Great Elm Capital Group, Inc. Contracts & Agreements

226 Contracts & Agreements
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Filed
Certificate of Designation of Series A Preferred Stock of Forest Investments, Inc.
Articles of Amendment
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
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
Great Elm Capital Group, Inc. Interim CFO Employment Offer Letter with Brent J. Pearson (May 2019)
Employment Agreements
Great Elm Capital Group, Inc.
Capital Markets
MA
2019
Great Elm Capital Management, Inc. Amended and Restated Performance Bonus Plan (February 6, 2019)
Bonus & Incentive Agreements
Great Elm Capital Group, Inc.
Capital Markets
DE
2019
Offer Letter for Chief Accounting Officer Position between Great Elm Capital Group, Inc. and Brent J. Pearson
Employment Agreements
Great Elm Capital Group, Inc.
Capital Markets
MA
2018
Employment Offer Letter between Great Elm Capital Group, Inc. and Adam M. Kleinman (March 21, 2018)
Employment Agreements
Great Elm Capital Group, Inc.
Capital Markets
MA
2018
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
Separation and Consulting Agreement between Great Elm Capital Group, Inc. and Richard S. Chernicoff
Separation Agreements
Great Elm Capital Group, Inc.
Capital Markets
DE
2018
Amended and Restated Offer Letter for Chief Executive Officer and Chief Investment Officer between Great Elm Capital Group, Inc. and Peter A. Reed
Employment Agreements
Great Elm Capital Group, Inc.
Capital Markets
MA
2017
Amended and Restated Offer Letter for Chief Financial Officer between Great Elm Capital Group, Inc. and John J. Woods
Employment Agreements
Great Elm Capital Group, Inc.
Capital Markets
MA
2017
Great Elm Capital Management, Inc. Employment Offer Letter to Adam M. Kleinman (September 18, 2017)
Employment Agreements
Great Elm Capital Group, Inc.
Capital Markets
MA
2017
Amended and Restated Performance Stock Award Agreement between Great Elm Capital Group, Inc. and Participant
Bonus & Incentive Agreements
Great Elm Capital Group, Inc.
Capital Markets
DE
2017
Great Elm Capital Management, Inc. Performance Bonus Plan (Effective September 18, 2017)
Bonus & Incentive 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
Letter Amendment to Profit Sharing Agreement between Great Elm Capital Management, Inc. and GECC GP Corp. dated September 18, 2017
Profit Sharing Plans
Great Elm Capital Group, Inc.
Capital Markets
2017
Separation Agreement among Great Elm Capital Group, Inc., Great Elm Capital Management, Inc., GECC GP Corp., MAST Capital Management, LLC, and Related Parties (September 18, 2017)
Separation Agreements
Great Elm Capital Group, Inc.
Capital Markets
DE
2017
Profit Sharing Agreement between Great Elm Capital Management, Inc. and GECC GP Corp. dated November 3, 2016
Profit Sharing Plans
Great Elm Capital Group, Inc.
Capital Markets
DE
2016
Great Elm Capital Group, Inc. Performance Stock Award Agreement for Non-Employee Directors, Consultants, or Employees
Bonus & Incentive Agreements
Great Elm Capital Group, Inc.
Capital Markets
DE
2016
Great Elm Capital Management, Inc. Chief Investment Officer Offer Letter with Peter Reed (November 3, 2016)
Employment Agreements
Great Elm Capital Group, Inc.
Capital Markets
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
Separation Agreement and Release between Great Elm Capital Group, Inc. and Boris Teksler
Separation Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2016
Separation Agreement and Release between Great Elm Capital Group, Inc. and Noah D. Mesel
Separation Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
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
Interim Chief Executive Officer Offer Letter between Great Elm Capital Group, Inc. and Richard S. Chernicoff
Employment Agreements
Great Elm Capital Group, Inc.
