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EX-10.1 - EX-10.1 - Great Elm Capital Group, Inc.a16-16865_1ex10d1.htm

 

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.