Reported relationships
Latest disclosed role at each company.
No relationships currently tracked through insider filings.
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
No balances currently tracked through insider filings.
Past disclosures · reporting ended (2)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Forest Investments, Inc.
Report date November 03, 2016 · Filed June 02, 2017 · Amendment
Jointly reported with Mast Capital Management, LLC
Section 16 reporting ended · disclosed 2017-05-16. Current position is not established by this disclosure.
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 220,923 |
Reported balance
After 2016-11-03 transaction · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · 2016-11-03 · Purchase · Acquired 220,923 · Balance 220,923 F1: Represents restricted shares of Common Stock, $0.001 Par Value (the "Common Stock"), of Great Elm Capital Group, Inc., a Delaware corporation (f/k/a Unwired Planet, Inc.) (the "Issuer") held directly by Mr. Steinberg. Such restricted shares are subject to performance-based vesting and time-based vesting. Under the time-based vesting, 20% will vest on November 3, 2017 and thereafter 5% will vest on each February 3, May 3, August 3, and November 3, until fully vested. |
| Common StockSEC Table I · non-derivative | Direct | 285,507 |
Reported balance
After 2016-12-30 transaction · row 2
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 2 · 2016-12-30 · Purchase · Acquired 64,584 · Balance 285,507 F2: Represents shares of Common Stock held directly by Mr. Steinberg. Amended share count represents 2,243 additional shares purchased as a result of a finalized backstop purchase obligation in connection with a rights offering. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 2,108,178 |
Reported balance
After 2016-12-30 transaction · row 3
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 3 · 2016-12-30 · Other · Acquired 1,195,586 · Balance 2,108,178 F3: On November 23, 2016, the Issuer declared a pro rata dividend of subscription rights to all its stockholders. The reported transaction represents the exercise of such pro rata subscription rights by Mast OC I Master Fund LP, a private investment fund of which MAST Capital is the investment manager. F4: As the investment advisor of the private investment funds disclosed herein (collectively, the "MAST Accounts"), MAST Capital may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital Management, LLC ("MAST Capital"), as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein, if any. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 1,947,735 |
Reported balance
After 2016-12-30 transaction · row 4
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 4 · 2016-12-30 · Other · Acquired 1,104,596 · Balance 1,947,735 F4: As the investment advisor of the private investment funds disclosed herein (collectively, the "MAST Accounts"), MAST Capital may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital Management, LLC ("MAST Capital"), as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein, if any. F6: On November 23, 2016, the Issuer declared a pro rata dividend of subscription rights to all its stockholders. The reported transaction represents the exercise of such pro rata subscription rights by Mast Admiral Master Fund LP, a private investment fund of which MAST Capital is the investment manager. |
| Warrant to purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.01 · Expires 2026-11-03 | Direct | 54,733 |
Reported balance
After 2016-12-09 transaction · row 5
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 5 · 2016-12-09 · Purchase · Acquired 54,733 · Balance 54,733 F5: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital Management, LLC ("MAST Capital"), as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein, if any. F7: Represents a warrant for Common Stock held directly by MAST Capital. The warrant is exercisable from the earlier of (i) the date when certain performance-based metrics are met and (ii) November 3, 2021. The number of shares of Common Stock underlying the Warrant shall be reduced on a proportionate basis, based on the actual achievement of such metric. |
| Subscription Right (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.29 · Expires 2016-12-23 | IndirectSee footnotes | 0 |
Reported balance
After 2016-12-30 transaction · row 6
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 6 · 2016-12-30 · Other · Disposed 1,195,586 · Balance 0 F3: On November 23, 2016, the Issuer declared a pro rata dividend of subscription rights to all its stockholders. The reported transaction represents the exercise of such pro rata subscription rights by Mast OC I Master Fund LP, a private investment fund of which MAST Capital is the investment manager. F4: As the investment advisor of the private investment funds disclosed herein (collectively, the "MAST Accounts"), MAST Capital may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital Management, LLC ("MAST Capital"), as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein, if any. |
| Subscription Right (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.29 · Expires 2016-12-23 | IndirectSee footnotes | 0 |
Reported balance
After 2016-12-30 transaction · row 7
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 7 · 2016-12-30 · Other · Disposed 1,104,596 · Balance 0 F4: As the investment advisor of the private investment funds disclosed herein (collectively, the "MAST Accounts"), MAST Capital may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital Management, LLC ("MAST Capital"), as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein, if any. F6: On November 23, 2016, the Issuer declared a pro rata dividend of subscription rights to all its stockholders. The reported transaction represents the exercise of such pro rata subscription rights by Mast Admiral Master Fund LP, a private investment fund of which MAST Capital is the investment manager. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents restricted shares of Common Stock, $0.001 Par Value (the "Common Stock"), of Great Elm Capital Group, Inc., a Delaware corporation (f/k/a Unwired Planet, Inc.) (the "Issuer") held directly by Mr. Steinberg. Such restricted shares are subject to performance-based vesting and time-based vesting. Under the time-based vesting, 20% will vest on November 3, 2017 and thereafter 5% will vest on each February 3, May 3, August 3, and November 3, until fully vested.