Capital Markets
2016
Consulting Agreement between Great Elm Capital Group, Inc. and Boris Teksler (July 2016)
Consulting Agreements
Great Elm Capital Group, Inc.
Capital Markets
DE
2016
Retirement and Consulting Agreement between Unwired Planet, Inc. (to be renamed Great Elm Capital Group, Inc.) and Philip A. Vachon
Retirement Agreements
Great Elm Capital Group, Inc.
Capital Markets
DE
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
Consent and Amendment Agreement to Purchase and Sale Agreement among Unwired Planet, Optis UP Holdings, Ericsson, and Cluster LLC
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
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
Unwired Planet, Inc. Chief Financial Officer Employment Offer Letter to James Wheat (2015)
Employment Agreements
Great Elm Capital Group, Inc.
Capital Markets
DE
2015
Unwired Planet, Inc. Employment Agreement with Boris Teksler as CEO and President
Employment Agreements
Great Elm Capital Group, Inc.
Capital Markets
NV
2015
Consulting Engagement Agreement between The Brenner Group, Inc. and Unwired Planet, Inc.
Consulting Agreements
Great Elm Capital Group, Inc.
Capital Markets
VA
2014
Separation Agreement and Release between Eric J. Vetter and Unwired Planet, Inc.
Separation Agreements
Great Elm Capital Group, Inc.
Capital Markets
NV
2014
Unwired Planet, Inc. Discretionary Bonus Agreement with Philip A. Vachon (April 2014)
Bonus & Incentive Agreements
Great Elm Capital Group, Inc.
Capital Markets
2014
Unwired Planet, Inc. Second Amended and Restated 2006 Stock Incentive Plan
Bonus & Incentive Agreements
Great Elm Capital Group, Inc.
Capital Markets
DE
2014
Unwired Planet, Inc. Second Amended and Restated 1999 Directors’ Equity Compensation Plan
Bonus & Incentive Agreements
Great Elm Capital Group, Inc.
Capital Markets
2014
Retention Agreement Between McKool Smith, P.C. and Unwired Planet Inc. (Effective January 1, 2013)
Retention Agreements
Great Elm Capital Group, Inc.
Capital Markets
TX
2013
Indemnification Agreement between Unwired Planet, Inc. and Officer/Director
Indemnification Agreements
Great Elm Capital Group, Inc.
Capital Markets
DE
2013
Separation Agreement and Release of Claims between Unwired Planet, Inc. and Michael Mulica
Separation Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2013
Unwired Planet, Inc. 2006 Stock Incentive Plan Restricted Stock Unit Grant Agreement (Michael Mulica)
Bonus & Incentive Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2013
Employment Agreement Between Unwired Planet, Inc. and Executive Vice President (2013)
Employment Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2013
Amended and Restated Operating Agreement of Unwired Planet, LLC
Operating Agreements
Great Elm Capital Group, Inc.
Capital Markets
NV
2013
Release of Claims Agreement between Unwired Planet, Inc. and Employee (November 7, 2012)
Release Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2012
Employment Offer Letter Between Unwired Planet, Inc. and Eric Vetter
Employment Agreements
Great Elm Capital Group, Inc.
Capital Markets
NV
2012
Change of Control Severance Agreement between Unwired Planet, Inc. and Eric Vetter
Change of Control Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2012
Employment Agreement between Unwired Planet, Inc. and Timothy M. Robbins
Employment Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2012
Employment Agreement between Unwired Planet, Inc. and Daniel Mendez (General Manager, IP Business Unit)
Employment Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2012
First Amendment to Amended and Restated Change of Control Severance Agreement between Unwired Planet, Inc. and Anne Brennan
Change of Control Agreements
Great Elm Capital Group, Inc.
Capital Markets
2012
Exemption Agreement between Openwave Systems Inc. and Quantum Partners LP (April 9, 2012)
Waiver Agreements
Great Elm Capital Group, Inc.
Capital Markets
DE
2012
Openwave Systems Inc. Director Resignation Compensation Letter Agreement
Separation Agreements
Great Elm Capital Group, Inc.
