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person · Reporting owner

Drapkin Matthew A

Disclosed activity across 5 companies

Tapewire entity
69580
SEC CIK
0001458693

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
Forest Investments, Inc.GEC · Entity 144097Director · 10% ownerSeptember 30, 2020October 15, 2020
Great Elm Capital Corp.GECC · Entity 6877DirectorSeptember 16, 2024September 17, 2024
Great Elm Group, Inc.GEG · Entity 7060DirectorJanuary 08, 2026January 13, 2026
INTEVAC INCIVAC · Entity 81388DirectorMay 17, 2016May 19, 2017

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.

Forest Investments, Inc.

Report date September 30, 2020 · Filed October 15, 2020

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect86,397 Reported balance After 2020-09-30 transaction · row 1
1 source row

Row 1 · 2020-09-30 · Grant · Acquired 9,004 · Balance 86,397

Common StockSEC Table I · non-derivativeIndirectSee Footnote1,266,000 Reported balance Holding disclosure · report date 2020-09-30 · row 2 Holding and transaction disclosures are not merged.
1 source row

Row 2 · Balance 1,266,000

F1: Represents shares of common stock purchased by Northern Right Capital Management, L.P., a Texas limited partnership ("Northern Right Management"), on behalf of a separate managed account on behalf of an investment advisory client (the "Managed Account") pursuant to the exercise of a warrant issued by GEC to Northern Right Management on September 18, 2017.

F3: As general partner and investment manager of Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the shares of common stock held by Northern Right QP. As the investment manager of the Managed Account, Northern Right Management may also be deemed to be the beneficial owner of the shares of common stock held by the Managed Account. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, Mr. Drapkin may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA. Mr. Drapkin disclaims such beneficial ownership of the 2,402,792 shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectSee Footnote1,136,792 Reported balance Holding disclosure · report date 2020-09-30 · row 3 Holding and transaction disclosures are not merged.
1 source row

Row 3 · Balance 1,136,792

F2: Represents shares of common stock held directly by Northern Right Capital (QP), L.P., a Texas limited partnership ("Northern Right QP").

F3: As general partner and investment manager of Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the shares of common stock held by Northern Right QP. As the investment manager of the Managed Account, Northern Right Management may also be deemed to be the beneficial owner of the shares of common stock held by the Managed Account. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, Mr. Drapkin may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA. Mr. Drapkin disclaims such beneficial ownership of the 2,402,792 shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: Represents shares of common stock purchased by Northern Right Capital Management, L.P., a Texas limited partnership ("Northern Right Management"), on behalf of a separate managed account on behalf of an investment advisory client (the "Managed Account") pursuant to the exercise of a warrant issued by GEC to Northern Right Management on September 18, 2017.

F2: Represents shares of common stock held directly by Northern Right Capital (QP), L.P., a Texas limited partnership ("Northern Right QP").

F3: As general partner and investment manager of Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the shares of common stock held by Northern Right QP. As the investment manager of the Managed Account, Northern Right Management may also be deemed to be the beneficial owner of the shares of common stock held by the Managed Account. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, Mr. Drapkin may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA. Mr. Drapkin disclaims such beneficial ownership of the 2,402,792 shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein.

Great Elm Capital Corp.

Report date September 16, 2024 · Filed September 17, 2024

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect75,716 Reported balance After 2024-09-16 transaction · row 3
1 source row

Row 3 · 2024-09-16 · Purchase · Acquired 9,600 · Balance 75,716

F3: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.68 to $9.98, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

Common StockSEC Table I · non-derivativeIndirectSee Footnote429,331 Reported balance Holding disclosure · report date 2024-09-16 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 429,331

F1: Represents shares of common stock held directly by Northern Right Capital (QP), L.P., a Texas limited partnership ("Northern Right QP").

F4: As general partner and investment manager of Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the shares of common stock held by Northern Right QP. As the investment manager of the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA.

F5: (continued from footnote 4) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectSee Footnote369,140 Reported balance Holding disclosure · report date 2024-09-16 · row 2 Holding and transaction disclosures are not merged.
1 source row

Row 2 · Balance 369,140

F2: Represents shares of common stock purchased by Northern Right Capital Management, L.P., a Texas limited partnership ("Northern Right Management"), on behalf of separate managed accounts on behalf of an investment advisory client (the "Managed Accounts").

F4: As general partner and investment manager of Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the shares of common stock held by Northern Right QP. As the investment manager of the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA.

F5: (continued from footnote 4) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: Represents shares of common stock held directly by Northern Right Capital (QP), L.P., a Texas limited partnership ("Northern Right QP").

F2: Represents shares of common stock purchased by Northern Right Capital Management, L.P., a Texas limited partnership ("Northern Right Management"), on behalf of separate managed accounts on behalf of an investment advisory client (the "Managed Accounts").

F3: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.68 to $9.98, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

F4: As general partner and investment manager of Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the shares of common stock held by Northern Right QP. As the investment manager of the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA.

F5: (continued from footnote 4) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein.

Great Elm Group, Inc.

Report date January 08, 2026 · Filed January 13, 2026

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect755,280 Reported balance After 2026-01-08 transaction · row 3 Account or security details depend on footnotes; rows are not merged.
1 source row

Row 3 · 2026-01-08 · Grant · Acquired 26,531 · Balance 755,280

F5: The Reporting Person was awarded 26,531 shares of restricted stock of Great Elm Group, Inc. ("GEG"), which vest in equal quarterly installments on the end of each quarter beginning on March 31, 2026 through December 31, 2026, contingent upon continued service as a member of the board of directors of GEG.

Common StockSEC Table I · non-derivativeDirect816,504 Reported balance After 2026-01-08 transaction · row 4 Account or security details depend on footnotes; rows are not merged.
1 source row

Row 4 · 2026-01-08 · Grant · Acquired 61,224 · Balance 816,504

F6: The Reporting Person was awarded 61,224 shares of restricted stock of GEG, which vest in equal quarterly installments on the end of each quarter beginning on March 31, 2026 through December 31, 2026, contingent upon continued service as a member of the board of directors of GEG. These shares were awarded at the Reporting Person's election in lieu of a cash retainer.

Common StockSEC Table I · non-derivativeDirect843,035 Reported balance After 2026-01-08 transaction · row 5 Account or security details depend on footnotes; rows are not merged.
1 source row

Row 5 · 2026-01-08 · Grant · Acquired 26,531 · Balance 843,035

F7: The Reporting Person was awarded 26,531 shares of restricted stock of GEG, which vest in equal quarterly installments on the end of each quarter beginning on March 31, 2026 through December 31, 2026, contingent upon continued service as a member of the board of directors of Great Elm Capital Corp.

Common StockSEC Table I · non-derivativeIndirectSee Footnote2,279,478 Reported balance Holding disclosure · report date 2026-01-08 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 2,279,478

F1: Represents shares of common stock held directly by Northern Right Capital (QP), L.P., a Texas limited partnership ("Northern Right QP").

F3: As general partner and investment manager of Northern Right QP, Northern Right Capital Management, L.P. ("Northern Right Management") may be deemed to be the beneficial owner of the shares of common stock held by Northern Right QP. As the investment manager of the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA"), may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA.

F4: (continued from footnote 3) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectSee Footnote1,963,690 Reported balance Holding disclosure · report date 2026-01-08 · row 2 Holding and transaction disclosures are not merged.
1 source row

Row 2 · Balance 1,963,690

F2: Represents shares of common stock purchased by managed accounts (the "Managed Accounts") on behalf of certain investment advisory clients of Northern Right Capital Management, L.P. ("Northern Right Management").

F3: As general partner and investment manager of Northern Right QP, Northern Right Capital Management, L.P. ("Northern Right Management") may be deemed to be the beneficial owner of the shares of common stock held by Northern Right QP. As the investment manager of the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA"), may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA.

F4: (continued from footnote 3) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: Represents shares of common stock held directly by Northern Right Capital (QP), L.P., a Texas limited partnership ("Northern Right QP").

F2: Represents shares of common stock purchased by managed accounts (the "Managed Accounts") on behalf of certain investment advisory clients of Northern Right Capital Management, L.P. ("Northern Right Management").

F3: As general partner and investment manager of Northern Right QP, Northern Right Capital Management, L.P. ("Northern Right Management") may be deemed to be the beneficial owner of the shares of common stock held by Northern Right QP. As the investment manager of the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA"), may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA.

F4: (continued from footnote 3) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein.

F5: The Reporting Person was awarded 26,531 shares of restricted stock of Great Elm Group, Inc. ("GEG"), which vest in equal quarterly installments on the end of each quarter beginning on March 31, 2026 through December 31, 2026, contingent upon continued service as a member of the board of directors of GEG.

