Great Elm Capital Group, Inc. Contracts & Agreements

160 Contracts & Agreements
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Filed
Certificate of Designation of Series A Preferred Stock of the Company
Stock Agreements
Great Elm Capital Group, Inc.
2020
Stockholders Agreement of the Company, dated December 29, 2020, among the Company, Holdings and the Holder
Great Elm Capital Group, Inc.
2020
Amendment No. 1 to the Stockholders Rights Agreement between the Company and Computershare Trust Company, N.A
Trust Agreements
Great Elm Capital Group, Inc.
Capital Markets
2020
Agreement and Plan of Merger, dated December 21, 2020, by and among Great Elm Capital Group, Inc., Great Elm Group, Inc. and Forest Merger Sub, Inc
Merger Agreements
Great Elm Capital Group, Inc.
2020
Description of Securities
Great Elm Capital Group, Inc.
2020
Form of 5.0% Convertible Senior PIK Notes due 2030
Note Agreements
Great Elm Capital Group, Inc.
Capital Markets
NY
2020
Form of Registration Rights Agreement
Registration Rights Agreements
Great Elm Capital Group, Inc.
2020
Form of Securities Purchase Agreement
Purchase Agreements
Great Elm Capital Group, Inc.
2020
Description of Securities
Great Elm Capital Group, Inc.
Capital Markets
DE
2019
Amended and restated offer letter dated May 9, 2019 by and between the Registrant and Brent J. Pearson
Great Elm Capital Group, Inc.
2019
Great Elm Capital Management, Inc. Amended and Restated Performance Bonus Plan, dated February 6, 2019
Bonus & Incentive Agreements
Great Elm Capital Group, Inc.
2019
Offer Letter, dated as of October 3, 2018, between Brent J. Pearson and Great Elm Capital Group, Inc
Great Elm Capital Group, Inc.
2018
Offer Letter, dated March 31, 2018, by and between the Registrant and Adam M. Kleinman
Great Elm Capital Group, Inc.
2018
Transaction Agreement, dated as of September 7, 2018, by and among Corbel Capital Partners SBIC, L.P., NWMI Manager LLC, Valley Healthcare Holding, LLC and Great Elm DME Holdings,...
Great Elm Capital Group, Inc.
Capital Markets
DE
2018
Amended and restated form of the Registrants common stock certificate
Stock Agreements
Great Elm Capital Group, Inc.
2018
Separation Agreement between the Registrant and Richard S. Chernicoff, dated as of March 21, 2018
Separation Agreements
Great Elm Capital Group, Inc.
2018
Contract of Purchase and Sale, dated March 6, 2018, between Great Elm FM Holdings, Inc. and IT Fort Myers Holdings, LLC
Purchase Agreements
Great Elm Capital Group, Inc.
2018
Offer letter, dated September 18, 2017, by and between the registrant and Peter A. Reed
Great Elm Capital Group, Inc.
2017
Offer letter, dated September 18, 2017, by and between the registrant and John J. Woods
Great Elm Capital Group, Inc.
Capital Markets
MA
2017
Offer letter, dated September 18, 2017, by and between Great Elm Capital Management, Inc. and Adam M. Kleinman
Great Elm Capital Group, Inc.
2017
Form of Amended and Restated Performance Award
Bonus & Incentive Agreements
Great Elm Capital Group, Inc.
Capital Markets
DE
2017
Great Elm Capital Management Performance Bonus Plan, as in effect as of September 18, 2017
Bonus & Incentive Agreements
Great Elm Capital Group, Inc.
2017
Amended and Restated Senior Secured Note, dated September 18, 2017, made by GECC GP Corp in favor of MAST Capital Management, LLC
Note Agreements
Great Elm Capital Group, Inc.
2017
Warrant, dated September 18, 2017, issued by the registrant to MAST Capital Management, LLC
Warrant Agreements
Great Elm Capital Group, Inc.