Capital Markets
2012
Amended and Restated Change of Control Severance Agreement between Openwave Systems Inc. and Employee
Change of Control Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2012
Openwave Systems Inc. Change of Control Severance Agreement with Employee
Change of Control Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2012
Openwave Systems Inc. Change of Control Severance Agreement with Employee
Change of Control Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2012
Openwave Systems Inc. Change of Control Severance Agreement with Employee
Change of Control Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2012
Openwave Systems Inc. Amended and Restated Executive Severance Benefit Policy
Severance Agreements
Great Elm Capital Group, Inc.
Capital Markets
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. 2006 Stock Incentive Plan Restricted Stock Unit Grant Notice and Agreement
Bonus & Incentive Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2012
Openwave Systems Inc. Change of Control Severance Agreement with Employee
Change of Control Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2012
Amended and Restated Change of Control Severance Agreement between Openwave Systems Inc. and Employee
Change of Control Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2012
Openwave Systems Inc. Amended and Restated Change of Control Severance Agreement with Employee
Change of Control Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2012
Limited Waiver to Loan and Security Agreement between Openwave Systems Inc. and Silicon Valley Bank
Waiver Agreements
Great Elm Capital Group, Inc.
Capital Markets
2011
Openwave Systems Inc. Amended and Restated 1999 Directors' Equity Compensation Plan (as of October 20, 2008)
Bonus & Incentive Agreements
Great Elm Capital Group, Inc.
Capital Markets
2008
Employment Offer Letter between Openwave Systems Inc. and Alan Park (Senior Vice President, Worldwide Sales)
Employment Agreements
Great Elm Capital Group, Inc.
Capital Markets
2008
Openwave Systems Inc. Change of Control Severance Agreement (Form)
Change of Control Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2008
Resignation Agreement and General Release of Claims between Hari Haran and Openwave Systems Inc.
Separation Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2008
Employment Offer Letter between Openwave Systems Inc. and Karen Willem (SVP & CFO)
Employment Agreements
Great Elm Capital Group, Inc.
Capital Markets
2008
Employment Agreement between Openwave Systems Inc. and Bruce Coleman (Interim CEO)
Employment Agreements
Great Elm Capital Group, Inc.
Capital Markets
2008
Summary of At-Will Employment Arrangement Between Openwave Systems Inc. and Anne Brennan
Employment Agreements
Great Elm Capital Group, Inc.
Capital Markets
2008
Asset Purchase Agreement between Purple Labs S.A. and Openwave Systems Inc. dated June 27, 2008
Purchase Agreements
Great Elm Capital Group, Inc.
Capital Markets
DE
2008
Severance and Release Agreement between Openwave Systems Inc. and John Boden
Severance Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2008
Exclusivity Letter Agreement for Acquisition of Musiwave, SA by Microsoft Corporation
Merger Agreements
Great Elm Capital Group, Inc.
Capital Markets
2007
Stock Purchase Agreement among Microsoft Corporation, Openwave Systems Holdings (France), SAS, Musiwave, SA, and Openwave Systems Inc.
Purchase Agreements
Great Elm Capital Group, Inc.
Capital Markets
2007
Employment Agreement between Openwave Systems Inc. and John Boden (SVP, Product Management)
Employment Agreements
Great Elm Capital Group, Inc.
Capital Markets
2007
Openwave Systems Inc. Fiscal Year 2008 Corporate Incentive Plan
Bonus & Incentive Agreements
Great Elm Capital Group, Inc.
Capital Markets
2007
Severance and Release Agreement between Openwave Systems Inc. and Harold L. Covert
Severance Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2007
Employment Agreement between Openwave Systems Inc. and Dr. Jean-Yves Dexmier
Employment Agreements
Great Elm Capital Group, Inc.
Capital Markets
2007
Summary of At-Will Employment Arrangement between Openwave Systems Inc. and Robert Vrij
Employment Agreements
Great Elm Capital Group, Inc.