F6: The Reporting Person was awarded 61,224 shares of restricted stock of GEG, which vest in equal quarterly installments on the end of each quarter beginning on March 31, 2026 through December 31, 2026, contingent upon continued service as a member of the board of directors of GEG. These shares were awarded at the Reporting Person's election in lieu of a cash retainer.

F7: The Reporting Person was awarded 26,531 shares of restricted stock of GEG, which vest in equal quarterly installments on the end of each quarter beginning on March 31, 2026 through December 31, 2026, contingent upon continued service as a member of the board of directors of Great Elm Capital Corp.

INTEVAC INC

Report date May 17, 2016 · Filed May 19, 2017

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Non-Qualified Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $13.10 · Expires 2024-05-17Direct13,000 Reported balance After 2017-05-17 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2017-05-17 · Grant · Acquired 13,000 · Balance 13,000

Past disclosures · reporting ended (1)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

PRGX GLOBAL, INC.

Report date March 03, 2021 · Filed March 04, 2021

Section 16 reporting ended · disclosed 2021-03-04. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common Stock, no par valueSEC Table I · non-derivativeDirect2,028,068 Reported balance After 2021-03-03 transaction · row 1
1 source row

Row 1 · 2021-03-03 · Disposition to issuer · Disposed 7,480 · Balance 2,028,068

F1: Disposed of pursuant to the Agreement and Plan of Merger dated as of December 24, 2020 (the "Merger Agreement"), by and among PRGX Global, Inc., a Georgia Corporation (the "Company"), Pluto Acquisitionco Inc., a Delaware corporation ("Parent"), and Pluto Merger Sub Inc., a Georgia corporation and wholly owned subsidiary of Parent ("Merger Sub").

Common Stock, no par valueSEC Table I · non-derivativeIndirectBy Northern Right Capital Management, L.P.0 Reported balance After 2021-03-03 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 2 · 2021-03-03 · Disposition to issuer · Disposed 2,028,068 · Balance 0

F1: Disposed of pursuant to the Agreement and Plan of Merger dated as of December 24, 2020 (the "Merger Agreement"), by and among PRGX Global, Inc., a Georgia Corporation (the "Company"), Pluto Acquisitionco Inc., a Delaware corporation ("Parent"), and Pluto Merger Sub Inc., a Georgia corporation and wholly owned subsidiary of Parent ("Merger Sub").

F2: Shares beneficially owned by Mr. Drapkin include shares deemed beneficially owned indirectly by Mr. Drapkin who is a managing member of BC Advisors, LLC, which is the general partner of Northern Right Capital Management, L.P. (of which Mr. Drapkin is a limited partner). Northern Right Capital Management, L.P. is the general partner of, and investment manager for, Northern Right Capital (QP), L.P.

Restricted Stock Units subject to deferral electionSEC Table II · derivative / convertible securityDirect0 Reported balance After 2021-03-03 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2021-03-03 · Disposition to issuer · Disposed 30,769 · Balance 0

F3: Pursuant to the Merger Agreement, at the effective time, and in accordance with the terms of the PRGX Global, Inc. Deferred Compensation Plan for Non-Employee Directors (the "Plan"), each Company RSU which is subject to a deferral election under the Plan was deemed contributed to the Plan and then cancelled and converted into the right to receive a cash payment, without interest, equal to (i) $7.71 multiplied by (ii) the total number of shares of Company common stock subject to such Company RSU, less any required withholding taxes.

Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.80 · Expires 2023-11-09Direct0 Reported balance After 2021-03-03 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · 2021-03-03 · Disposition to issuer · Disposed 35,000 · Balance 0

F4: Pursuant to the Merger Agreement, at the effective time of the Merger, each outstanding option to purchase Company common stock (each, a "Company Stock Option"), whether vested or unvested, was cancelled and converted into the right to receive a cash payment, without interest, equal to (i) $7.71, less the exercise price per share attributable to such Company Stock Option multiplied by (ii) the total number of shares of Company common stock then issuable upon exercise in full of such Company Stock Options, less any required withholding taxes.

Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.80 · Expires 2023-11-09Direct0 Reported balance After 2021-03-03 transaction · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 5 · 2021-03-03 · Disposition to issuer · Disposed 20,417 · Balance 0

F4: Pursuant to the Merger Agreement, at the effective time of the Merger, each outstanding option to purchase Company common stock (each, a "Company Stock Option"), whether vested or unvested, was cancelled and converted into the right to receive a cash payment, without interest, equal to (i) $7.71, less the exercise price per share attributable to such Company Stock Option multiplied by (ii) the total number of shares of Company common stock then issuable upon exercise in full of such Company Stock Options, less any required withholding taxes.

Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $6.35 · Expires 2023-11-09Direct0 Reported balance After 2021-03-03 transaction · row 6 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 6 · 2021-03-03 · Disposition to issuer · Disposed 13,636 · Balance 0

F4: Pursuant to the Merger Agreement, at the effective time of the Merger, each outstanding option to purchase Company common stock (each, a "Company Stock Option"), whether vested or unvested, was cancelled and converted into the right to receive a cash payment, without interest, equal to (i) $7.71, less the exercise price per share attributable to such Company Stock Option multiplied by (ii) the total number of shares of Company common stock then issuable upon exercise in full of such Company Stock Options, less any required withholding taxes.

Deferred Compensation Plan Stock UnitsSEC Table II · derivative / convertible securityDirect0 Reported balance After 2021-03-03 transaction · row 7 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 7 · 2021-03-03 · Disposition to issuer · Disposed 10,052 · Balance 0

F5: Pursuant to the Merger Agreement, at the effective time, and in accordance with the terms of the Plan, each Stock Unit (as defined in the Plan) was cancelled and converted into the right of the holder of such Stock Unit to receive a cash payment, without interest, equal to (i) $7.71 multiplied by (ii) the number of shares of Company common stock subject to each Stock Unit.

Deferred Compensation Plan Stock UnitsSEC Table II · derivative / convertible securityDirect0 Reported balance After 2021-03-03 transaction · row 8 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 8 · 2021-03-03 · Disposition to issuer · Disposed 18,547 · Balance 0

F5: Pursuant to the Merger Agreement, at the effective time, and in accordance with the terms of the Plan, each Stock Unit (as defined in the Plan) was cancelled and converted into the right of the holder of such Stock Unit to receive a cash payment, without interest, equal to (i) $7.71 multiplied by (ii) the number of shares of Company common stock subject to each Stock Unit.

Filing footnotes · ownership attribution and instrument terms

F1: Disposed of pursuant to the Agreement and Plan of Merger dated as of December 24, 2020 (the "Merger Agreement"), by and among PRGX Global, Inc., a Georgia Corporation (the "Company"), Pluto Acquisitionco Inc., a Delaware corporation ("Parent"), and Pluto Merger Sub Inc., a Georgia corporation and wholly owned subsidiary of Parent ("Merger Sub").

F2: Shares beneficially owned by Mr. Drapkin include shares deemed beneficially owned indirectly by Mr. Drapkin who is a managing member of BC Advisors, LLC, which is the general partner of Northern Right Capital Management, L.P. (of which Mr. Drapkin is a limited partner). Northern Right Capital Management, L.P. is the general partner of, and investment manager for, Northern Right Capital (QP), L.P.

F3: Pursuant to the Merger Agreement, at the effective time, and in accordance with the terms of the PRGX Global, Inc. Deferred Compensation Plan for Non-Employee Directors (the "Plan"), each Company RSU which is subject to a deferral election under the Plan was deemed contributed to the Plan and then cancelled and converted into the right to receive a cash payment, without interest, equal to (i) $7.71 multiplied by (ii) the total number of shares of Company common stock subject to such Company RSU, less any required withholding taxes.

F4: Pursuant to the Merger Agreement, at the effective time of the Merger, each outstanding option to purchase Company common stock (each, a "Company Stock Option"), whether vested or unvested, was cancelled and converted into the right to receive a cash payment, without interest, equal to (i) $7.71, less the exercise price per share attributable to such Company Stock Option multiplied by (ii) the total number of shares of Company common stock then issuable upon exercise in full of such Company Stock Options, less any required withholding taxes.

F5: Pursuant to the Merger Agreement, at the effective time, and in accordance with the terms of the Plan, each Stock Unit (as defined in the Plan) was cancelled and converted into the right of the holder of such Stock Unit to receive a cash payment, without interest, equal to (i) $7.71 multiplied by (ii) the number of shares of Company common stock subject to each Stock Unit.

Transaction history

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Purchases/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 dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
July 22, 2022 Filed Jul 26, 2022 23:21 UTC Great Elm Group, Inc. GEG · Entity 7060 PurchaseCommon Stock 8,658 $1.98 $17,128.99
Disclosure

SEC source: 0001140361-22-027020 · form4.xml · nonDerivative · entry 1

Drapkin Matthew A · CIK 0001458693 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,458,331

F1 · ownership.direct: Represents shares of common stock held directly by Northern Right Capital (QP), L.P., a Texas limited partnership ("Northern Right QP").

