0001564590-18-024423.txt : 20181018 0001564590-18-024423.hdr.sgml : 20181018 20181018060153 ACCESSION NUMBER: 0001564590-18-024423 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181018 ITEM INFORMATION: Submission of Matters to a Vote of Security Holders FILED AS OF DATE: 20181018 DATE AS OF CHANGE: 20181018 FILER: 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 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-16073 FILM NUMBER: 181127512 BUSINESS ADDRESS: STREET 1: 800 SOUTH STREET STREET 2: SUITE 230 CITY: WALTHAM STATE: MA ZIP: 02453 BUSINESS PHONE: (617) 375-3006 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 8-K 1 gec-8k_20181016.htm 8-K gec-8k_20181016.htm

 

 

 

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

_______________________________________

FORM 8-K

 _______________________________________

 

CURRENT REPORT

Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

Date of Report (Date of earliest event reported):  October 18, 2018

 

_______________________________________

Great Elm Capital Group, Inc.

(Exact name of registrant as specified in its charter)

 

_______________________________________

 

 

 

 

 

Delaware

 

001-16073

 

94-3219054

(State or other jurisdiction of incorporation)

 

(Commission File Number)

 

(I.R.S. Employer

Identification No.)

 

800 South Street, Suite 230, Waltham, MA

 

02453

(Address of principal executive offices)

 

(Zip Code)

Registrant’s telephone number, including area code:  (617) 375-3006

(Former name or former address, if changed since last report.)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

        Emerging growth company 

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.  

 

 


 


 

Item 5.07 Submission of Matters to a Vote of Security Holders.

 

On October 16, 2018, Great Elm Capital Group, Inc. (the “Company”) held the 2018 annual meeting of its stockholders (the “Annual Meeting”). The results of the voting at the Annual Meeting were:

 

 

For

Against or Withheld

Abstentions and Broker Non-Votes

Election of directors:

 

 

 

Peter A. Reed

14,512,327

86,567

6,325,042

Matthew A. Drapkin

11,824,070

2,775,033

6,324,833

Thomas S. Harbin III

11,724,574

2,871,529

6,327,833

James P. Parmelee

10,935,231

3,660,663

6,328,042

Jeffrey S. Serota

14,444,980

151,123

6,327,833

Mark A. Snell

10,924,359

3,671,535

6,328,042

Hugh Steven Wilson

14,492,606

103,231

6,328,099

Ratification of the selection of Deloitte & Touche LLP to serve as the Company’s independent registered public accounting firm for the fiscal year ending June 30, 2019

19,724,085

1,181,715

18,136

Approval of amendments to the Company’s 2016 Long-Term Incentive Compensation Plan

10,689,636

3,863,018

6,371,282

Approval, on an advisory basis, of the 2018 compensation of the Company’s named executive officers

8,180,949

5,744,040

6,998,947

 

 

 

 

 

1 Year

2 Years

3 Years

Abstentions

Approval of the preferred frequency of the stockholder advisory vote on the compensation of the Company’s named executive officers

14,333,831

3,675

260,422

3,075

 


 


 

SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

 

 

 

 

 

 

 

GREAT ELM CAPITAL GROUP, INC.

 

 

 

Date:  October 18, 2018

 

/s/ John J. Woods

 

 

By:

 

John J. Woods

 

 

Title:

 

Chief Financial Officer