0000899243-18-028643.txt : 20181109 0000899243-18-028643.hdr.sgml : 20181109 20181109214136 ACCESSION NUMBER: 0000899243-18-028643 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181107 FILED AS OF DATE: 20181109 DATE AS OF CHANGE: 20181109 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Harbin Thomas S CENTRAL INDEX KEY: 0001719963 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-16073 FILM NUMBER: 181174549 MAIL ADDRESS: STREET 1: SOURCE CAPITAL, LLC STREET 2: 75 FOURTEENTH STREET, SUITE 2700 CITY: ATLANTA STATE: GA ZIP: 30309 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) 375-3006 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 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2018-11-07 0 0001082506 Great Elm Capital Group, Inc. GEC 0001719963 Harbin Thomas S C/O GREAT ELM CAPITAL GROUP, INC. 800 SOUTH STREET, SUITE 230 WALTHAM MA 02453 1 0 0 0 Common Stock 2018-11-07 4 A 0 862 0.00 A 40074 D Common Stock 2018-11-07 4 A 0 19673 0.00 A 59747 D The Reporting Person was awarded restricted shares that fully vested on November 7, 2018. The Reporting Person was awarded restricted shares that vest commencing November 1, 2018, with one-twelfth vesting each monthly anniversary of such date, contingent upon continued service as a member of the board of directors of Great Elm Capital Group, Inc. /s/ Adam M. Kleinman, attorney-in-fact 2018-11-09