F4 · ownership.nature: As general partner and investment manager of NRC Partners and Northern Right QP, Northern Right Capital Management, L.P. ("Northern Right Management") may be deemed to be the beneficial owner of the shares of common stock held by NRC Partners and Northern Right QP. As the investment manager of the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA.

F5 · ownership.nature: (continued from footnote 4) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein.

Read SEC document
July 20, 2022 Filed Jul 21, 2022 00:16 UTC Great Elm Group, Inc. GEG · Entity 7060 PurchaseCommon Stock 2,067 $1.98 $4,100.93
Disclosure

SEC source: 0001140361-22-026541 · form4.xml · nonDerivative · entry 6

Drapkin Matthew A · CIK 0001458693 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,648,720

F3 · ownership.direct: Represents shares of common stock purchased managed accounts (the "Managed Accounts") on behalf of certain investment advisory clients of Northern Right Capital Management, L.P. ("Northern Right Management").

F4 · ownership.nature: As general partner and investment manager of NRC Partners and Northern Right QP, Northern Right Capital Management, L.P. ("Northern Right Management") may be deemed to be the beneficial owner of the shares of common stock held by NRC Partners and Northern Right QP. As the investment manager of the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA.

F5 · ownership.nature: (continued from footnote 4) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein.

F6 · ownership.nature: As a result of a ministerial error made by the broker for the Reporting Person, in the Form 4 filed by the Reporting Person on June 13, 2022 (the "June 13 Form 4") to report shares of common stock of GEG acquired by the Reporting Person on June 9, 2022, the amount of securities acquired and the amount of securities directly and indirectly beneficially owned following the reported transaction were incorrectly reported as 237,637 and 3,092,921, respectively. The correct amount of securities acquired and the correct amount of securities directly and indirectly beneficially owned following the reported transaction reported in the June 13 Form 4 should have been 237,367 and 3,092,651, respectively.

F7 · ownership.nature: (continued from footnote 6) The broker's error was corrected in the Form 4 filed by the Reporting Person on June 16, 2022, wherein the amount of securities directly and indirectly beneficially owned following the reported transactions reflects the correct number of shares of common stock of GEG beneficially owned by the Reporting Person as of the date thereof. The amounts reported in this Form 4 also reflect the correction to the broker's error and are accurate as of the date hereof.

Read SEC document
July 20, 2022 Filed Jul 21, 2022 00:16 UTC Great Elm Group, Inc. GEG · Entity 7060 PurchaseCommon Stock 388 $1.98 $769.79
Disclosure

SEC source: 0001140361-22-026541 · form4.xml · nonDerivative · entry 5

Drapkin Matthew A · CIK 0001458693 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 102,582

F2 · ownership.direct: Represents shares of common stock held directly by NRC Partners I, L.P. ("NRC Partners").

F4 · ownership.nature: As general partner and investment manager of NRC Partners and Northern Right QP, Northern Right Capital Management, L.P. ("Northern Right Management") may be deemed to be the beneficial owner of the shares of common stock held by NRC Partners and Northern Right QP. As the investment manager of the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA.

F5 · ownership.nature: (continued from footnote 4) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein.

F6 · ownership.nature: As a result of a ministerial error made by the broker for the Reporting Person, in the Form 4 filed by the Reporting Person on June 13, 2022 (the "June 13 Form 4") to report shares of common stock of GEG acquired by the Reporting Person on June 9, 2022, the amount of securities acquired and the amount of securities directly and indirectly beneficially owned following the reported transaction were incorrectly reported as 237,637 and 3,092,921, respectively. The correct amount of securities acquired and the correct amount of securities directly and indirectly beneficially owned following the reported transaction reported in the June 13 Form 4 should have been 237,367 and 3,092,651, respectively.

F7 · ownership.nature: (continued from footnote 6) The broker's error was corrected in the Form 4 filed by the Reporting Person on June 16, 2022, wherein the amount of securities directly and indirectly beneficially owned following the reported transactions reflects the correct number of shares of common stock of GEG beneficially owned by the Reporting Person as of the date thereof. The amounts reported in this Form 4 also reflect the correction to the broker's error and are accurate as of the date hereof.

Read SEC document
July 20, 2022 Filed Jul 21, 2022 00:16 UTC Great Elm Group, Inc. GEG · Entity 7060 PurchaseCommon Stock 1,203 $1.98 $2,386.75
Disclosure

SEC source: 0001140361-22-026541 · form4.xml · nonDerivative · entry 4

Drapkin Matthew A · CIK 0001458693 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,449,673

F1 · ownership.direct: Represents shares of common stock held directly by Northern Right Capital (QP), L.P., a Texas limited partnership ("Northern Right QP").

F4 · ownership.nature: As general partner and investment manager of NRC Partners and Northern Right QP, Northern Right Capital Management, L.P. ("Northern Right Management") may be deemed to be the beneficial owner of the shares of common stock held by NRC Partners and Northern Right QP. As the investment manager of the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA.

F5 · ownership.nature: (continued from footnote 4) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein.

F6 · ownership.nature: As a result of a ministerial error made by the broker for the Reporting Person, in the Form 4 filed by the Reporting Person on June 13, 2022 (the "June 13 Form 4") to report shares of common stock of GEG acquired by the Reporting Person on June 9, 2022, the amount of securities acquired and the amount of securities directly and indirectly beneficially owned following the reported transaction were incorrectly reported as 237,637 and 3,092,921, respectively. The correct amount of securities acquired and the correct amount of securities directly and indirectly beneficially owned following the reported transaction reported in the June 13 Form 4 should have been 237,367 and 3,092,651, respectively.

F7 · ownership.nature: (continued from footnote 6) The broker's error was corrected in the Form 4 filed by the Reporting Person on June 16, 2022, wherein the amount of securities directly and indirectly beneficially owned following the reported transactions reflects the correct number of shares of common stock of GEG beneficially owned by the Reporting Person as of the date thereof. The amounts reported in this Form 4 also reflect the correction to the broker's error and are accurate as of the date hereof.

Read SEC document
July 18, 2022 Filed Jul 21, 2022 00:16 UTC Great Elm Group, Inc. GEG · Entity 7060 PurchaseCommon Stock 1,850 $2.00 $3,697.04
Disclosure

SEC source: 0001140361-22-026541 · form4.xml · nonDerivative · entry 3

Drapkin Matthew A · CIK 0001458693 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,646,653

F3 · ownership.direct: Represents shares of common stock purchased managed accounts (the "Managed Accounts") on behalf of certain investment advisory clients of Northern Right Capital Management, L.P. ("Northern Right Management").

F4 · ownership.nature: As general partner and investment manager of NRC Partners and Northern Right QP, Northern Right Capital Management, L.P. ("Northern Right Management") may be deemed to be the beneficial owner of the shares of common stock held by NRC Partners and Northern Right QP. As the investment manager of the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA.

F5 · ownership.nature: (continued from footnote 4) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein.

F6 · ownership.nature: As a result of a ministerial error made by the broker for the Reporting Person, in the Form 4 filed by the Reporting Person on June 13, 2022 (the "June 13 Form 4") to report shares of common stock of GEG acquired by the Reporting Person on June 9, 2022, the amount of securities acquired and the amount of securities directly and indirectly beneficially owned following the reported transaction were incorrectly reported as 237,637 and 3,092,921, respectively. The correct amount of securities acquired and the correct amount of securities directly and indirectly beneficially owned following the reported transaction reported in the June 13 Form 4 should have been 237,367 and 3,092,651, respectively.

F7 · ownership.nature: (continued from footnote 6) The broker's error was corrected in the Form 4 filed by the Reporting Person on June 16, 2022, wherein the amount of securities directly and indirectly beneficially owned following the reported transactions reflects the correct number of shares of common stock of GEG beneficially owned by the Reporting Person as of the date thereof. The amounts reported in this Form 4 also reflect the correction to the broker's error and are accurate as of the date hereof.

Read SEC document
July 18, 2022 Filed Jul 21, 2022 00:16 UTC Great Elm Group, Inc. GEG · Entity 7060 PurchaseCommon Stock 345 $2.00 $689.45
Disclosure

SEC source: 0001140361-22-026541 · form4.xml · nonDerivative · entry 2

Drapkin Matthew A · CIK 0001458693 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 102,194

F2 · ownership.direct: Represents shares of common stock held directly by NRC Partners I, L.P. ("NRC Partners").

F4 · ownership.nature: As general partner and investment manager of NRC Partners and Northern Right QP, Northern Right Capital Management, L.P. ("Northern Right Management") may be deemed to be the beneficial owner of the shares of common stock held by NRC Partners and Northern Right QP. As the investment manager of the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA.