Capital Markets
DE
2017
Share Registration Agreement, dated September 18, 2017, by and between the registrant and MAST Capital Management, LLC
Share Agreements
Great Elm Capital Group, Inc.
2017
Warrant, dated September 18, 2017, issued by the registrant to Northern Right Capital Management, L.P
Warrant Agreements
Great Elm Capital Group, Inc.
2017
Share Registration Agreement, dated September 18, 2017, by and between the registrant and Northern Right Capital Management, L.P
Share Agreements
Great Elm Capital Group, Inc.
Capital Markets
DE
2017
Letter agreement, dated September 18, 2017, by and between Great Elm Capital Management, Inc. and GECC GP Corp
Management Agreements
Great Elm Capital Group, Inc.
Capital Markets
2017
Separation Agreement, dated as of September 18, 2017, by and among the Registrant, Great Elm Capital Management, Inc., GECC GP Corp., MAST Capital Management, MAST Capital...
Separation Agreements
Great Elm Capital Group, Inc.
Capital Markets
DE
2017
ASSET PURCHASE AGREEMENT
Purchase Agreements
Great Elm Capital Group, Inc.
2016
COST SHARING AGREEMENT
Great Elm Capital Group, Inc.
2016
PROFIT SHARING AGREEMENT
Great Elm Capital Group, Inc.
2016
SENIOR SECURED NOTE
Note Agreements
Great Elm Capital Group, Inc.
Capital Markets
DE
2016
TERMS AND CONDITIONS OF PERFORMANCE STOCK AWARD
Bonus & Incentive Agreements
Great Elm Capital Group, Inc.
Capital Markets
DE
2016
AMENDED AND RESTATED BACKSTOP INVESTMENT AGREEMENT DATED AS OF OCTOBER 13, 2016 BY AND AMONG GREAT ELM CAPITAL GROUP, INC. AND THE INVESTORS NAMED HEREIN
Investment Agreements
Great Elm Capital Group, Inc.
2016
DEALER MANAGER AGREEMENT
Great Elm Capital Group, Inc.
2016
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Great Elm Capital Group, Inc.
2016
********
Great Elm Capital Group, Inc.
2016
BACKSTOP INVESTMENT AGREEMENT DATED AS OF SEPTEMBER 13, 2016 BY AND AMONG GREAT ELM CAPITAL GROUP, INC. AND THE INVESTORS NAMED HEREIN
Investment Agreements
Great Elm Capital Group, Inc.
Capital Markets
DE
2016
REGISTRATION RIGHTS AGREEMENT
Registration Rights Agreements
Great Elm Capital Group, Inc.
2016
Vest type
Great Elm Capital Group, Inc.
Capital Markets
MA
2016
CONSENT AGREEMENT
Great Elm Capital Group, Inc.
2016
FIRST AMENDMENT TO PURCHASE AND SALE AGREEMENT
Purchase Agreements
Great Elm Capital Group, Inc.
2016
PURCHASE AND SALE AGREEMENT by and between OPTIS UP HOLDINGS, LLC and UNWIRED PLANET, INC. dated as of 6APRIL 2016 PURCHASE AND SALE AGREEMENT
Purchase Agreements
Great Elm Capital Group, Inc.
2016
CONSENTAGREEMENT
Great Elm Capital Group, Inc.
Capital Markets
2016
FORBEARANCE AGREEMENT
Forbearance Agreements
Great Elm Capital Group, Inc.
Capital Markets
DE
2016
UNWIRED PLANET, INC.
Great Elm Capital Group, Inc.
2016
SECOND SUPPLEMENTAL INDENTURE, by and among UNWIRED PLANET,INC., as Issuer and WELLS FARGO BANK, NATIONAL ASSOCIATION, as Indenture Trustee Dated as ofApril 6, 2016 SECOND...
Indenture Agreements
Great Elm Capital Group, Inc.