Capital Markets
2007
Master Confirmation Agreement for OTC VWAP Minus Transactions between Openwave Systems Inc. and Merrill Lynch International
Financing Agreements
Great Elm Capital Group, Inc.
Capital Markets
DE
2007
Supplemental Confirmation of OTC VWAP Minus Transaction between Openwave Systems Inc. and Merrill Lynch International
Financing Agreements
Great Elm Capital Group, Inc.
Capital Markets
2007
Severance and Release Agreement between Allen Snyder and Openwave Systems Inc.
Severance Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2006
Agreement and Plan of Merger among Openwave Systems Inc., Syntax Acquisition, Inc., and SoloMio Corporation (September 18, 2006)
Merger Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2006
Severance and Release Agreement between Steve Peters and Openwave Systems Inc.
Severance Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2006
Amended Employment Offer Letter Agreement between Openwave Systems Inc. and Allen Snyder
Employment Agreements
Great Elm Capital Group, Inc.
Capital Markets
2006
Openwave Systems Inc. Executive Compensation Deferral Plan
Compensation Agreements
Great Elm Capital Group, Inc.
Capital Markets
2006
Openwave Systems Inc. Executive Compensation Deferral Plan Participation Agreement
Compensation Agreements
Great Elm Capital Group, Inc.
Capital Markets
2006
Openwave Systems Inc. Underwriting Agreement for 15,600,000 Shares of Common Stock with Merrill Lynch and Other Underwriters
Underwriting Agreements
Great Elm Capital Group, Inc.
Capital Markets
NY
2005
Amended and Restated Stock Purchase Agreement between Openwave Systems Inc. and Sellers of Musiwave S.A.
Stock Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2005
Amended and Restated Employment Offer Letter Agreement between Openwave Systems Inc. and Dave Whalen
Employment Agreements
Great Elm Capital Group, Inc.
Capital Markets
2005
Openwave Systems Inc. Executive Severance Benefit Policy (as amended October 6, 2005)
Severance Agreements
Great Elm Capital Group, Inc.
Capital Markets
2005
Stock Purchase Agreement by and among Openwave Systems Inc. and the Sellers of Musiwave S.A. (September 24, 2005)
Purchase Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2005
Employment Offer Letter Agreement between Openwave Systems Inc. and Harold L. Covert
Employment Agreements
Great Elm Capital Group, Inc.
Capital Markets
2005
Employment Transition and Release Agreement between Openwave Systems Inc. and Joshua Pace
Transition Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2005
Transition and Release Agreement between Openwave Systems Inc. and Donald Listwin
Separation Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2005
Consulting Agreement between Openwave, Inc. and Gerald Held
Consulting Agreements
Great Elm Capital Group, Inc.
Capital Markets
2005
Sublease Agreement between Informatica Corporation and Openwave Systems Inc. for 2000 Seaport Blvd, Redwood City, CA
Lease Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2005
Amendment to Employment Agreement between Openwave Systems Inc. and Joshua Pace
Employment Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2005
Employment Transition and Release Agreement between Openwave Systems Inc. and David Hose
Separation Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2005
Employment Transition and Release Agreement between Openwave Systems Inc. and Jon Shantz
Separation Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2005
Summary of Stock Option Grants to Directors in January 2005
Bonus & Incentive Agreements
Great Elm Capital Group, Inc.
Capital Markets
2005
Amendment to Employment Agreement between Openwave Systems Limited and Simon Wilkinson
Employment Agreements
Great Elm Capital Group, Inc.
Capital Markets
2005
Employment Agreement between Magic4 Limited and Simon John Wilkinson (May 11, 2004)
Employment Agreements
Great Elm Capital Group, Inc.
Capital Markets
2005
Summary of Stock Option Grants and Restricted Stock Awards to Executives and Director (Sep–Nov 2004)
Equity Distribution Agreements
Great Elm Capital Group, Inc.