F2: Represents shares of Common Stock held directly by Mr. Steinberg. Amended share count represents 2,243 additional shares purchased as a result of a finalized backstop purchase obligation in connection with a rights offering.
F3: On November 23, 2016, the Issuer declared a pro rata dividend of subscription rights to all its stockholders. The reported transaction represents the exercise of such pro rata subscription rights by Mast OC I Master Fund LP, a private investment fund of which MAST Capital is the investment manager.
F4: As the investment advisor of the private investment funds disclosed herein (collectively, the "MAST Accounts"), MAST Capital may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein.
F5: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital Management, LLC ("MAST Capital"), as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein, if any.
F6: On November 23, 2016, the Issuer declared a pro rata dividend of subscription rights to all its stockholders. The reported transaction represents the exercise of such pro rata subscription rights by Mast Admiral Master Fund LP, a private investment fund of which MAST Capital is the investment manager.
F7: Represents a warrant for Common Stock held directly by MAST Capital. The warrant is exercisable from the earlier of (i) the date when certain performance-based metrics are met and (ii) November 3, 2021. The number of shares of Common Stock underlying the Warrant shall be reduced on a proportionate basis, based on the actual achievement of such metric.
Great Elm Capital Corp.
Report date June 05, 2019 · Filed June 07, 2019
Jointly reported with Mast Capital Management, LLC
Section 16 reporting ended · disclosed 2019-06-07. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 1,015,508 |
Reported balance
After 2019-06-05 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2019-06-05 · Sale · Disposed 55,100 · Balance 1,015,508 F1: Represents shares of Common Stock, $0.01 Par Value, of Great Elm Capital Corp., a Maryland corporation (the "Common Stock" and the "Issuer"), sold by the following Mast Accounts: (i) 55,100 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 0 shares of Common Stock sold by Mast Admiral Master Fund, L.P. F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.48to $8.4934, inclusive, on June 5, 2019 F3: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 943,961 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 71,547 shares held by Mast Admiral Master Fund, L.P. F4: As the investment advisor of certain private investment funds (collectively, the "MAST Accounts"), including those disclosed herein, MAST Capital Management, LLC ("MAST Capital") may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts disclosed herein. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital, as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares of Common Stock, $0.01 Par Value, of Great Elm Capital Corp., a Maryland corporation (the "Common Stock" and the "Issuer"), sold by the following Mast Accounts: (i) 55,100 shares of Common Stock sold by Mast Select Opportunities Master Fund, L.P. and (ii) 0 shares of Common Stock sold by Mast Admiral Master Fund, L.P.
F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.48to $8.4934, inclusive, on June 5, 2019
F3: Represents shares of Common Stock held directly by the Mast Accounts, for which MAST Capital is the investment manager, including: (i) 943,961 shares held by Mast Select Opportunities Master Fund, L.P and (ii) 71,547 shares held by Mast Admiral Master Fund, L.P.
F4: As the investment advisor of certain private investment funds (collectively, the "MAST Accounts"), including those disclosed herein, MAST Capital Management, LLC ("MAST Capital") may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts disclosed herein. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein.
