Forest Investments, Inc. 4
4 · Great Elm Capital Corp. · Filed Dec 31, 2020
Insider Transaction Report
Form 4
Great Elm Capital Group, Inc.
10% Owner
Transactions
- Other
Common Stock
2020-12-29−5,425,644→ 0 total - Other
Common Stock
2020-12-29−429,150→ 0 total(indirect: See Footnotes)
Footnotes (2)
- [F1]On December 29, 2020, Great Elm Capital Group, Inc. ("GEC" and, following consummation of the Reorganization (as hereinafter defined), "Forest") implemented a holding company reorganization (the "Reorganization") pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of December 21, 2020, by and among GEC, Great Elm Group, Inc., a Delaware corporation ("GEG"), and Forest Merger Sub, Inc., a Delaware corporation, which resulted in, among other things, GEG owning all of the outstanding capital stock of GEC and GEC changing its name to "Forest Investments, Inc." Upon consummation of the Reorganization, the shares of common stock of Great Elm Capital Corp. held directly by GEC were transferred to GEG. As a result, the reporting person no longer beneficially owns these shares of common stock.
- [F2]Represents shares of common stock held directly by Great Elm Opportunities Fund I, LP, a Delaware limited partnership.