Capital Markets
2004
Employment Agreement between Openwave Systems, Inc. and David C. Peterschmidt (President and CEO)
Employment Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2004
Amended and Restated Employment Terms Letter between Openwave Systems Inc. and Steve Peters
Employment Agreements
Great Elm Capital Group, Inc.
Capital Markets
2004
Amended and Restated Employment Terms Letter between Openwave Systems Inc. and Allen Snyder
Employment Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2004
Amendment to Employment Terms between Openwave Systems Inc. and Joshua Pace (July 27, 2004)
Employment Agreements
Great Elm Capital Group, Inc.
Capital Markets
2004
Summary of Restricted Stock Bonus Grant to CFO under Openwave Systems Inc. 2001 Stock Compensation Plan
Bonus & Incentive Agreements
Great Elm Capital Group, Inc.
Capital Markets
2004
Amended and Restated Employment Terms Agreement between Openwave Systems Inc. and Allen Snyder dated February 6, 2004
Employment Agreements
Great Elm Capital Group, Inc.
Capital Markets
2004
Summary of Stock Option Grants to Independent Directors (January–May 2004)
Bonus & Incentive Agreements
Great Elm Capital Group, Inc.
Capital Markets
2004
Openwave Systems Inc. U.S. Stock Option Agreement for Employees, Directors, and Consultants
Warrant Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2004
Openwave Systems Inc. International Stock Option Agreement (Non-U.S. Optionees)
Warrant Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2004
Summary of Restricted Stock Bonus Grants to Executive Officers and CEO under Openwave Systems Inc 2001 Stock Compensation Plan (January 2004)
Bonus & Incentive Agreements
Great Elm Capital Group, Inc.
Capital Markets
2004
Summary of Restricted Stock Bonus Grants to Executive Officers and CEO under Openwave Systems Inc 2001 Stock Compensation Plan (October 2003)
Bonus & Incentive Agreements
Great Elm Capital Group, Inc.
Capital Markets
2004
Amendment to Employment Agreement between Openwave Systems Inc. and Don Listwin (February 2004)
Employment Agreements
Great Elm Capital Group, Inc.
Capital Markets
2004
Transition Employment Agreement between Kevin J. Kennedy and Openwave Systems Inc. dated September 22, 2003
Transition Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2003
Summary of New Restricted Stock Bonus Grants to Executive Officers under the Openwave Systems Inc 2001 Stock Compensation Plan
Bonus & Incentive Agreements
Great Elm Capital Group, Inc.
Capital Markets
2003
Summary of Restricted Stock Bonus Grant to CEO under Openwave Systems Inc 2001 Stock Compensation Plan
Bonus & Incentive Agreements
Great Elm Capital Group, Inc.
Capital Markets
2003
Openwave Systems Inc. Common Stock Certificate Form
Stock Agreements
Great Elm Capital Group, Inc.
Capital Markets
2003
Agreement to Terminate Time-Sharing Agreement between DList, LLC and Openwave Systems Inc.
Termination Agreements
Great Elm Capital Group, Inc.
Capital Markets
2003
Agreement to Terminate Time-Sharing Agreement between Kennedy Aviation, LLC and Openwave Systems Inc.
Termination Agreements
Great Elm Capital Group, Inc.
Capital Markets
2003
Amended and Restated Employment Terms Letter between Openwave Systems Inc. and Alan Black
Employment Agreements
Great Elm Capital Group, Inc.
Capital Markets
2003
Amended and Restated Employment Terms Letter Agreement between Openwave Systems Inc. and David Hose (Effective January 9, 2003)
Employment Agreements
Great Elm Capital Group, Inc.
Capital Markets
2003
Openwave Systems Inc. Offer Letter to Jon Shantz for Senior Vice President, Business Development
Employment Agreements
Great Elm Capital Group, Inc.
Capital Markets
2003
Stock Option Grant Notices between Openwave Systems Inc. and Donald J. Listwin (February 2003)
Stock Agreements
Great Elm Capital Group, Inc.