F5: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital, as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| May 12, 2017 Filed May 16, 2017 17:29 UTC | Forest Investments, Inc. GEC · Entity 144097 | SaleCommon Stock | 488,486 | $3.30 | $1,612,003.80 |
DisclosureSEC source: 0000899243-17-013369 · doc4.xml · nonDerivative · entry 3 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 F1 · ownership.nature: Represents shares of Common Stock, $0.001 Par Value (the "Common Stock"), of Great Elm Capital Group, Inc., a Delaware corporation (f/k/a Unwired Planet, Inc.), held directly by Mast OC I Master Fund L.P. (the "MAST Account"), a private investment fund of which MAST Capital Management, LLC ("MAST Capital") is the investment manager. F2 · ownership.nature: As the investment advisor of the MAST Account, MAST Capital may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Account. MAST Capital also has the right to an asset-based fee relating to the MAST Account. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F3 · ownership.nature: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital, as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein. Read SEC document |
| May 12, 2017 Filed May 16, 2017 17:29 UTC | Forest Investments, Inc. GEC · Entity 144097 | SaleCommon Stock | 482,900 | $3.30 | $1,593,570.00 |
DisclosureSEC source: 0000899243-17-013369 · doc4.xml · nonDerivative · entry 2 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 488,486 F1 · ownership.nature: Represents shares of Common Stock, $0.001 Par Value (the "Common Stock"), of Great Elm Capital Group, Inc., a Delaware corporation (f/k/a Unwired Planet, Inc.), held directly by Mast OC I Master Fund L.P. (the "MAST Account"), a private investment fund of which MAST Capital Management, LLC ("MAST Capital") is the investment manager. F2 · ownership.nature: As the investment advisor of the MAST Account, MAST Capital may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Account. MAST Capital also has the right to an asset-based fee relating to the MAST Account. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F3 · ownership.nature: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital, as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein. Read SEC document |
| May 12, 2017 Filed May 16, 2017 17:29 UTC | Forest Investments, Inc. GEC · Entity 144097 | SaleCommon Stock | 1,136,792 | $3.35 | $3,808,253.20 |
DisclosureSEC source: 0000899243-17-013369 · doc4.xml · nonDerivative · entry 1 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 971,386 F1 · ownership.nature: Represents shares of Common Stock, $0.001 Par Value (the "Common Stock"), of Great Elm Capital Group, Inc., a Delaware corporation (f/k/a Unwired Planet, Inc.), held directly by Mast OC I Master Fund L.P. (the "MAST Account"), a private investment fund of which MAST Capital Management, LLC ("MAST Capital") is the investment manager. F2 · ownership.nature: As the investment advisor of the MAST Account, MAST Capital may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Account. MAST Capital also has the right to an asset-based fee relating to the MAST Account. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F3 · ownership.nature: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital, as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein. Read SEC document |
| May 08, 2017 Filed May 19, 2017 22:55 UTC | Great Elm Capital Corp. GECC · Entity 6877 | OtherCommon Stock | 17,030 | $11.50 | $195,845.00 |
DisclosureSEC source: 0000899243-17-013958 · doc4.xml · nonDerivative · entry 3 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 157,725 F1 · kind: The transactions reported herein are the disposition of Common Stock, $0.01 Par Value, of Great Elm Capital Corp., a Maryland corporation (the "Common Stock" and the "Issuer"), pursuant to a self-tender conducted by the Issuer. F3 · ownership.nature: As the investment advisor of the private investment funds disclosed herein (collectively, the "MAST Accounts"), MAST Capital may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F4 · ownership.nature: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital, as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein. F6 · ownership.nature: Represents shares of Common Stock held directly by Mast Admiral Master Fund, L.P., for which MAST Capital is the investment manager. Read SEC document |
| May 08, 2017 Filed May 19, 2017 22:55 UTC | Great Elm Capital Corp. GECC · Entity 6877 | OtherCommon Stock | 302,543 | $11.50 | $3,479,244.50 |