F5 · ownership.nature: (continued from footnote 4) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein.

F6 · ownership.nature: As a result of a ministerial error made by the broker for the Reporting Person, in the Form 4 filed by the Reporting Person on June 13, 2022 (the "June 13 Form 4") to report shares of common stock of GEG acquired by the Reporting Person on June 9, 2022, the amount of securities acquired and the amount of securities directly and indirectly beneficially owned following the reported transaction were incorrectly reported as 237,637 and 3,092,921, respectively. The correct amount of securities acquired and the correct amount of securities directly and indirectly beneficially owned following the reported transaction reported in the June 13 Form 4 should have been 237,367 and 3,092,651, respectively.

F7 · ownership.nature: (continued from footnote 6) The broker's error was corrected in the Form 4 filed by the Reporting Person on June 16, 2022, wherein the amount of securities directly and indirectly beneficially owned following the reported transactions reflects the correct number of shares of common stock of GEG beneficially owned by the Reporting Person as of the date thereof. The amounts reported in this Form 4 also reflect the correction to the broker's error and are accurate as of the date hereof.

Read SEC document
July 18, 2022 Filed Jul 21, 2022 00:16 UTC Great Elm Group, Inc. GEG · Entity 7060 PurchaseCommon Stock 1,087 $2.00 $2,172.26
Disclosure

SEC source: 0001140361-22-026541 · form4.xml · nonDerivative · entry 1

Drapkin Matthew A · CIK 0001458693 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,448,470

F1 · ownership.direct: Represents shares of common stock held directly by Northern Right Capital (QP), L.P., a Texas limited partnership ("Northern Right QP").

F4 · ownership.nature: As general partner and investment manager of NRC Partners and Northern Right QP, Northern Right Capital Management, L.P. ("Northern Right Management") may be deemed to be the beneficial owner of the shares of common stock held by NRC Partners and Northern Right QP. As the investment manager of the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA.

F5 · ownership.nature: (continued from footnote 4) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein.

F6 · ownership.nature: As a result of a ministerial error made by the broker for the Reporting Person, in the Form 4 filed by the Reporting Person on June 13, 2022 (the "June 13 Form 4") to report shares of common stock of GEG acquired by the Reporting Person on June 9, 2022, the amount of securities acquired and the amount of securities directly and indirectly beneficially owned following the reported transaction were incorrectly reported as 237,637 and 3,092,921, respectively. The correct amount of securities acquired and the correct amount of securities directly and indirectly beneficially owned following the reported transaction reported in the June 13 Form 4 should have been 237,367 and 3,092,651, respectively.

F7 · ownership.nature: (continued from footnote 6) The broker's error was corrected in the Form 4 filed by the Reporting Person on June 16, 2022, wherein the amount of securities directly and indirectly beneficially owned following the reported transactions reflects the correct number of shares of common stock of GEG beneficially owned by the Reporting Person as of the date thereof. The amounts reported in this Form 4 also reflect the correction to the broker's error and are accurate as of the date hereof.

Read SEC document
June 16, 2022 Filed Jun 17, 2022 00:41 UTC Great Elm Group, Inc. GEG · Entity 7060 PurchaseCommon Stock 12,133 $2.48 $30,041.31
Disclosure

SEC source: 0001140361-22-023315 · form4.xml · nonDerivative · entry 9

Drapkin Matthew A · CIK 0001458693 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,644,803

F3 · ownership.direct: Represents shares of common stock purchased managed accounts (the "Managed Accounts) on behalf of certain investment advisory clients of Northern Right Capital Management, L.P. ("Northern Right Management").

F4 · ownership.nature: As general partner and investment manager of NRC Partners and Northern Right QP, Northern Right Capital Management, L.P. ("Northern Right Management") may be deemed to be the beneficial owner of the shares of common stock held by NRC Partners and Northern Right QP. As the investment manager of the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA.

F5 · ownership.nature: (continued from footnote 4) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein

Read SEC document
June 16, 2022 Filed Jun 17, 2022 00:41 UTC Great Elm Group, Inc. GEG · Entity 7060 PurchaseCommon Stock 2,295 $2.48 $5,682.42
Disclosure

SEC source: 0001140361-22-023315 · form4.xml · nonDerivative · entry 8

Drapkin Matthew A · CIK 0001458693 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 101,849

F2 · ownership.direct: Represents shares of common stock held directly by NRC Partners I, L.P. ("NRC Partners").

F4 · ownership.nature: As general partner and investment manager of NRC Partners and Northern Right QP, Northern Right Capital Management, L.P. ("Northern Right Management") may be deemed to be the beneficial owner of the shares of common stock held by NRC Partners and Northern Right QP. As the investment manager of the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA.

F5 · ownership.nature: (continued from footnote 4) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein

Read SEC document
June 16, 2022 Filed Jun 17, 2022 00:41 UTC Great Elm Group, Inc. GEG · Entity 7060 PurchaseCommon Stock 7,184 $2.48 $17,787.58
Disclosure

SEC source: 0001140361-22-023315 · form4.xml · nonDerivative · entry 7

Drapkin Matthew A · CIK 0001458693 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,447,383

F1 · ownership.direct: Represents shares of common stock held directly by Northern Right Capital (QP), L.P., a Texas limited partnership ("Northern Right QP").

F4 · ownership.nature: As general partner and investment manager of NRC Partners and Northern Right QP, Northern Right Capital Management, L.P. ("Northern Right Management") may be deemed to be the beneficial owner of the shares of common stock held by NRC Partners and Northern Right QP. As the investment manager of the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA.

F5 · ownership.nature: (continued from footnote 4) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein

Read SEC document
June 15, 2022 Filed Jun 17, 2022 00:41 UTC Great Elm Group, Inc. GEG · Entity 7060 PurchaseCommon Stock 2,692 $2.44 $6,566.06
Disclosure

SEC source: 0001140361-22-023315 · form4.xml · nonDerivative · entry 6

Drapkin Matthew A · CIK 0001458693 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,632,670

F3 · ownership.direct: Represents shares of common stock purchased managed accounts (the "Managed Accounts) on behalf of certain investment advisory clients of Northern Right Capital Management, L.P. ("Northern Right Management").

F4 · ownership.nature: As general partner and investment manager of NRC Partners and Northern Right QP, Northern Right Capital Management, L.P. ("Northern Right Management") may be deemed to be the beneficial owner of the shares of common stock held by NRC Partners and Northern Right QP. As the investment manager of the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA.

F5 · ownership.nature: (continued from footnote 4) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein

Read SEC document
June 15, 2022 Filed Jun 17, 2022 00:41 UTC Great Elm Group, Inc. GEG · Entity 7060 PurchaseCommon Stock 515 $2.44 $1,256.14
Disclosure

SEC source: 0001140361-22-023315 · form4.xml · nonDerivative · entry 5

Drapkin Matthew A · CIK 0001458693 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 99,554

F2 · ownership.direct: Represents shares of common stock held directly by NRC Partners I, L.P. ("NRC Partners").

F4 · ownership.nature: As general partner and investment manager of NRC Partners and Northern Right QP, Northern Right Capital Management, L.P. ("Northern Right Management") may be deemed to be the beneficial owner of the shares of common stock held by NRC Partners and Northern Right QP. As the investment manager of the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA.

F5 · ownership.nature: (continued from footnote 4) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein

Read SEC document
June 15, 2022 Filed Jun 17, 2022 00:41 UTC Great Elm Group, Inc. GEG · Entity 7060 PurchaseCommon Stock 1,565 $2.44 $3,817.19
Disclosure

SEC source: 0001140361-22-023315 · form4.xml · nonDerivative · entry 4

Drapkin Matthew A · CIK 0001458693 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,440,199

F1 · ownership.direct: Represents shares of common stock held directly by Northern Right Capital (QP), L.P., a Texas limited partnership ("Northern Right QP").

F4 · ownership.nature: As general partner and investment manager of NRC Partners and Northern Right QP, Northern Right Capital Management, L.P. ("Northern Right Management") may be deemed to be the beneficial owner of the shares of common stock held by NRC Partners and Northern Right QP. As the investment manager of the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA.

F5 · ownership.nature: (continued from footnote 4) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein

Read SEC document
June 15, 2022 Filed Jun 17, 2022 21:26 UTC Great Elm Capital Corp. GECC · Entity 6877 Exercise / conversionSubscription Rights · Derivative 309 $0.00 Strike: $12.50 $0.00
Disclosure

SEC source: 0001140361-22-023521 · form4.xml · derivative · entry 10

Drapkin Matthew A · CIK 0001458693 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 309 shares

Expires 2022-06-10

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F12 · ownership.direct: Represents subscription rights held by the Marital Trust.

F8 · ownership.nature: As trustee of the Marital Trust, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by the Marital Trust. The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position as trustee of the Marital Trust.