Capital Markets
2016
FIRSTSUPPLEMENTAL INDENTURE, by and among UNWIRED PLANET, INC., asIssuer and WELLS FARGO BANK, NATIONAL ASSOCIATION, as Indenture Trustee Dated as ofDecember 23, 2015 FIRST...
Indenture Agreements
Great Elm Capital Group, Inc.
2015
Exhibit A UNWIRED PLANET, INC. CONFIDENTIAL INFORMATION AND INVENTION ASSIGNMENT AGREEMENT (CIIA Agreement)
Assignment Agreements
Great Elm Capital Group, Inc.
2015
SECOND AMENDMENT TO MASTER SALE AGREEMENT
Great Elm Capital Group, Inc.
Capital Markets
2014
Consulting Engagement Agreement
Consulting Agreements
Great Elm Capital Group, Inc.
Capital Markets
VA
2014
SEPARATION AGREEMENT AND RELEASE
Separation Agreements
Great Elm Capital Group, Inc.
Capital Markets
NV
2014
UNWIRED PLANET, INC. SECOND AMENDED AND RESTATED 2006 STOCK INCENTIVE PLAN
Bonus & Incentive Agreements
Great Elm Capital Group, Inc.
2014
UNWIRED PLANET, INC. SECOND AMENDED AND RESTATED 1999 DIRECTORS EQUITY COMPENSATION PLAN
Compensation Agreements
Great Elm Capital Group, Inc.
2014
RETENTION AGREEMENT
Retention Agreements
Great Elm Capital Group, Inc.
2013
UNWIRED PLANET, INC., as Issuer, Senior Secured Notes due 2018 INDENTURE Datedas of June 28, 2013 WELLS FARGO BANK, NATIONAL ASSOCIATION, as Indenture Trustee TABLE OF CONTENTS
Note Agreements
Great Elm Capital Group, Inc.
Capital Markets
DE
2013
FORM OF NOTE UNWIRED PLANET, INC.
Note Agreements
Great Elm Capital Group, Inc.
2013
SECURITIES PURCHASE AGREEMENT
Purchase Agreements
Great Elm Capital Group, Inc.
Capital Markets
NY
2013
W I T N E S S E T H:
Great Elm Capital Group, Inc.
2013
PURCHASE AGREEMENT
Purchase Agreements
Great Elm Capital Group, Inc.
2013
REGISTRATION RIGHTS AGREEMENT
Registration Rights Agreements
Great Elm Capital Group, Inc.
Capital Markets
2013
INDEMNIFICATION AGREEMENT
Indemnification Agreements
Great Elm Capital Group, Inc.
Capital Markets
DE
2013
UNWIRED PLANET, INC. 2006STOCK INCENTIVE PLAN RESTRICTED STOCKUNIT GRANT NOTICE (FOR RESTRICTED STOCK UNIT AWARDS TIME-BASEDVESTING)
Bonus & Incentive Agreements
Great Elm Capital Group, Inc.
2013
MASTER SALE AGREEMENT
Great Elm Capital Group, Inc.
2013
AMENDED AND RESTATED OPERATING AGREEMENT OF UNWIRED PLANET, LLC
Operating Agreements
Great Elm Capital Group, Inc.
Capital Markets
NV
2013
RELEASE OF CLAIMS
Release Agreements
Great Elm Capital Group, Inc.
2012
UNWIRED PLANET, INC. CHANGE OF CONTROL SEVERANCE AGREEMENT
Change of Control Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2012
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Great Elm Capital Group, Inc.
Capital Markets
CA
2012
* * * * *
Great Elm Capital Group, Inc.
2012
FIRST AMENDMENT TO AMENDED AND RESTATED CHANGE OF CONTROL SEVERANCE AGREEMENT
Change of Control Agreements
Great Elm Capital Group, Inc.
2012
AMENDMENT NO. 7 TO LOAN AND SECURITY AGREEMENT
Loan Agreements
Great Elm Capital Group, Inc.
Capital Markets
DE
2012
AMENDMENT NO. 8 TO LOAN AND SECURITY AGREEMENT
Loan Agreements
Great Elm Capital Group, Inc.
