UNITED STATES
SECURITIES EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d)
of the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): August 17, 2016
Great Elm Capital Group, Inc.
(Exact name of registrant as specified in its charter)
Delaware | | 001-16073 | | 94-3219054 |
(State or Other Jurisdiction
of Incorporation) | | (Commission
File Number) | | (I.R.S. Employer
Identification No.) |
20 First Street, First Floor
Los Altos, California 94022
(Address of principal executive offices) (Zip Code)
(650) 518-7111
(Registrant’s telephone number, including area code)
N/A
(Former name or former address, if changed since last report.)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligations of the registrant under any of the following provisions (see General Instruction A.2. below):
o Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
o Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
o Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
o Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Item 1.01. Entry Into a Material Definitive Agreement
On August 17, 2016, the registrant purchased an aggregate of $7.871 million of the registrant’s senior secured notes due June 2019 (the “Notes”) from MAST Credit Opportunities I Master Fund Ltd., an exempted company incorporated in the Cayman Islands with limited liability (the “Fund”) for an aggregate cash purchase price of $8.195 million, which included accrued and unpaid interest to the purchase date. The purchase agreement is an exhibit to this report.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
Dated: August 17, 2016
| GREAT ELM CAPITAL GROUP, INC. |
| | |
| By: | /s/ James D. Wheat |
| | James D. Wheat |
| | Chief Financial Officer |
Exhibit Index
Exhibit No. | | Description |
| | |
10.1 | | Letter agreement, dated August 17, 2016, by and between the registrant and MAST Credit Opportunities I Master Fund Ltd. |