Read SEC document
June 15, 2022 Filed Jun 17, 2022 21:26 UTC Great Elm Capital Corp. GECC · Entity 6877 Exercise / conversionSubscription Rights · Derivative 1,308 $0.00 Strike: $12.50 $0.00
Disclosure

SEC source: 0001140361-22-023521 · form4.xml · derivative · entry 9

Drapkin Matthew A · CIK 0001458693 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,308 shares

Expires 2022-06-10

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
June 15, 2022 Filed Jun 17, 2022 21:26 UTC Great Elm Capital Corp. GECC · Entity 6877 Exercise / conversionSubscription Rights · Derivative 48,194 $0.00 Strike: $12.50 $0.00
Disclosure

SEC source: 0001140361-22-023521 · form4.xml · derivative · entry 8

Drapkin Matthew A · CIK 0001458693 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 48,194 shares

Expires 2022-06-10

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F11 · ownership.direct: Represents subscription rights held by Northern Right Management, on behalf of the Managed Accounts.

F6 · ownership.nature: As general partner and investment manager of NRC Partners and Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the shares of common stock held by NRC Partners and Northern Right QP. As the investment manager of the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA.

F7 · ownership.nature: (continued from footnote 6) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein.

Read SEC document
June 15, 2022 Filed Jun 17, 2022 21:26 UTC Great Elm Capital Corp. GECC · Entity 6877 Exercise / conversionSubscription Rights · Derivative 47,335 $0.00 Strike: $12.50 $0.00
Disclosure

SEC source: 0001140361-22-023521 · form4.xml · derivative · entry 7

Drapkin Matthew A · CIK 0001458693 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 47,335 shares

Expires 2022-06-10

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F10 · ownership.direct: Represents subscription rights held directly by NRC Partners.

F6 · ownership.nature: As general partner and investment manager of NRC Partners and Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the shares of common stock held by NRC Partners and Northern Right QP. As the investment manager of the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA.

F7 · ownership.nature: (continued from footnote 6) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein.

Read SEC document
June 15, 2022 Filed Jun 17, 2022 21:26 UTC Great Elm Capital Corp. GECC · Entity 6877 Exercise / conversionSubscription Rights · Derivative 131,606 $0.00 Strike: $12.50 $0.00
Disclosure

SEC source: 0001140361-22-023521 · form4.xml · derivative · entry 6

Drapkin Matthew A · CIK 0001458693 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 131,606 shares

Expires 2022-06-10

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F9 · ownership.direct: Represents subscription rights held directly by Northern Right QP.

F6 · ownership.nature: As general partner and investment manager of NRC Partners and Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the shares of common stock held by NRC Partners and Northern Right QP. As the investment manager of the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA.

F7 · ownership.nature: (continued from footnote 6) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein.

Read SEC document
June 15, 2022 Filed Jun 17, 2022 21:26 UTC Great Elm Capital Corp. GECC · Entity 6877 OtherCommon Stock 40,000 $12.50 $500,000.00
Disclosure

SEC source: 0001140361-22-023521 · form4.xml · nonDerivative · entry 5

Drapkin Matthew A · CIK 0001458693 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 40,309

F4 · shares: On June 15, 2022, the Reporting Person exercised in full his primary subscription rights (each 1 subscription right entitling him to purchase 1 share of Common Stock and oversubscritption privilege), which were issued to holders of Common Stock on the May 23, 2022 record date for the rights offering.

F5 · shares: Represents shares of common stock held directly by Bernice Drapkin Non-GST Exempt Marital Trust U/A/D 12/10/2015 (the "Marital Trust").

F5 · ownership.direct: Represents shares of common stock held directly by Bernice Drapkin Non-GST Exempt Marital Trust U/A/D 12/10/2015 (the "Marital Trust").

F8 · ownership.nature: As trustee of the Marital Trust, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by the Marital Trust. The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position as trustee of the Marital Trust.

Read SEC document
June 15, 2022 Filed Jun 17, 2022 21:26 UTC Great Elm Capital Corp. GECC · Entity 6877 Exercise / conversionCommon Stock 20,000 $12.50 $250,000.00
Disclosure

SEC source: 0001140361-22-023521 · form4.xml · nonDerivative · entry 4

Drapkin Matthew A · CIK 0001458693 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,308

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · shares: On June 15, 2022, the Reporting Person exercised in full his primary subscription rights (each 1 subscription right entitling him to purchase 1 share of Common Stock and oversubscritption privilege), which were issued to holders of Common Stock on the May 23, 2022 record date for the rights offering.

Read SEC document
June 15, 2022 Filed Jun 17, 2022 21:26 UTC Great Elm Capital Corp. GECC · Entity 6877 Exercise / conversionCommon Stock 320,000 $12.50 $4,000,000.00
Disclosure

SEC source: 0001140361-22-023521 · form4.xml · nonDerivative · entry 3

Drapkin Matthew A · CIK 0001458693 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 369,140

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · ownership.direct: Represents shares of common stock purchased by Northern Right Capital Management, L.P., a Texas limited partnership ("Northern Right Management"), on behalf of separate managed accounts on behalf of an investment advisory client (the "Managed Accounts").

F6 · ownership.nature: As general partner and investment manager of NRC Partners and Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the shares of common stock held by NRC Partners and Northern Right QP. As the investment manager of the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA.

F7 · ownership.nature: (continued from footnote 6) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein.

Read SEC document
June 15, 2022 Filed Jun 17, 2022 21:26 UTC Great Elm Capital Corp. GECC · Entity 6877 Exercise / conversionCommon Stock 160,000 $12.50 $2,000,000.00
Disclosure

SEC source: 0001140361-22-023521 · form4.xml · nonDerivative · entry 2

Drapkin Matthew A · CIK 0001458693 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 208,932

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · ownership.direct: Represents shares of common stock held directly by NRC Partners I, L.P. ("NRC Partners").

F6 · ownership.nature: As general partner and investment manager of NRC Partners and Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the shares of common stock held by NRC Partners and Northern Right QP. As the investment manager of the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA.

F7 · ownership.nature: (continued from footnote 6) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein.

Read SEC document
June 15, 2022 Filed Jun 17, 2022 21:26 UTC Great Elm Capital Corp. GECC · Entity 6877 Exercise / conversionCommon Stock 84,000 $12.50 $1,050,000.00
Disclosure

SEC source: 0001140361-22-023521 · form4.xml · nonDerivative · entry 1

Drapkin Matthew A · CIK 0001458693 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 220,399

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · ownership.direct: Represents shares of common stock held directly by Northern Right Capital (QP), L.P., a Texas limited partnership ("Northern Right QP").

F6 · ownership.nature: As general partner and investment manager of NRC Partners and Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the shares of common stock held by NRC Partners and Northern Right QP. As the investment manager of the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA.

F7 · ownership.nature: (continued from footnote 6) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein.

Read SEC document
June 14, 2022 Filed Jun 17, 2022 00:41 UTC Great Elm Group, Inc. GEG · Entity 7060 PurchaseCommon Stock 42,270 $2.42 $102,293.40
Disclosure

SEC source: 0001140361-22-023315 · form4.xml · nonDerivative · entry 3

Drapkin Matthew A · CIK 0001458693 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,629,978

F3 · ownership.direct: Represents shares of common stock purchased managed accounts (the "Managed Accounts) on behalf of certain investment advisory clients of Northern Right Capital Management, L.P. ("Northern Right Management").

F4 · ownership.nature: As general partner and investment manager of NRC Partners and Northern Right QP, Northern Right Capital Management, L.P. ("Northern Right Management") may be deemed to be the beneficial owner of the shares of common stock held by NRC Partners and Northern Right QP. As the investment manager of the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA.

F5 · ownership.nature: (continued from footnote 4) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein

Read SEC document
June 14, 2022 Filed Jun 17, 2022 00:41 UTC Great Elm Group, Inc. GEG · Entity 7060 PurchaseCommon Stock 8,097 $2.42 $19,594.74
Disclosure

SEC source: 0001140361-22-023315 · form4.xml · nonDerivative · entry 2

Drapkin Matthew A · CIK 0001458693 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 99,039

F2 · ownership.direct: Represents shares of common stock held directly by NRC Partners I, L.P. ("NRC Partners").

F4 · ownership.nature: As general partner and investment manager of NRC Partners and Northern Right QP, Northern Right Capital Management, L.P. ("Northern Right Management") may be deemed to be the beneficial owner of the shares of common stock held by NRC Partners and Northern Right QP. As the investment manager of the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA.

F5 · ownership.nature: (continued from footnote 4) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein

Read SEC document
June 14, 2022 Filed Jun 17, 2022 00:41 UTC Great Elm Group, Inc. GEG · Entity 7060 PurchaseCommon Stock 24,633 $2.42 $59,611.86
Disclosure

SEC source: 0001140361-22-023315 · form4.xml · nonDerivative · entry 1

Drapkin Matthew A · CIK 0001458693 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,438,634

F1 · ownership.direct: Represents shares of common stock held directly by Northern Right Capital (QP), L.P., a Texas limited partnership ("Northern Right QP").