Capital Markets
2003
Amended and Restated Employment Agreement between Openwave Systems Inc. and Steve Peters
Employment Agreements
Great Elm Capital Group, Inc.
Capital Markets
2003
Amended and Restated Employment Terms Agreement between Openwave Systems Inc. and Josh Pace
Employment Agreements
Great Elm Capital Group, Inc.
Capital Markets
2003
Restricted Stock Bonus Grants to Executive Officers under Openwave Systems Inc. 2001 Stock Compensation Plan
Bonus & Incentive Agreements
Great Elm Capital Group, Inc.
Capital Markets
2003
Openwave Systems Inc. Executive Severance Benefit Policy
Severance Agreements
Great Elm Capital Group, Inc.
Capital Markets
2003
Amended and Restated Employment Agreement between Openwave Systems Inc. and Allen Snyder
Employment Agreements
Great Elm Capital Group, Inc.
Capital Markets
2003
Amended and Restated Employment Terms Letter between Openwave Systems Inc. and Alan Black
Employment Agreements
Great Elm Capital Group, Inc.
Capital Markets
2003
Amendment to Employment Offer Letter between Openwave Systems Inc. and Kevin Kennedy
Great Elm Capital Group, Inc.
Capital Markets
2003
Amended and Restated Employment Agreement between Donald Listwin and Openwave Systems Inc.
Employment Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2003
Openwave Systems Inc. and Donald Listwin Restricted Stock Bonus Agreement under 2001 Stock Compensation Plan
Bonus & Incentive Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2003
Openwave Systems Inc. Restricted Stock Bonus Agreement with Allen Snyder under 2001 Stock Compensation Plan
Compensation Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2003
Notice of Stock Option Grant and Stock Option Agreement between Openwave Systems Inc. and Allen E. Snyder
Warrant Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2003
Restated Transition Employment Agreement between Openwave Systems Inc. and Michael Mulica
Employment Agreements
Great Elm Capital Group, Inc.
Capital Markets
IL
2002
Openwave Systems Inc. 2001 Stock Compensation Plan (Amended and Restated as of August 7, 2002)
Bonus & Incentive Agreements
Great Elm Capital Group, Inc.
Capital Markets
DE
2002
Commercial Lease Agreement between Lawrence S. Barels and Software.com, Inc. (525 Anacapa Street, Santa Barbara, CA)
Lease Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2002
Openwave Systems Inc. Restricted Stock Bonus Agreement for Executive Officers under 2001 Stock Compensation Plan
Bonus & Incentive Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2002
Openwave Systems Inc. 1995 Stock Plan Restricted Stock Purchase Agreement with Executive Officers
Stock Agreements
Great Elm Capital Group, Inc.
Capital Markets
2002
Stock Option Cancellation and Replacement Agreement between Openwave Systems Inc. and Donald J. Listwin
Stock Agreements
Great Elm Capital Group, Inc.
Capital Markets
2002
Amendment to Offer Letter Between Openwave Systems Inc. and Michael Mulica Dated October 4, 1999
Severance Agreements
Great Elm Capital Group, Inc.
Capital Markets
IL
2002
Promissory Note Between Kevin Kennedy and Openwave Systems Inc. Dated December 26, 2001
Note Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2002
Time-Sharing Agreement between DList, LLC and Openwave Systems Inc. for Aircraft N608CC
Lease Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2002
Time-Sharing Agreement between Kennedy Aviation LLC and Openwave Systems Inc.
Great Elm Capital Group, Inc.
Capital Markets
2002
Openwave Systems Inc. 1999 Directors' Stock Option Plan (Amended and Restated Effective January 1, 2002)
Stock Agreements
Great Elm Capital Group, Inc.
Capital Markets
2002
Openwave Systems Inc. 1999 Employee Stock Purchase Plan (Amended and Restated as of April 11, 2002)
Stock Agreements
Great Elm Capital Group, Inc.