DisclosureSEC source: 0000899243-17-013958 · doc4.xml · nonDerivative · entry 2 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 2,802,018 F1 · kind: The transactions reported herein are the disposition of Common Stock, $0.01 Par Value, of Great Elm Capital Corp., a Maryland corporation (the "Common Stock" and the "Issuer"), pursuant to a self-tender conducted by the Issuer. F3 · ownership.nature: As the investment advisor of the private investment funds disclosed herein (collectively, the "MAST Accounts"), MAST Capital may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F4 · ownership.nature: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital, as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein. F5 · ownership.nature: Represents shares of Common Stock held directly by Mast Select Opportunities Master Fund, L.P., for which MAST Capital is the investment manager. Read SEC document |
| May 08, 2017 Filed May 19, 2017 22:55 UTC | Great Elm Capital Corp. GECC · Entity 6877 | OtherCommon Stock | 162,345 | $11.50 | $1,866,967.50 |
DisclosureSEC source: 0000899243-17-013958 · doc4.xml · nonDerivative · entry 1 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 2,494,139 F1 · kind: The transactions reported herein are the disposition of Common Stock, $0.01 Par Value, of Great Elm Capital Corp., a Maryland corporation (the "Common Stock" and the "Issuer"), pursuant to a self-tender conducted by the Issuer. F2 · ownership.nature: Represents shares of Common Stock held directly by Mast Credit Opportunities I Master Fund Limited, for which MAST Capital Management, LLC ("Mast Capital") is the investment manager. F3 · ownership.nature: As the investment advisor of the private investment funds disclosed herein (collectively, the "MAST Accounts"), MAST Capital may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F4 · ownership.nature: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital, as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein. Read SEC document |
| December 30, 2016 Filed Apr 20, 2017 16:52 UTC | Forest Investments, Inc. GEC · Entity 144097 | PurchaseCommon Stock | 1,104,596 | $3.29 | $3,634,120.84 |
DisclosureSEC source: 0001140361-17-016293 · form4.xml · nonDerivative · entry 4 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1,947,735 F7 · ownership.direct: Represents a warrant for Common Stock held directly by MAST Capital. The warrant is exercisable from the earlier of (i) the date when certain performance-based metrics are met and (ii) November 3, 2021. The number of shares of Common Stock underlying the Warrant shall be reduced on a proportionate basis, based on the actual achievement of such metric. F4 · ownership.nature: As the investment advisor of the private investment funds disclosed herein (collectively, the "MAST Accounts"), MAST Capital may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5 · ownership.nature: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital Management, LLC ("MAST Capital"), as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein. F6 · ownership.nature: Represents shares of Common Stock held directly by Mast Admiral Master Fund LP, a private investment fund of which MAST Capital is the investment manager. Read SEC document |
| December 30, 2016 Filed Apr 20, 2017 16:52 UTC | Forest Investments, Inc. GEC · Entity 144097 | PurchaseCommon Stock | 1,195,586 | $3.29 | $3,933,477.94 |
DisclosureSEC source: 0001140361-17-016293 · form4.xml · nonDerivative · entry 3 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 2,108,178 F3 · ownership.nature: Represents shares of Common Stock held directly by Mast OC I Master Fund LP, a private investment fund of which MAST Capital is the investment manager. F4 · ownership.nature: As the investment advisor of the private investment funds disclosed herein (collectively, the "MAST Accounts"), MAST Capital may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5 · ownership.nature: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital Management, LLC ("MAST Capital"), as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein. Read SEC document |
| December 30, 2016 Filed Apr 20, 2017 16:52 UTC | Forest Investments, Inc. GEC · Entity 144097 | PurchaseCommon Stock | 62,341 | $3.29 | $205,101.89 |
DisclosureSEC source: 0001140361-17-016293 · form4.xml · nonDerivative · entry 2 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 283,264 F2 · ownership.direct: Represents shares of Common Stock held directly by Mr. Steinberg. Read SEC document |
| December 30, 2016 Filed May 16, 2017 16:45 UTC Amendment | Forest Investments, Inc. GEC · Entity 144097 | OtherSubscription Right (right to buy) · Derivative | 1,104,596 | $0.00 Strike: $3.29 | $0.00 |
DisclosureSEC source: 0000899243-17-013353 · doc4a.xml · derivative · entry 7 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 1,104,596 shares Expires 2016-12-23 F4 · ownership.nature: As the investment advisor of the private investment funds disclosed herein (collectively, the "MAST Accounts"), MAST Capital may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5 · ownership.nature: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital Management, LLC ("MAST Capital"), as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein, if any. F6 · ownership.nature: On November 23, 2016, the Issuer declared a pro rata dividend of subscription rights to all its stockholders. The reported transaction represents the exercise of such pro rata subscription rights by Mast Admiral Master Fund LP, a private investment fund of which MAST Capital is the investment manager. Read SEC document |