F4 · ownership.nature: As general partner and investment manager of NRC Partners and Northern Right QP, Northern Right Capital Management, L.P. ("Northern Right Management") may be deemed to be the beneficial owner of the shares of common stock held by NRC Partners and Northern Right QP. As the investment manager of the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA.

F5 · ownership.nature: (continued from footnote 4) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein

Read SEC document
June 09, 2022 Filed Jun 14, 2022 00:31 UTC Great Elm Group, Inc. GEG · Entity 7060 PurchaseCommon Stock 134,626 $2.38 $320,409.88
Disclosure

SEC source: 0001140361-22-022817 · form4.xml · nonDerivative · entry 3

Drapkin Matthew A · CIK 0001458693 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,587,860

F3 · ownership.direct: Represents shares of common stock purchased managed accounts (the "Managed Accounts) on behalf of certain investment advisory clients of Northern Right Capital Management, L.P. ("Northern Right Management").

F4 · ownership.nature: As general partner and investment manager of NRC Partners and Northern Right QP, Northern Right Capital Management, L.P. ("Northern Right Management") may be deemed to be the beneficial owner of the shares of common stock held by NRC Partners and Northern Right QP. As the investment manager of the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA.

F5 · ownership.nature: (continued from footnote 4) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein.

Read SEC document
June 09, 2022 Filed Jun 14, 2022 00:31 UTC Great Elm Group, Inc. GEG · Entity 7060 PurchaseCommon Stock 25,883 $2.38 $61,601.54
Disclosure

SEC source: 0001140361-22-022817 · form4.xml · nonDerivative · entry 2

Drapkin Matthew A · CIK 0001458693 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 90,972

F2 · ownership.direct: Represents shares of common stock held directly by NRC Partners I, L.P. ("NRC Partners").

F4 · ownership.nature: As general partner and investment manager of NRC Partners and Northern Right QP, Northern Right Capital Management, L.P. ("Northern Right Management") may be deemed to be the beneficial owner of the shares of common stock held by NRC Partners and Northern Right QP. As the investment manager of the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA.

F5 · ownership.nature: (continued from footnote 4) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein.

Read SEC document
June 09, 2022 Filed Jun 14, 2022 00:31 UTC Great Elm Group, Inc. GEG · Entity 7060 PurchaseCommon Stock 77,128 $2.38 $183,564.64
Disclosure

SEC source: 0001140361-22-022817 · form4.xml · nonDerivative · entry 1

Drapkin Matthew A · CIK 0001458693 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,414,089

F1 · ownership.direct: Represents shares of common stock held directly by Northern Right Capital (QP), L.P., a Texas limited partnership ("Northern Right QP").

F4 · ownership.nature: As general partner and investment manager of NRC Partners and Northern Right QP, Northern Right Capital Management, L.P. ("Northern Right Management") may be deemed to be the beneficial owner of the shares of common stock held by NRC Partners and Northern Right QP. As the investment manager of the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA.

F5 · ownership.nature: (continued from footnote 4) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein.

Read SEC document
May 25, 2022 Filed May 27, 2022 20:17 UTC Great Elm Capital Corp. GECC · Entity 6877 PurchaseCommon Stock 4,793 $12.41 $59,498.38
Disclosure

SEC source: 0001140361-22-021021 · form4.xml · nonDerivative · entry 3

Drapkin Matthew A · CIK 0001458693 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 136,399

F3 · ownership.direct: Represents shares of common stock held directly by Northern Right Capital (QP), L.P., a Texas limited partnership ("Northern Right QP").

F4 · ownership.nature: As general partner and investment manager of NRC Partners and Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the shares of common stock held by NRC Partners and Northern Right QP. As the investment manager of the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA.

F5 · ownership.nature: (continued from footnote 4) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein.

Read SEC document
May 25, 2022 Filed May 27, 2022 20:17 UTC Great Elm Capital Corp. GECC · Entity 6877 PurchaseCommon Stock 1,597 $12.41 $19,824.52
Disclosure

SEC source: 0001140361-22-021021 · form4.xml · nonDerivative · entry 2

Drapkin Matthew A · CIK 0001458693 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 48,932

F2 · ownership.direct: Represents shares of common stock held directly by NRC Partners I, L.P. ("NRC Partners").

F4 · ownership.nature: As general partner and investment manager of NRC Partners and Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the shares of common stock held by NRC Partners and Northern Right QP. As the investment manager of the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA.

F5 · ownership.nature: (continued from footnote 4) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein.

Read SEC document
May 25, 2022 Filed May 27, 2022 20:17 UTC Great Elm Capital Corp. GECC · Entity 6877 PurchaseCommon Stock 946 $12.41 $11,743.27
Disclosure

SEC source: 0001140361-22-021021 · form4.xml · nonDerivative · entry 1

Drapkin Matthew A · CIK 0001458693 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 49,140

F1 · ownership.direct: Represents shares of common stock purchased by Northern Right Capital Management, L.P., a Texas limited partnership ("Northern Right Management"), on behalf of separate managed accounts on behalf of an investment advisory client (the "Managed Accounts").

F4 · ownership.nature: As general partner and investment manager of NRC Partners and Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the shares of common stock held by NRC Partners and Northern Right QP. As the investment manager of the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA.

F5 · ownership.nature: (continued from footnote 4) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein.

Read SEC document
May 06, 2022 Filed May 11, 2022 01:18 UTC Great Elm Group, Inc. GEG · Entity 7060 GrantCommon Stock 46,230 $1.51 $69,807.30
Disclosure

SEC source: 0001140361-22-018541 · form4.xml · nonDerivative · entry 1

Drapkin Matthew A · CIK 0001458693 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 276,711

F1 · ownership.direct: The Reporting Person was awarded 46,230 shares of restricted stock. 3,184 shares vested on May 6, 2022 with the balance to vest in equal quarterly installments on the end of each quarter beginning on June 30, 2022 through March 31, 2023. The Reporting Person has elected to defer delivery of the shares, pursuant to a pre-established deferral election. The shares will be delivered in a single lump sum upon the earlier of (a) three years from the grant date of the shares and (b) termination of the Reporting Person's service as a member board of directors of GEG.

F2 · ownership.direct: Includes 132,472 Restricted Stock Units ("RSUs") previously reported and that were deferred pursuant to a pre-established deferral election. The shares will be delivered in a single lump sum upon the earlier of (a) three years from the grant date of the RSUs and (b) termination of the Reporting Person's service as a member board of directors of GEG.

Read SEC document
March 09, 2022 Filed Mar 12, 2022 02:41 UTC Great Elm Capital Corp. GECC · Entity 6877 PurchaseCommon Stock 1,000 $14.70 $14,700.00
Disclosure

SEC source: 0001140361-22-009270 · form4.xml · nonDerivative · entry 1

Drapkin Matthew A · CIK 0001458693 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,617

Read SEC document
March 09, 2022 Filed Mar 12, 2022 00:32 UTC Great Elm Capital Corp. GECC · Entity 6877 PurchaseCommon Stock 1,000 $14.70 $14,700.00
Disclosure

SEC source: 0001140361-22-009228 · form4.xml · nonDerivative · entry 2

Drapkin Matthew A · CIK 0001458693 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 48,195

F1 · ownership.direct: Represents shares of common stock purchased by Northern Right Capital Management, L.P., a Texas limited partnership ("Northern Right Management"), on behalf of separate managed accounts on behalf of an investment advisory client (the "Managed Accounts").

F4 · ownership.nature: As general partner and investment manager of NRC Partners and Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the shares of common stock held by NRC Partners and Northern Right QP. As the investment manager of the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA.

F5 · ownership.nature: (continued from footnote 4) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein.

Read SEC document
March 09, 2022 Filed Mar 12, 2022 00:32 UTC Great Elm Capital Corp. GECC · Entity 6877 PurchaseCommon Stock 617 $14.70 $9,069.90
Disclosure

SEC source: 0001140361-22-009228 · form4.xml · nonDerivative · entry 1

Drapkin Matthew A · CIK 0001458693 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 617

Read SEC document
January 03, 2022 Filed Jan 5, 2022 21:42 UTC Great Elm Group, Inc. GEG · Entity 7060 GrantCommon Stock 41,262 $0.00 $0.00
Disclosure

SEC source: 0001140361-22-000681 · form4.xml · nonDerivative · entry 2

Drapkin Matthew A · CIK 0001458693 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 230,481

F2 · ownership.direct: The Reporting Person was awarded 41,262 shares of restricted stock, which vest in equal quarterly installments on the end of each quarter beginning on March 31, 2022 through December 31, 2022, contingent upon continued service as a member of the board of directors of GEG. The Reporting Person has elected to defer delivery of the shares, pursuant to a pre-established deferral election. The shares will be delivered in a single lump sum upon the earlier of (a) three years from the grant date of the shares and (b) termination of the Reporting Person's service as a member board of directors of GEG.

