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

Page 3 of 6 – SEC Filing

CUSIP No. 91531F202
1
NAME OF REPORTING PERSONS
David J. Steinberg
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a)
(b)
3
SEC USE ONLY
4
SOURCE OF FUNDS
AF/OO/PF
5
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E)
6
CITIZENSHIP OR PLACE OF ORGANIZATION
United States
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
7
SOLE VOTING POWER
62,341
8
SHARED VOTING POWER
4,055,913
9
SOLE DISPOSITIVE POWER
62,341
10
SHARED DISPOSITIVE POWER
4,055,913
11
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
4,118,254
12
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
13
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
17.7%
14
TYPE OF REPORTING PERSON
HC, IN

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