Capital Markets
DE
2002
Openwave Systems Inc. Executive Change of Control Severance Agreement
Change of Control Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2002
Amendment to Employment Agreement between Openwave Systems Inc. and Michael C. Mulica
Employment Agreements
Great Elm Capital Group, Inc.
Capital Markets
2001
Amendment to Agreement and Plan of Merger among Phone.com, Inc., Silver Merger Sub Inc., and Software.com, Inc.
Merger Agreements
Great Elm Capital Group, Inc.
Capital Markets
2001
Openwave Systems Inc. Common Stock Certificate Form
Stock Agreements
Great Elm Capital Group, Inc.
Capital Markets
2001
Openwave Systems Inc. 1999 Employee Stock Purchase Plan (as Amended)
Bonus & Incentive Agreements
Great Elm Capital Group, Inc.
Capital Markets
2001
Openwave Systems Inc. 1999 Directors' Stock Option Plan
Stock Agreements
Great Elm Capital Group, Inc.
Capital Markets
2001
Indemnification Agreement between Openwave Systems Inc. and Agent (Director/Officer)
Indemnification Agreements
Great Elm Capital Group, Inc.
Capital Markets
DE
2001
Employment Agreement between Donald Listwin and Phone.com, Inc. dated September 18, 2000
Employment Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2001
Amendment to Employment Agreement between Openwave and Mike Mulica (July 26, 2001)
Employment Agreements
Great Elm Capital Group, Inc.
Capital Markets
2001
Openwave Systems Inc. Offer Letter to Allen Snyder for Senior Vice President, Customer Advocacy
Employment Agreements
Great Elm Capital Group, Inc.
Capital Markets
2001
Openwave Systems Inc. Offer Letter to Kevin Kennedy for Chief Operating Officer Position (August 2001)
Employment Agreements
Great Elm Capital Group, Inc.
Capital Markets
2001
Promissory Note Between Michael Mulica and Openwave Systems Inc. Dated August 6, 2001
Note Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2001
Promissory Note Between Alan Black and Openwave Systems Inc. Dated August 20, 2001
Note Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2001
Promissory Note Between Kevin Kennedy and Openwave Systems Inc. Dated September 27, 2001
Note Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2001
Openwave Systems Inc. 1995 Stock Plan (As Amended and Restated Effective January 1, 2001)
Stock Agreements
Great Elm Capital Group, Inc.
Capital Markets
DE
2001
Openwave Systems Inc. 1996 Stock Plan (As Amended and Restated Effective January 1, 2001)
Stock Agreements
Great Elm Capital Group, Inc.
Capital Markets
DE
2001
Restricted Stock Agreement between Openwave Systems Inc. and Donald Listwin under 1996 Stock Plan
Stock Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2001
Agreement and Plan of Merger among Phone.com, Inc., Silver Merger Sub Inc., and Software.com, Inc. dated August 8, 2000
Merger Agreements
Great Elm Capital Group, Inc.
Capital Markets
DE
2000
Agreement and Plan of Merger among Great Elm Capital Group, Inc., Great Elm Group, Inc., and Forest Merger Sub, Inc.
Merger Agreements
Great Elm Capital Group, Inc.
Capital Markets
DE
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
Great Elm Capital Group, Inc. 5.0% Convertible Senior PIK Notes Due 2030
Note 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
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
Description of Securities Registered under Section 12 – Great Elm Capital Group, Inc.
Equity Distribution Agreements
Great Elm Capital Group, Inc.
Capital Markets
DE
2019
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
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
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
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 Northern Right Capital Management, L.P. (September 18, 2017)
Registration Rights Agreements
Great Elm Capital Group, Inc.
Capital Markets
DE
2017
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
Cost Sharing Agreement between Great Elm Capital Management, Inc. and MAST Capital Management LLC (November 3, 2016)
Great Elm Capital Group, Inc.