| December 30, 2016 Filed May 16, 2017 16:45 UTC Amendment | Forest Investments, Inc. GEC · Entity 144097 | OtherSubscription Right (right to buy) · Derivative | 1,195,586 | $0.00 Strike: $3.29 | $0.00 |
DisclosureSEC source: 0000899243-17-013353 · doc4a.xml · derivative · entry 6 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 1,195,586 shares Expires 2016-12-23 F3 · ownership.nature: On November 23, 2016, the Issuer declared a pro rata dividend of subscription rights to all its stockholders. The reported transaction represents the exercise of such pro rata subscription rights by Mast OC I Master Fund LP, a private investment fund of which MAST Capital is the investment manager. F4 · ownership.nature: As the investment advisor of the private investment funds disclosed herein (collectively, the "MAST Accounts"), MAST Capital may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5 · ownership.nature: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital Management, LLC ("MAST Capital"), as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein, if any. Read SEC document |
| December 30, 2016 Filed May 16, 2017 16:45 UTC Amendment | Forest Investments, Inc. GEC · Entity 144097 | OtherCommon Stock | 1,104,596 | $3.29 | $3,634,120.84 |
DisclosureSEC source: 0000899243-17-013353 · doc4a.xml · nonDerivative · entry 4 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1,947,735 F4 · ownership.nature: As the investment advisor of the private investment funds disclosed herein (collectively, the "MAST Accounts"), MAST Capital may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5 · ownership.nature: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital Management, LLC ("MAST Capital"), as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein, if any. F6 · ownership.nature: On November 23, 2016, the Issuer declared a pro rata dividend of subscription rights to all its stockholders. The reported transaction represents the exercise of such pro rata subscription rights by Mast Admiral Master Fund LP, a private investment fund of which MAST Capital is the investment manager. Read SEC document |
| December 30, 2016 Filed May 16, 2017 16:45 UTC Amendment | Forest Investments, Inc. GEC · Entity 144097 | OtherCommon Stock | 1,195,586 | $3.29 | $3,933,477.94 |
DisclosureSEC source: 0000899243-17-013353 · doc4a.xml · nonDerivative · entry 3 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 2,108,178 F3 · ownership.nature: On November 23, 2016, the Issuer declared a pro rata dividend of subscription rights to all its stockholders. The reported transaction represents the exercise of such pro rata subscription rights by Mast OC I Master Fund LP, a private investment fund of which MAST Capital is the investment manager. F4 · ownership.nature: As the investment advisor of the private investment funds disclosed herein (collectively, the "MAST Accounts"), MAST Capital may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5 · ownership.nature: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital Management, LLC ("MAST Capital"), as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein, if any. Read SEC document |
| December 30, 2016 Filed May 16, 2017 16:45 UTC Amendment | Forest Investments, Inc. GEC · Entity 144097 | PurchaseCommon Stock | 62,341 | $3.29 | $205,101.89 |
DisclosureSEC source: 0000899243-17-013353 · doc4a.xml · nonDerivative · entry 2 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 283,264 F2 · ownership.direct: Represents shares of Common Stock held directly by Mr. Steinberg. Read SEC document |
| December 30, 2016 Filed Jun 2, 2017 17:31 UTC Amendment | Forest Investments, Inc. GEC · Entity 144097 | OtherSubscription Right (right to buy) · Derivative | 1,104,596 | $0.00 Strike: $3.29 | $0.00 |
DisclosureSEC source: 0000899243-17-015186 · doc4a.xml · derivative · entry 7 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 1,104,596 shares Expires 2016-12-23 F4 · ownership.nature: As the investment advisor of the private investment funds disclosed herein (collectively, the "MAST Accounts"), MAST Capital may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5 · ownership.nature: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital Management, LLC ("MAST Capital"), as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein, if any. F6 · ownership.nature: On November 23, 2016, the Issuer declared a pro rata dividend of subscription rights to all its stockholders. The reported transaction represents the exercise of such pro rata subscription rights by Mast Admiral Master Fund LP, a private investment fund of which MAST Capital is the investment manager. Read SEC document |
