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