F3 · ownership.direct: Includes 59,657 Restricted Stock Units ("RSUs") previously reported and that were deferred pursuant to a pre-established deferral election. The shares will be delivered in a single lump sum upon the earlier of (a) three years from the grant date of the RSUs and (b) termination of the Reporting Person's service as a member board of directors of GEG.

Read SEC document
January 03, 2022 Filed Jan 5, 2022 21:42 UTC Great Elm Group, Inc. GEG · Entity 7060 GrantCommon Stock 31,553 $0.00 $0.00
Disclosure

SEC source: 0001140361-22-000681 · form4.xml · nonDerivative · entry 1

Drapkin Matthew A · CIK 0001458693 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 189,219

F1 · ownership.direct: The Reporting Person was awarded 31,553 shares of restricted stock, which vest in equal monthly installments on the end of each month beginning on January 31, 2022 through December 31, 2022, contingent upon continued service as a member of the board of directors of Great Elm Group, Inc. ("GEG"). The Reporting Person has elected to defer delivery of the shares, pursuant to a pre-established deferral election. The shares will be delivered in a single lump sum upon the earlier of (a) three years from the grant date of the shares and (b) termination of the Reporting Person's service as a member board of directors of GEG.

F3 · ownership.direct: Includes 59,657 Restricted Stock Units ("RSUs") previously reported and that were deferred pursuant to a pre-established deferral election. The shares will be delivered in a single lump sum upon the earlier of (a) three years from the grant date of the RSUs and (b) termination of the Reporting Person's service as a member board of directors of GEG.

Read SEC document
July 01, 2021 Filed Jul 2, 2021 21:28 UTC Great Elm Group, Inc. GEG · Entity 7060 GrantCommon Stock 17,932 $0.00 $0.00
Disclosure

SEC source: 0001140361-21-023394 · form4.xml · nonDerivative · entry 2

Drapkin Matthew A · CIK 0001458693 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 157,666

F2 · ownership.direct: The Reporting Person was awarded 17,932 RSUs, 50% of which vest on September 30, 2021, and the remainder of which vest on December 31, 2021, contingent upon continued service as a member of the Company's board of directors. The Reporting Person has elected to defer delivery of the shares, pursuant to a pre-established deferral election. The shares will be delivered in a single lump sum upon the earlier of (a) three years from the grant date of the RSUs and (b) termination of the Reporting Person's service as a member of the Company's board of directors.

F3 · ownership.direct: Includes 32,281 RSUs previously reported and that were deferred pursuant to a pre-established deferral election. The shares will be delivered in a single lump sum upon the earlier of (a) three years from the grant date of the RSUs and (b) termination of the Reporting Person's service as a member of the Company's board of directors.

Read SEC document
June 30, 2021 Filed Jul 2, 2021 21:28 UTC Great Elm Group, Inc. GEG · Entity 7060 GrantCommon Stock 9,444 $0.00 $0.00
Disclosure

SEC source: 0001140361-21-023394 · form4.xml · nonDerivative · entry 1

Drapkin Matthew A · CIK 0001458693 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 139,734

F1 · ownership.direct: The Reporting Person was awarded 9,444 restricted stock units ("RSUs") that fully vested on the grant date, June 30, 2021. The Reporting Person has elected to defer delivery of the shares, pursuant to a pre-established deferral election. The shares will be delivered in a single lump sum upon the earlier of (a) three years from the grant date of the RSUs and (b) termination of the Reporting Person's service as a member board of directors of the Great Elm Group, Inc. (the "Company").

F3 · ownership.direct: Includes 32,281 RSUs previously reported and that were deferred pursuant to a pre-established deferral election. The shares will be delivered in a single lump sum upon the earlier of (a) three years from the grant date of the RSUs and (b) termination of the Reporting Person's service as a member of the Company's board of directors.

Read SEC document
May 20, 2021 Filed May 21, 2021 00:30 UTC Great Elm Group, Inc. GEG · Entity 7060 GrantCommon Stock 29,277 $2.32 $67,826.03
Disclosure

SEC source: 0001140361-21-018248 · form4.xml · nonDerivative · entry 3

Drapkin Matthew A · CIK 0001458693 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 2,567,084

F3 · shares: Represents 18,934 shares of common stock of GEG purchased by Northern Right QP, 6,002 shares of common stock of GEG purchased by NRC Partners and 4,341 shares of common stock of GEG purchased by the Account.

F4 · ownership.nature: Northern Right QP beneficially owns and has the power to vote or to direct the vote of 1,243,038 shares of common stock of GEG. NRC Partners beneficially owns and has the power to vote or to direct the vote of 33,687 shares of common stock of GEG. Managed accounts (the "Managed Accounts") on behalf of certain investment advisory clients of Northern Right Capital Management beneficially own 1,290,359 shares of common stock of GEG.

F5 · ownership.nature: As general partner and investment manager of NRC Partners and Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by NRC Partners and Northern Right QP. As the investment manager of the Account and the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the securities held by such accounts. As general partner of Northern Right Management, BC Advisors, LLC ("BCA") may be deemed to be the beneficial owner of the securities beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, Mr. Drapkin may be deemed to be the beneficial owner of the securities beneficially owned (or deemed beneficially owned) by BCA. Mr. Drapkin disclaims such beneficial ownership of the 2,567,084 shares indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein.

Read SEC document
May 19, 2021 Filed May 21, 2021 00:30 UTC Great Elm Group, Inc. GEG · Entity 7060 GrantCommon Stock 129,938 $2.40 $311,643.30
Disclosure

SEC source: 0001140361-21-018248 · form4.xml · nonDerivative · entry 2

Drapkin Matthew A · CIK 0001458693 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 2,537,807

F2 · shares: Represents 84,032 shares of common stock of GEG purchased by Northern Right QP, 26,642 shares of common stock of GEG purchased by NRC Partners and 19,264 shares of common stock of GEG purchased by the Account.

F4 · ownership.nature: Northern Right QP beneficially owns and has the power to vote or to direct the vote of 1,243,038 shares of common stock of GEG. NRC Partners beneficially owns and has the power to vote or to direct the vote of 33,687 shares of common stock of GEG. Managed accounts (the "Managed Accounts") on behalf of certain investment advisory clients of Northern Right Capital Management beneficially own 1,290,359 shares of common stock of GEG.

F5 · ownership.nature: As general partner and investment manager of NRC Partners and Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by NRC Partners and Northern Right QP. As the investment manager of the Account and the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the securities held by such accounts. As general partner of Northern Right Management, BC Advisors, LLC ("BCA") may be deemed to be the beneficial owner of the securities beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, Mr. Drapkin may be deemed to be the beneficial owner of the securities beneficially owned (or deemed beneficially owned) by BCA. Mr. Drapkin disclaims such beneficial ownership of the 2,567,084 shares indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein.

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May 18, 2021 Filed May 21, 2021 00:30 UTC Great Elm Group, Inc. GEG · Entity 7060 GrantCommon Stock 5,077 $2.18 $11,069.89
Disclosure

SEC source: 0001140361-21-018248 · form4.xml · nonDerivative · entry 1

Drapkin Matthew A · CIK 0001458693 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 2,407,869

F1 · shares: Represents 3,280 shares of common stock of Great Elm Group, Inc. ("GEG") purchased by Northern Right Capital (QP), L.P. ("Northern Right QP"), 1,043 shares of common stock of GEG purchased by NRC Partners I, L.P. ("NRC Partners") and 754 shares of common stock of GEG purchased by a managed account (the "Account") on behalf of an investment advisory client of Northern Right Capital Management, L.P. ("Northern Right Management"). Northern Right Management acts as investment manager for the Account.

F4 · ownership.nature: Northern Right QP beneficially owns and has the power to vote or to direct the vote of 1,243,038 shares of common stock of GEG. NRC Partners beneficially owns and has the power to vote or to direct the vote of 33,687 shares of common stock of GEG. Managed accounts (the "Managed Accounts") on behalf of certain investment advisory clients of Northern Right Capital Management beneficially own 1,290,359 shares of common stock of GEG.

F5 · ownership.nature: As general partner and investment manager of NRC Partners and Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by NRC Partners and Northern Right QP. As the investment manager of the Account and the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the securities held by such accounts. As general partner of Northern Right Management, BC Advisors, LLC ("BCA") may be deemed to be the beneficial owner of the securities beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, Mr. Drapkin may be deemed to be the beneficial owner of the securities beneficially owned (or deemed beneficially owned) by BCA. Mr. Drapkin disclaims such beneficial ownership of the 2,567,084 shares indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein.