| December 30, 2016 Filed Jun 2, 2017 17:31 UTC Amendment | Forest Investments, Inc. GEC · Entity 144097 | OtherSubscription Right (right to buy) · Derivative | 1,195,586 | $0.00 Strike: $3.29 | $0.00 |
DisclosureSEC source: 0000899243-17-015186 · doc4a.xml · derivative · entry 6 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 1,195,586 shares Expires 2016-12-23 F3 · ownership.nature: On November 23, 2016, the Issuer declared a pro rata dividend of subscription rights to all its stockholders. The reported transaction represents the exercise of such pro rata subscription rights by Mast OC I Master Fund LP, a private investment fund of which MAST Capital is the investment manager. F4 · ownership.nature: As the investment advisor of the private investment funds disclosed herein (collectively, the "MAST Accounts"), MAST Capital may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5 · ownership.nature: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital Management, LLC ("MAST Capital"), as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein, if any. Read SEC document |
| December 30, 2016 Filed Jun 2, 2017 17:31 UTC Amendment | Forest Investments, Inc. GEC · Entity 144097 | OtherCommon Stock | 1,104,596 | $3.29 | $3,634,120.84 |
DisclosureSEC source: 0000899243-17-015186 · doc4a.xml · nonDerivative · entry 4 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1,947,735 F4 · ownership.nature: As the investment advisor of the private investment funds disclosed herein (collectively, the "MAST Accounts"), MAST Capital may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5 · ownership.nature: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital Management, LLC ("MAST Capital"), as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein, if any. F6 · ownership.nature: On November 23, 2016, the Issuer declared a pro rata dividend of subscription rights to all its stockholders. The reported transaction represents the exercise of such pro rata subscription rights by Mast Admiral Master Fund LP, a private investment fund of which MAST Capital is the investment manager. Read SEC document |
| December 30, 2016 Filed Jun 2, 2017 17:31 UTC Amendment | Forest Investments, Inc. GEC · Entity 144097 | OtherCommon Stock | 1,195,586 | $3.29 | $3,933,477.94 |
DisclosureSEC source: 0000899243-17-015186 · doc4a.xml · nonDerivative · entry 3 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 2,108,178 F3 · ownership.nature: On November 23, 2016, the Issuer declared a pro rata dividend of subscription rights to all its stockholders. The reported transaction represents the exercise of such pro rata subscription rights by Mast OC I Master Fund LP, a private investment fund of which MAST Capital is the investment manager. F4 · ownership.nature: As the investment advisor of the private investment funds disclosed herein (collectively, the "MAST Accounts"), MAST Capital may be deemed to be the beneficial owner of the shares of Common Stock held by the MAST Accounts. MAST Capital also has the right to an asset-based fee relating to the MAST Accounts. Pursuant to Rule 16a-1, MAST Capital disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. F5 · ownership.nature: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital Management, LLC ("MAST Capital"), as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein, if any. Read SEC document |
| December 30, 2016 Filed Jun 2, 2017 17:31 UTC Amendment | Forest Investments, Inc. GEC · Entity 144097 | PurchaseCommon Stock | 64,584 | $3.29 | $212,481.36 |
DisclosureSEC source: 0000899243-17-015186 · doc4a.xml · nonDerivative · entry 2 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 285,507 F2 · ownership.direct: Represents shares of Common Stock held directly by Mr. Steinberg. Amended share count represents 2,243 additional shares purchased as a result of a finalized backstop purchase obligation in connection with a rights offering. Read SEC document |
| December 09, 2016 Filed Apr 20, 2017 16:52 UTC | Forest Investments, Inc. GEC · Entity 144097 | PurchaseWarrant to purchase Common Stock · Derivative | 54,733 | $0.00 Strike: $0.01 | $0.00 |
DisclosureSEC source: 0001140361-17-016293 · form4.xml · derivative · entry 5 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,733 Underlying: Common Stock · 54,733 shares Expires 2026-11-03 F5 · ownership.direct: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital Management, LLC ("MAST Capital"), as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein. F7 · ownership.direct: Represents a warrant for Common Stock held directly by MAST Capital. The warrant is exercisable from the earlier of (i) the date when certain performance-based metrics are met and (ii) November 3, 2021. The number of shares of Common Stock underlying the Warrant shall be reduced on a proportionate basis, based on the actual achievement of such metric. Read SEC document |
