYSTEMS INC
DATE OF NAME CHANGE: 20001121
FORMER COMPANY:
FORMER CONFORMED NAME: PHONE COM INC
DATE OF NAME CHANGE: 19990504
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2019-11-08
0
0001082506
Great Elm Capital Group, Inc.
GEC
0001458693
Drapkin Matthew A
C/O NORTHERN RIGHT CAPITAL MANAGEMENT,
L.P., 9 OLD KINGS HWY S., 4TH FLOOR
DARIEN
CT
06820
1
0
0
0
Common Stock
2019-11-08
4
A
0
18482
0.00
A
68273
D
Common Stock
1266000
I
See Footnote
Common Stock
1136792
I
See Footnote
The Reporting Person was awarded restricted shares that vest commencing November 1, 2019, 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. ("GEC").
Represents shares of common stock purchased by Northern Right Capital Management, L.P., a Texas limited partnership ("Northern Right Management"), on behalf of a separate managed account on behalf of an investment advisory client (the "Managed Account") pursuant to the exercise of a warrant issued by GEC to Northern Right Management on September 18, 2017.
Represents shares of common stock held directly by Northern Right Capital (QP), L.P., a Texas limited partnership ("Northern Right QP").
As general partner and investment manager of Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the shares of common stock held by Northern Right QP. As the investment manager of the Managed Account, Northern Right Management may also be deemed to be the beneficial owner of the shares of common stock held by the Managed Account. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, Mr. Drapkin may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA. Mr. Drapkin disclaims such beneficial ownership of the 2,402,792 shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein.
/s/ Adam M. Kleinman, attorney-in-fact
2019-12-12