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March 31, 2021 Filed Apr 2, 2021 21:29 UTC Great Elm Group, Inc. GEG · Entity 7060 GrantCommon Stock 8,709 $0.00 $0.00
Disclosure

SEC source: 0001140361-21-011452 · form4.xml · nonDerivative · entry 1

Drapkin Matthew A · CIK 0001458693 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 130,290

F1 · ownership.direct: The Reporting Person was awarded 8,709 restricted stock units ("RSUs") that fully vested on the grant date, March 31, 2021. The Reporting Person has elected to defer delivery of the shares, pursuant to a pre-established deferral election. The shares will be delivered in a single lump sum upon the earlier of (a) three years from the grant date of the RSUs and (b) termination of the Reporting Person's service as a member of the Company's board of directors.

F2 · ownership.direct: Includes 23,572 RSUs previously reported and that were deferred pursuant to a pre-established deferral election. The shares will be delivered in a single lump sum upon the earlier of (a) three years from the grant date of the RSUs and (b) termination of the Reporting Person's service as a member of the Company's board of directors.

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March 19, 2021 Filed Mar 23, 2021 22:54 UTC Great Elm Group, Inc. GEG · Entity 7060 GrantCommon Stock 19,751 $0.00 $0.00
Disclosure

SEC source: 0001140361-21-009669 · form4.xml · nonDerivative · entry 2

Drapkin Matthew A · CIK 0001458693 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,581

F2 · ownership.direct: The Reporting Person was awarded 19,751 restricted stock units, one-tenth of which vested on March 19, 2021, and the remainder of which vest in equal monthly installments on the first of each month beginning April 1, 2021 through December 1, 2021, contingent upon continued service as a member of the board of directors of Great Elm Group, Inc.

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March 19, 2021 Filed Mar 23, 2021 22:54 UTC Great Elm Group, Inc. GEG · Entity 7060 GrantCommon Stock 7,706 $0.00 $0.00
Disclosure

SEC source: 0001140361-21-009669 · form4.xml · nonDerivative · entry 1

Drapkin Matthew A · CIK 0001458693 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,830

F1 · ownership.direct: The Reporting Person was awarded 7,706 restricted stock units that fully vested on March 19, 2021.

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March 03, 2021 Filed Mar 4, 2021 10:08 UTC PRGX GLOBAL, INC. PRGX · Entity 13616 Disposition to issuerDeferred Compensation Plan Stock Units · Derivative 18,547 $7.71 $142,997.37
Disclosure

SEC source: 0001209191-21-017627 · doc4.xml · derivative · entry 8

Drapkin Matthew A · CIK 0001458693 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, no par value · 18,547 shares

Expires not disclosed

F5 · derivative.exercise_price: Pursuant to the Merger Agreement, at the effective time, and in accordance with the terms of the Plan, each Stock Unit (as defined in the Plan) was cancelled and converted into the right of the holder of such Stock Unit to receive a cash payment, without interest, equal to (i) $7.71 multiplied by (ii) the number of shares of Company common stock subject to each Stock Unit.

F5 · price: Pursuant to the Merger Agreement, at the effective time, and in accordance with the terms of the Plan, each Stock Unit (as defined in the Plan) was cancelled and converted into the right of the holder of such Stock Unit to receive a cash payment, without interest, equal to (i) $7.71 multiplied by (ii) the number of shares of Company common stock subject to each Stock Unit.

F5 · derivative.exercise_date: Pursuant to the Merger Agreement, at the effective time, and in accordance with the terms of the Plan, each Stock Unit (as defined in the Plan) was cancelled and converted into the right of the holder of such Stock Unit to receive a cash payment, without interest, equal to (i) $7.71 multiplied by (ii) the number of shares of Company common stock subject to each Stock Unit.

F5 · derivative.expiration_date: Pursuant to the Merger Agreement, at the effective time, and in accordance with the terms of the Plan, each Stock Unit (as defined in the Plan) was cancelled and converted into the right of the holder of such Stock Unit to receive a cash payment, without interest, equal to (i) $7.71 multiplied by (ii) the number of shares of Company common stock subject to each Stock Unit.

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March 03, 2021 Filed Mar 4, 2021 10:08 UTC PRGX GLOBAL, INC. PRGX · Entity 13616 Disposition to issuerDeferred Compensation Plan Stock Units · Derivative 10,052 $7.71 $77,500.92
Disclosure

SEC source: 0001209191-21-017627 · doc4.xml · derivative · entry 7

Drapkin Matthew A · CIK 0001458693 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, no par value · 10,052 shares

Expires not disclosed

F5 · derivative.exercise_price: Pursuant to the Merger Agreement, at the effective time, and in accordance with the terms of the Plan, each Stock Unit (as defined in the Plan) was cancelled and converted into the right of the holder of such Stock Unit to receive a cash payment, without interest, equal to (i) $7.71 multiplied by (ii) the number of shares of Company common stock subject to each Stock Unit.

F5 · price: Pursuant to the Merger Agreement, at the effective time, and in accordance with the terms of the Plan, each Stock Unit (as defined in the Plan) was cancelled and converted into the right of the holder of such Stock Unit to receive a cash payment, without interest, equal to (i) $7.71 multiplied by (ii) the number of shares of Company common stock subject to each Stock Unit.

F5 · derivative.exercise_date: Pursuant to the Merger Agreement, at the effective time, and in accordance with the terms of the Plan, each Stock Unit (as defined in the Plan) was cancelled and converted into the right of the holder of such Stock Unit to receive a cash payment, without interest, equal to (i) $7.71 multiplied by (ii) the number of shares of Company common stock subject to each Stock Unit.

F5 · derivative.expiration_date: Pursuant to the Merger Agreement, at the effective time, and in accordance with the terms of the Plan, each Stock Unit (as defined in the Plan) was cancelled and converted into the right of the holder of such Stock Unit to receive a cash payment, without interest, equal to (i) $7.71 multiplied by (ii) the number of shares of Company common stock subject to each Stock Unit.

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March 03, 2021 Filed Mar 4, 2021 10:08 UTC PRGX GLOBAL, INC. PRGX · Entity 13616 Disposition to issuerStock Option (right to buy) · Derivative 13,636 $1.36 Strike: $6.35 $18,544.96
Disclosure

SEC source: 0001209191-21-017627 · doc4.xml · derivative · entry 6

Drapkin Matthew A · CIK 0001458693 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, no par value · 13,636 shares

Expires 2023-11-09

F4 · price: Pursuant to the Merger Agreement, at the effective time of the Merger, each outstanding option to purchase Company common stock (each, a "Company Stock Option"), whether vested or unvested, was cancelled and converted into the right to receive a cash payment, without interest, equal to (i) $7.71, less the exercise price per share attributable to such Company Stock Option multiplied by (ii) the total number of shares of Company common stock then issuable upon exercise in full of such Company Stock Options, less any required withholding taxes.

F4 · derivative.exercise_date: Pursuant to the Merger Agreement, at the effective time of the Merger, each outstanding option to purchase Company common stock (each, a "Company Stock Option"), whether vested or unvested, was cancelled and converted into the right to receive a cash payment, without interest, equal to (i) $7.71, less the exercise price per share attributable to such Company Stock Option multiplied by (ii) the total number of shares of Company common stock then issuable upon exercise in full of such Company Stock Options, less any required withholding taxes.

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March 03, 2021 Filed Mar 4, 2021 10:08 UTC PRGX GLOBAL, INC. PRGX · Entity 13616 Disposition to issuerStock Option (right to buy) · Derivative 20,417 $2.91 Strike: $4.80 $59,413.47
Disclosure

SEC source: 0001209191-21-017627 · doc4.xml · derivative · entry 5

Drapkin Matthew A · CIK 0001458693 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, no par value · 20,417 shares

Expires 2023-11-09

F4 · price: Pursuant to the Merger Agreement, at the effective time of the Merger, each outstanding option to purchase Company common stock (each, a "Company Stock Option"), whether vested or unvested, was cancelled and converted into the right to receive a cash payment, without interest, equal to (i) $7.71, less the exercise price per share attributable to such Company Stock Option multiplied by (ii) the total number of shares of Company common stock then issuable upon exercise in full of such Company Stock Options, less any required withholding taxes.

F4 · derivative.exercise_date: Pursuant to the Merger Agreement, at the effective time of the Merger, each outstanding option to purchase Company common stock (each, a "Company Stock Option"), whether vested or unvested, was cancelled and converted into the right to receive a cash payment, without interest, equal to (i) $7.71, less the exercise price per share attributable to such Company Stock Option multiplied by (ii) the total number of shares of Company common stock then issuable upon exercise in full of such Company Stock Options, less any required withholding taxes.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.