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