2012
AMENDMENT NO. 9 TO LOAN AND SECURITY AGREEMENT
Loan Agreements
Great Elm Capital Group, Inc.
Capital Markets
DE
2012
AMENDMENT NO. 10 TO LOAN AND SECURITY AGREEMENT
Loan Agreements
Great Elm Capital Group, Inc.
Capital Markets
DE
2012
ASSET PURCHASE AND SALE AGREEMENT BY AND BETWEEN OPENWAVE SYSTEMS INC. and OM 1, INC. April 15, 2012 Table of Contents
Purchase Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2012
EXEMPTION AGREEMENT
Great Elm Capital Group, Inc.
2012
Exhibit A Personnel Grant Status Summary (see attached)
Great Elm Capital Group, Inc.
Capital Markets
2012
OPENWAVE SYSTEMS INC. CHANGE OF CONTROL SEVERANCE AGREEMENT
Change of Control Agreements
Great Elm Capital Group, Inc.
2012
OPENWAVE SYSTEMS INC. CHANGE OF CONTROL SEVERANCE AGREEMENT
Change of Control Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2012
OPENWAVE SYSTEMS INC. CHANGE OF CONTROL SEVERANCE AGREEMENT
Change of Control Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2012
OPENWAVE SYSTEMS INC. CHANGE OF CONTROL SEVERANCE AGREEMENT
Change of Control Agreements
Great Elm Capital Group, Inc.
2012
OPENWAVE SYSTEMS INC. AMENDED AND RESTATED EXECUTIVE SEVERANCE BENEFIT POLICY
Severance Agreements
Great Elm Capital Group, Inc.
2012
OPENWAVE SYSTEMS, INC. AMENDED AND RESTATED 2006 STOCK INCENTIVE PLAN
Bonus & Incentive Agreements
Great Elm Capital Group, Inc.
Capital Markets
DE
2012
OPENWAVE SYSTEMS INC. 2006STOCK INCENTIVE PLAN RESTRICTED STOCKUNIT GRANT NOTICE (FOR RESTRICTEDSTOCK UNIT AWARDS TIME-BASED VESTING)
Bonus & Incentive Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2012
AMENDMENT NO. 6 TO LOAN AND SECURITY AGREEMENT
Loan Agreements
Great Elm Capital Group, Inc.
Capital Markets
DE
2012
OPENWAVE SYSTEMS INC. CHANGE OF CONTROL SEVERANCE AGREEMENT
Change of Control Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2012
OPENWAVE SYSTEMS INC. AMENDED AND RESTATED CHANGE OF CONTROL SEVERANCE AGREEMENT
Change of Control Agreements
Great Elm Capital Group, Inc.
2012
OPENWAVE SYSTEMS INC. AMENDED AND RESTATED CHANGE OF CONTROL SEVERANCE AGREEMENT
Change of Control Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2012
Openwave Systems Inc. Fiscal Year (FY) 2012 Amended and Restated Executive Corporate Incentive Plan (CIP) Tableof Contents
Bonus & Incentive Agreements
Great Elm Capital Group, Inc.
2011
AMENDMENT NO. 5 TO LOAN AND SECURITY AGREEMENT
Loan Agreements
Great Elm Capital Group, Inc.
2011
Openwave Systems Inc. Fiscal Year (FY) 2012 Executive Corporate Incentive Plan (CIP) Table of Contents
Bonus & Incentive Agreements
Great Elm Capital Group, Inc.
Capital Markets
2011
Openwave systems inc. CHANGE OF CONTROL SEVERANCE AGREEMENT
Change of Control Agreements
Great Elm Capital Group, Inc.
2011
AMENDMENT NO. 4 TO LOAN AND SECURITY AGREEMENT AND LIMITED WAIVER
Loan Agreements
Great Elm Capital Group, Inc.
2011
LIMITED WAIVER TO LOAN AND SECURITY AGREEMENT
Loan Agreements
Great Elm Capital Group, Inc.
