0001144204-14-032898.txt : 20140521
0001144204-14-032898.hdr.sgml : 20140521
20140521192047
ACCESSION NUMBER: 0001144204-14-032898
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110131
FILED AS OF DATE: 20140521
DATE AS OF CHANGE: 20140521
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Great American Group, Inc.
CENTRAL INDEX KEY: 0001464790
STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-BUSINESS SERVICES, NEC [7389]
IRS NUMBER: 270223495
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 21860 BURBANK BLVD.
STREET 2: SUITE 300 SOUTH
CITY: WOODLAND HILLS
STATE: CA
ZIP: 91367
BUSINESS PHONE: 818-884-3737
MAIL ADDRESS:
STREET 1: 21860 BURBANK BLVD.
STREET 2: SUITE 300 SOUTH
CITY: WOODLAND HILLS
STATE: CA
ZIP: 91367
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Carpenter Scott K
CENTRAL INDEX KEY: 0001468985
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-54010
FILM NUMBER: 14861925
MAIL ADDRESS:
STREET 1: 21860 BURBANK BLVD.
STREET 2: SUITE 300 SOUTH
CITY: WOODLAND HILLS
STATE: CA
ZIP: 91367
4
1
v379505_4.xml
OWNERSHIP DOCUMENT
X0306
4
2011-01-31
0
0001464790
Great American Group, Inc.
GAMR
0001468985
Carpenter Scott K
C/O GREAT AMERICAN GROUP,
21860 BURBANK BLVD. SUITE 300 SOUTH
WOODLAND HILLS
CA
91367
0
1
0
0
EVP, Retail Services
Common Stock
2011-01-31
4
A
0
33863
0
A
133050
D
Common Stock
2011-05-02
4
A
0
11086
0
A
144136
D
The reporting person acquired these securities on January 31, 2011, as consideration for the reporting person's interest in the Great American Group, LLC ("GAG, LLC") Phantom Equityholder Plan. The issuer acquired GAG, LLC on July 31, 2009 pursuant to the Agreement and Plan of Reorganization, dated as of May 14, 2009, as amended by Amendment No. 1 to Agreement and Plan of Reorganization, dated as of May 29, 2009, Amendment No. 2 to Agreement and Plan of Reorganization, dated as of July 8, 2009, and Amendment No. 3 to Agreement and Plan of Reorganization, dated as of July 28, 2009 (as amended, the "Purchase Agreement"), among, inter alia, Alternative Asset Management Acquisition Corp. ("AAMAC"), the issuer, which was then a wholly-owned subsidiary of AAMAC, AAMAC Merger Sub, Inc., then a wholly-owned subsidiary of the issuer, GAG, LLC, the GAG, LLC Members and the representative of the GAG, LLC (including the reporting person). (Continue with footnote (2))
The number of shares acquired represents the actual number of shares that vested on January 31, 2011 in accordance with the Purchase Agreement and newly issued shares that are no longer subject to an indemnity escrow or subject to forfeiture during the escrow period to satisfy certain indemnification claims.
/s/ Scott K. Carpenter
2014-05-21