13D Filing: MAST Capital and Great Elm Capital Group Inc. (GEC)

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Great Elm Capital Group Inc. (NASDAQ:GEC): David Steinberg’s MAST Capital filed an amended 13D.

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You can access the original SEC filing by clicking here.

Ownership Summary Table

Name Sole Voting Power Shared Voting Power Sole Dispositive Power Shared Dispositive Power Aggregate Amount Owned Power Percent of Class
MAST Capital Management 0 2,366,718 0 2,366,718 2,366,718 9.6%
David J. Steinberg 64,584 2,366,718 64,584 2,366,718 2,431,302 9.9%

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Page 1 of 8 – SEC Filing



Washington, D.C. 20549


Under the Securities Exchange Act of 1934

(Amendment No. 6)

Great Elm
Capital Group, Inc.

(Name of Issuer)

Common Stock, $0.001 Par Value

(Title of Class of Securities)


(CUSIP Number)

MAST Capital Management, LLC

31 St. James Avenue, 6th Floor

Boston, MA 02116


(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)

September 18, 2017

of Event which Requires Filing of this Statement)

If the filing person has
previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Sections 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following
box.  ☐

The information required on the remainder of this cover page shall not be deemed to be filed for the purpose of
Section 18 of the Securities Exchange Act of 1934 (Act) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

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