Capital Markets
2011
AMENDMENT NO. 1 TO
Great Elm Capital Group, Inc.
2010
AMENDMENT NO. 2 TO
Great Elm Capital Group, Inc.
Capital Markets
DE
2010
Openwave Systems Inc. Fiscal Year (FY) 2010
Great Elm Capital Group, Inc.
2009
LOAN AND SECURITY AGREEMENT
Loan Agreements
Great Elm Capital Group, Inc.
2009
OPENWAVE SYSTEMS INC. AMENDED AND RESTATED
Great Elm Capital Group, Inc.
Capital Markets
2008
OPENWAVE SYSTEMS INC. FORM OF CHANGE CONTROL SEVERANCE AGREEMENT
Change of Control Agreements
Great Elm Capital Group, Inc.
2008
RESIGNATION AGREEMENT AND GENERAL RELEASE OF CLAIMS
Release Agreements
Great Elm Capital Group, Inc.
2008
between Purple Labs S.A., a French corporation and Openwave Systems Inc., a Delaware corporation
Great Elm Capital Group, Inc.
2008
SEVERANCE & RELEASE AGREEMENT
Severance Agreements
Great Elm Capital Group, Inc.
2008
MICROSOFT CORPORATION
Great Elm Capital Group, Inc.
2007
STOCK PURCHASE AGREEMENT
Stock Agreements
Great Elm Capital Group, Inc.
2007
Openwave Systems Inc. Fiscal Year (FY) 2008
Great Elm Capital Group, Inc.
2007
SEVERANCE & RELEASE AGREEMENT
Severance Agreements
Great Elm Capital Group, Inc.
2007
Addendum E DEFINITION OF CAUSE
Great Elm Capital Group, Inc.
2007
Summary of At-Will Employment Arrangement between the Company and Robert Vrij as of March 22, 2007
Employment Agreements
Great Elm Capital Group, Inc.
2007
SEVERANCE & RELEASE AGREEMENT
Severance Agreements
Great Elm Capital Group, Inc.
2006
AMONG OPENWAVE SYSTEMS INC. SYNTAX ACQUISITION, INC. AND SOLOMIO CORPORATION SEPTEMBER 18, 2006
Great Elm Capital Group, Inc.
2006
SEVERANCE & RELEASE AGREEMENT
Severance Agreements
Great Elm Capital Group, Inc.
2006
Openwave Systems Inc. Executive Compensation Deferral Plan
Compensation Agreements
Great Elm Capital Group, Inc.
2006
Openwave Systems Inc. Executive Compensation Deferral Plan Plan Participation Agreement
Compensation Agreements
Great Elm Capital Group, Inc.
2006
OPENWAVE SYSTEMS INC. (a Delaware corporation) 15,600,000 Shares of Common Stock
Stock Agreements
Great Elm Capital Group, Inc.
2005
AMENDED AND RESTATED
Great Elm Capital Group, Inc.
2005
OPENWAVE SYSTEMS INC.
Great Elm Capital Group, Inc.
2005
STOCK PURCHASE AGREEMENT
Stock Agreements
Great Elm Capital Group, Inc.
2005
Factual Recitals
Great Elm Capital Group, Inc.
2005
TRANSITION & RELEASE AGREEMENT
Transition Agreements
Great Elm Capital Group, Inc.
2005
SUBLEASE
Lease Agreements
Great Elm Capital Group, Inc.
2005
2 EXHIBIT A Definitions
Great Elm Capital Group, Inc.
2005
EMPLOYMENT TRANSITION & RELEASE AGREEMENT
Transition Agreements
Great Elm Capital Group, Inc.
2005
EMPLOYMENT TRANSITION & RELEASE AGREEMENT
Transition Agreements
Great Elm Capital Group, Inc.
2005
Stock Plan
Stock Agreements
Great Elm Capital Group, Inc.
2005
Magic4 Limited. Employment Agreement
Employment Agreements
Great Elm Capital Group, Inc.
