Great Elm Capital Group, Inc. Business Finance Contracts & Agreements

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Amendment No. 1 to Stockholders’ Rights Agreement between Great Elm Capital Group, Inc. and Computershare Trust Company, N.A.
Shareholders Agreements
Great Elm Capital Group, Inc.
Capital Markets
2020
Stockholders Agreement among Forest Investments, Inc. and Certain Stockholders dated December 29, 2020
Shareholders Agreements
Great Elm Capital Group, Inc.
Capital Markets
NY
2020
Description of Securities Registered under Section 12 – Great Elm Capital Group, Inc.
Equity Distribution Agreements
Great Elm Capital Group, Inc.
Capital Markets
DE
2020
Securities Purchase Agreement between Great Elm Capital Group, Inc. and Investors (February 26, 2020)
Purchase Agreements
Great Elm Capital Group, Inc.
Capital Markets
NY
2020
Registration Rights Agreement between Great Elm Capital Group, Inc. and Buyers (February 26, 2020)
Registration Rights Agreements
Great Elm Capital Group, Inc.
Capital Markets
NY
2020
Great Elm Capital Group, Inc. 5.0% Convertible Senior PIK Notes Due 2030
Note Agreements
Great Elm Capital Group, Inc.
Capital Markets
NY
2020
Description of Securities Registered under Section 12 – Great Elm Capital Group, Inc.
Equity Distribution Agreements
Great Elm Capital Group, Inc.
Capital Markets
DE
2019
Transaction Agreement among Corbel Capital Partners SBIC, L.P., NWMI Manager LLC, Valley Healthcare Holding, LLC, and Great Elm DME Holdings, Inc. dated September 7, 2018
Contribution Agreements
Great Elm Capital Group, Inc.
Capital Markets
DE
2018
Great Elm Capital Group, Inc. Common Stock Certificate and Tax Benefits Preservation Rights Agreement
Stock Agreements
Great Elm Capital Group, Inc.
Capital Markets
2018
Contract of Purchase and Sale between IT Fort Myers Holdings LLC and Great Elm FM Holdings, Inc. (March 6, 2018)
Purchase Agreements
Great Elm Capital Group, Inc.
Capital Markets
DE
2018
Share Registration Agreement between Great Elm Capital Group, Inc. and Northern Right Capital Management, L.P. (September 18, 2017)
Registration Rights Agreements
Great Elm Capital Group, Inc.
Capital Markets
DE
2017
Warrant Agreement between Great Elm Capital Group, Inc. and Northern Right Capital Management, L.P. (September 18, 2017)
Warrant Agreements
Great Elm Capital Group, Inc.
Capital Markets
DE
2017
Share Registration Agreement between Great Elm Capital Group, Inc. and MAST Capital Management, LLC (2017)
Registration Rights Agreements
Great Elm Capital Group, Inc.
Capital Markets
DE
2017
Warrant Agreement between Great Elm Capital Group, Inc. and MAST Capital Management, LLC (September 18, 2017)
Warrant Agreements
Great Elm Capital Group, Inc.
Capital Markets
DE
2017
Amended and Restated Senior Secured Note between GECC GP Corp and MAST Capital Management, LLC (September 18, 2017)
Note Agreements
Great Elm Capital Group, Inc.
Capital Markets
DE
2017
Senior Secured Note Agreement between GECC GP Corp and MAST Capital Management, LLC (November 3, 2016)
Note Agreements
Great Elm Capital Group, Inc.
Capital Markets
DE
2016
Asset Purchase Agreement between MAST Capital Management, LLC and GECC GP Corp. dated November 3, 2016
Purchase Agreements
Great Elm Capital Group, Inc.
Capital Markets
NY
2016
Dealer Manager Agreement for Rights Offering between Great Elm Capital Group, Inc. and Oppenheimer & Co. Inc. and Janney Montgomery Scott LLC
Underwriting Agreements
Great Elm Capital Group, Inc.
Capital Markets
NY
2016
Amended and Restated Backstop Investment Agreement between Great Elm Capital Group, Inc. and Investors (October 13, 2016)
Investment Agreements
Great Elm Capital Group, Inc.
Capital Markets
DE
2016
Great Elm Capital Group, Inc. Non-Transferable Subscription Rights Certificate and Exercise Instructions
Subscription Agreements
Great Elm Capital Group, Inc.