| December 09, 2016 Filed May 16, 2017 16:45 UTC Amendment | Forest Investments, Inc. GEC · Entity 144097 | PurchaseWarrant to purchase Common Stock · Derivative | 54,733 | $0.00 Strike: $0.01 | $0.00 |
DisclosureSEC source: 0000899243-17-013353 · doc4a.xml · derivative · entry 5 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,733 Underlying: Common Stock · 54,733 shares Expires 2026-11-03 F5 · ownership.direct: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital Management, LLC ("MAST Capital"), as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein, if any. F7 · ownership.direct: Represents a warrant for Common Stock held directly by MAST Capital. The warrant is exercisable from the earlier of (i) the date when certain performance-based metrics are met and (ii) November 3, 2021. The number of shares of Common Stock underlying the Warrant shall be reduced on a proportionate basis, based on the actual achievement of such metric. Read SEC document |
| December 09, 2016 Filed Jun 2, 2017 17:31 UTC Amendment | Forest Investments, Inc. GEC · Entity 144097 | PurchaseWarrant to purchase Common Stock · Derivative | 54,733 | $0.00 Strike: $0.01 | $0.00 |
DisclosureSEC source: 0000899243-17-015186 · doc4a.xml · derivative · entry 5 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,733 Underlying: Common Stock · 54,733 shares Expires 2026-11-03 F5 · ownership.direct: Mr. Steinberg may also be deemed to beneficially own the shares of Common Stock beneficially owned (or deemed to be beneficially owned) by MAST Capital Management, LLC ("MAST Capital"), as he is the principal of MAST Capital. Pursuant to Rule 16a-1, Mr. Steinberg disclaims such beneficial ownership, except to the extent of his pecuniary interest therein, if any. F7 · ownership.direct: Represents a warrant for Common Stock held directly by MAST Capital. The warrant is exercisable from the earlier of (i) the date when certain performance-based metrics are met and (ii) November 3, 2021. The number of shares of Common Stock underlying the Warrant shall be reduced on a proportionate basis, based on the actual achievement of such metric. Read SEC document |
| November 03, 2016 Filed Apr 20, 2017 16:52 UTC | Forest Investments, Inc. GEC · Entity 144097 | PurchaseCommon Stock | 220,923 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-17-016293 · form4.xml · nonDerivative · entry 1 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 220,923 F1 · ownership.direct: Represents restricted shares of Common Stock, $0.001 Par Value (the "Common Stock"), of Great Elm Capital Group, Inc., a Delaware corporation (f/k/a Unwired Planet, Inc.) (the "Issuer") held directly by Mr. Steinberg. Such restricted shares are subject to performance-based vesting and time-based vesting. Under the time-based vesting, 20% will vest on November 3, 2017 and thereafter 5% will vest on each February 3, May 3, August 3, and November 3, until fully vested. Read SEC document |
| November 03, 2016 Filed May 16, 2017 16:45 UTC Amendment | Forest Investments, Inc. GEC · Entity 144097 | PurchaseCommon Stock | 220,923 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-013353 · doc4a.xml · nonDerivative · entry 1 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 220,923 F1 · ownership.direct: Represents restricted shares of Common Stock, $0.001 Par Value (the "Common Stock"), of Great Elm Capital Group, Inc., a Delaware corporation (f/k/a Unwired Planet, Inc.) (the "Issuer") held directly by Mr. Steinberg. Such restricted shares are subject to performance-based vesting and time-based vesting. Under the time-based vesting, 20% will vest on November 3, 2017 and thereafter 5% will vest on each February 3, May 3, August 3, and November 3, until fully vested. Read SEC document |
| November 03, 2016 Filed Jun 2, 2017 17:31 UTC Amendment | Forest Investments, Inc. GEC · Entity 144097 | PurchaseCommon Stock | 220,923 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-015186 · doc4a.xml · nonDerivative · entry 1 Mast Capital Management, LLC · CIK 0001429074 · 10% owner Steinberg David J. · CIK 0001429076 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 220,923 F1 · ownership.direct: Represents restricted shares of Common Stock, $0.001 Par Value (the "Common Stock"), of Great Elm Capital Group, Inc., a Delaware corporation (f/k/a Unwired Planet, Inc.) (the "Issuer") held directly by Mr. Steinberg. Such restricted shares are subject to performance-based vesting and time-based vesting. Under the time-based vesting, 20% will vest on November 3, 2017 and thereafter 5% will vest on each February 3, May 3, August 3, and November 3, until fully vested. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.