2005
OPENWAVE SYSTEMS INC.
Great Elm Capital Group, Inc.
2004
Grant Date
Great Elm Capital Group, Inc.
2004
EXHIBIT A Definitions
Great Elm Capital Group, Inc.
2004
/s/ DONLISTWIN
Great Elm Capital Group, Inc.
2004
Vesting Schedule
Great Elm Capital Group, Inc.
2004
OPENWAVE SYSTEMS INC.
Great Elm Capital Group, Inc.
2004
OPENWAVE SYSTEMS INC.
Great Elm Capital Group, Inc.
2004
Grant Date
Great Elm Capital Group, Inc.
2004
TRANSITION EMPLOYMENT AGREEMENT
Transition Agreements
Great Elm Capital Group, Inc.
2003
INCORPORATED UNDER THELAWS OF THE STATE OF DELAWARE FULLY PAID AND NONASSESSABLESHARES OF THE COMMON STOCK, $0.001 PAR VALUE, OF
Stock Agreements
Great Elm Capital Group, Inc.
2003
Amount
Great Elm Capital Group, Inc.
2003
AMENDED AND RESTATED EMPLOYMENT AGREEMENT
Employment Agreements
Great Elm Capital Group, Inc.
2003
OPENWAVE SYSTEMS INC.
Great Elm Capital Group, Inc.
2003
OPENWAVE SYSTEMS INC.
Great Elm Capital Group, Inc.
2003
RESTATED TRANSITION EMPLOYMENT AGREEMENT
Transition Agreements
Great Elm Capital Group, Inc.
2002
OPENWAVE SYSTEMS INC. 2001 STOCK COMPENSATION PLAN (As amended and restated in its entirety effective as of August 7, 2002)
Stock Agreements
Great Elm Capital Group, Inc.
2002
OPENWAVE SYSTEMS INC. 2001 STOCK COMPENSATION PLAN
Stock Agreements
Great Elm Capital Group, Inc.
2002
1995 STOCK PLAN RESTRICTED STOCK PURCHASE AGREEMENT BETWEEN THECOMPANY AND EXECUTIVE OFFICERS OF THE COMPANY LISTED ON EXHIBIT A
Stock Agreements
Great Elm Capital Group, Inc.
2002
AMENDMENT TO OFFER LETTER DATED OCTOBER 4, 1999
Great Elm Capital Group, Inc.
2002
PROMISSORY NOTE $1,023,670.25 December 26, 2001 Redwood City, California
Note Agreements
Great Elm Capital Group, Inc.
2002
OPENWAVE SYSTEMS INC. 1999 DIRECTORS STOCK OPTION PLAN1 as Amended and Restated effective January 1, 2002
Stock Agreements
Great Elm Capital Group, Inc.
2002
OPENWAVE SYSTEMS INC. 1999 EMPLOYEE STOCK PURCHASE PLAN[1] (Amended and Restated effective as of April 11, 2002)[2]
Stock Agreements
Great Elm Capital Group, Inc.
2002
Form of Companys Executive Change of Control Agreement
Change of Control Agreements
Great Elm Capital Group, Inc.
2002
EXHIBIT A
Great Elm Capital Group, Inc.
2004
EXHIBIT A Definitions
Great Elm Capital Group, Inc.
2004
Vesting Schedule
Great Elm Capital Group, Inc.
2004
EXHIBIT A DEFINED TERMS
Great Elm Capital Group, Inc.
2004
Restricted Shares
Great Elm Capital Group, Inc.
2004
AGREEMENT TO TERMINATE TIME-SHARING AGREEMENT
Great Elm Capital Group, Inc.
2003
OPENWAVE SYSTEMS INC.
Great Elm Capital Group, Inc.
2003
Amount
Great Elm Capital Group, Inc.
2003
M E M O R A N D U M
Great Elm Capital Group, Inc.
2002
(N608CC)
Great Elm Capital Group, Inc.
2002