Capital Markets
2016
Great Elm Capital Group, Inc. Common Stock Certificate and Rights Agreement Reference
Stock Agreements
Great Elm Capital Group, Inc.
Capital Markets
2016
Registration Rights Agreement between Great Elm Capital Group, Inc. and Investors under Backstop Investment Agreement
Registration Rights Agreements
Great Elm Capital Group, Inc.
Capital Markets
DE
2016
Backstop Investment Agreement between Great Elm Capital Group, Inc. and Investors (September 13, 2016)
Investment Agreements
Great Elm Capital Group, Inc.
Capital Markets
DE
2016
Note Purchase Agreement between Great Elm Capital Group, Inc. and MAST Capital Management, LLC (August 17, 2016)
Note Agreements
Great Elm Capital Group, Inc.
Capital Markets
2016
Great Elm Capital Group, Inc. Stock Option Grant Notice to Richard S. Chernicoff under 2006 Unwired Planet Stock Plan
Warrant Agreements
Great Elm Capital Group, Inc.
Capital Markets
MA
2016
Consent Agreement Among Great Elm Capital Group, Inc. and Noteholders Regarding Indenture Amendments and Waivers
Waiver Agreements
Great Elm Capital Group, Inc.
Capital Markets
NY
2016
Amended Notice of Stock Option Grant between Unwired Planet, Inc. and Boris Teksler
Stock Agreements
Great Elm Capital Group, Inc.
Capital Markets
2016
First Amendment to Purchase and Sale Agreement between Optis UP Holdings, LLC and Unwired Planet, Inc.
Purchase Agreements
Great Elm Capital Group, Inc.
Capital Markets
2016
Second Supplemental Indenture between Unwired Planet, Inc. and Wells Fargo Bank, N.A. (April 6, 2016)
Indenture Agreements
Great Elm Capital Group, Inc.
Capital Markets
2016
Consent and Assignment Agreement among Unwired Planet, Inc., Unwired Planet, LLC, Telefonaktiebolaget L M Ericsson, and Cluster LLC (April 6, 2016)
Assignment Agreements
Great Elm Capital Group, Inc.
Capital Markets
2016
Forbearance Agreement among Telefonaktiebolaget L M Ericsson, Cluster LLC, and Unwired Planet Entities (April 6, 2016)
Forbearance Agreements
Great Elm Capital Group, Inc.
Capital Markets
DE
2016
Purchase and Sale Agreement between Optis UP Holdings, LLC and Unwired Planet, Inc. dated April 6, 2016
Purchase Agreements
Great Elm Capital Group, Inc.
Capital Markets
TX
2016
First Supplemental Indenture to Senior Secured Notes Due 2019 between Unwired Planet, Inc. and Wells Fargo Bank, N.A.
Indenture Agreements
Great Elm Capital Group, Inc.
Capital Markets
2015
Unwired Planet, Inc. Common Stock Certificate and Shareholder Rights Agreement Reference
Stock Agreements
Great Elm Capital Group, Inc.
Capital Markets
2015
Second Amendment to Master Sale Agreement among Telefonaktiebolaget L M Ericsson, Cluster LLC, Unwired Planet, Inc., and Affiliates
Modification Agreements
Great Elm Capital Group, Inc.
Capital Markets
2014
Registration Rights Agreement between Unwired Planet, Inc. and Purchasers (June 28, 2013)
Registration Rights Agreements
Great Elm Capital Group, Inc.
Capital Markets
2013
Unwired Planet, Inc. Purchase Agreement with Purchasers for Rights Offering of Common Stock
Purchase Agreements
Great Elm Capital Group, Inc.
Capital Markets
NY
2013
Note Purchase Agreement between Unwired Planet, Inc. and Purchasers dated June 28, 2013
Note Agreements
Great Elm Capital Group, Inc.
Capital Markets
NY
2013
Securities Purchase Agreement between Unwired Planet, Inc. and Investors (June 28, 2013)
Purchase Agreements
Great Elm Capital Group, Inc.
Capital Markets
NY
2013
Unwired Planet, Inc. Form of Note Issued Pursuant to Indenture with Wells Fargo Bank, N.A.
Note Agreements
Great Elm Capital Group, Inc.
Capital Markets
2013