0000899243-20-006241.txt : 20200228 0000899243-20-006241.hdr.sgml : 20200228 20200228161128 ACCESSION NUMBER: 0000899243-20-006241 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200226 FILED AS OF DATE: 20200228 DATE AS OF CHANGE: 20200228 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: 20670154 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 2020-02-26 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 1 0 5.0% Convertible Senior PIK Note due 2030 3.4722 2020-02-26 4 P 0 250000.00 250000.00 A 2020-02-26 2030-02-26 Common Stock 72000 250000.00 D 5.0% Convertible Senior PIK Note due 2030 3.4722 2020-02-26 4 P 0 3250000.00 3250000.00 A 2020-02-26 2030-02-26 Common Stock 936005 3250000.00 I See Footnote 5.0% Convertible Senior PIK Note due 2030 3.4722 2020-02-26 4 P 0 1500000.00 1500000.00 A 2020-02-26 2030-02-26 Common Stock 432002 1500000.00 I See Footnote 5.0% Convertible Senior PIK Note due 2030 3.4722 2020-02-26 4 P 0 1000000.00 1000000.00 A 2020-02-26 2030-02-26 Common Stock 288001 1000000.00 I See Footnote Represents 5.0% Convertible Senior PIK Notes due 2030 (the "Notes") of Great Elm Capital Group, Inc. purchased by certain investment advisory clients, (collectively, the "Managed Accounts") of Northern Right Capital Management, L.P. ("Northern Right Management"). Northern Right Management acts as investment manager for the Managed Accounts. Represents Notes purchased by NRC Partners I, LP ("NRC Partners"). Represents Notes purchased by Northern Right Capital (QP), L.P. ("Northern Right QP"). As general partner and investment manager of NRC Partners and Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the Notes held by NRC Partners and Northern Right QP. As the investment manager of the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the Notes held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC ("BCA") may be deemed to be the beneficial owner of the Notes 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 Notes beneficially owned (or deemed beneficially owned) by BCA. Mr. Drapkin disclaims such beneficial ownership of the Notes indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein. /s/ Adam M. Kleinman, attorney-in-fact 2020-02-28