Capital Markets
DE
2016
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
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
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
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
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
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
Consent Agreement Among Telefonaktiebolaget L M Ericsson, Unwired Planet Entities, and Optis UP Holdings Dated April 6, 2016
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
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
Indenture Agreement for Senior Secured Notes due 2018 between Unwired Planet, Inc. and Wells Fargo Bank, N.A.
Indenture Agreements
Great Elm Capital Group, Inc.
Capital Markets
DE
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
Securities Purchase Agreement between Unwired Planet, Inc. and Investors (June 28, 2013)
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
Unwired Planet, Inc. Purchase Agreement with Purchasers for Rights Offering of Common Stock
Purchase Agreements
Great Elm Capital Group, Inc.
Capital Markets
NY
2013
Registration Rights Agreement between Unwired Planet, Inc. and Purchasers (June 28, 2013)
Registration Rights Agreements
Great Elm Capital Group, Inc.
Capital Markets
2013
Master Sale Agreement among Telefonaktiebolaget L M Ericsson, Cluster LLC, Unwired Planet, Inc., and Affiliates (January 10, 2013)
Purchase Agreements
Great Elm Capital Group, Inc.
Capital Markets
DE
2013
Amendment No. 7 to Loan and Security Agreement between Openwave Systems Inc. and Silicon Valley Bank
Loan Agreements
Great Elm Capital Group, Inc.
Capital Markets
DE
2012
Amendment No. 8 to Loan and Security Agreement between Openwave Systems Inc. and Silicon Valley Bank
Loan Agreements
Great Elm Capital Group, Inc.
Capital Markets
DE
2012
Amendment No. 9 to Loan and Security Agreement between Openwave Systems Inc. and Silicon Valley Bank
Loan Agreements
Great Elm Capital Group, Inc.
Capital Markets
DE
2012
Amendment No. 10 to Loan and Security Agreement between Unwired Planet, Inc. and Silicon Valley Bank
Loan Agreements
Great Elm Capital Group, Inc.
Capital Markets
DE
2012
Asset Purchase and Sale Agreement between Openwave Systems Inc. and OM 1, Inc. dated April 15, 2012
Purchase Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2012
Amendment No. 6 to Loan and Security Agreement between Openwave Systems Inc. and Silicon Valley Bank
Loan Agreements
Great Elm Capital Group, Inc.
Capital Markets
DE
2012
Separation Agreement between Openwave Systems, Inc. and Kenneth Denman dated September 9, 2011
Separation Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2011
Openwave Systems Inc. Employment Offer Letter to Michael Mulica as President and CEO
Employment Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2011
Openwave Systems Inc. Fiscal Year 2012 Amended and Restated Executive Corporate Incentive Plan
Bonus & Incentive Agreements
Great Elm Capital Group, Inc.
Capital Markets
2011
Amendment No. 5 to Loan and Security Agreement between Openwave Systems Inc. and Silicon Valley Bank
Loan Agreements
Great Elm Capital Group, Inc.
Capital Markets
DE
2011
Openwave IP Incentive Plan Letter Agreement with Bruce Posey (2011-2013)
Bonus & Incentive Agreements
Great Elm Capital Group, Inc.
Capital Markets
2011
Openwave Systems Inc. Fiscal Year 2012 Executive Corporate Incentive Plan
Bonus & Incentive Agreements
Great Elm Capital Group, Inc.
Capital Markets
2011
Employment Offer Letter between Openwave Systems Inc. and John Charters
Employment Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2011
Amendment No. 4 to Loan and Security Agreement and Limited Waiver between Openwave Systems Inc. and Silicon Valley Bank
Loan Agreements
Great Elm Capital Group, Inc.
Capital Markets
DE
2011
Employment Offer Letter between Openwave Systems Inc. and Bruce Posey
Employment Agreements
Great Elm Capital Group, Inc.
Capital Markets
2010
Employment Offer Letter between Openwave Systems Inc. and Martin McKendry
Employment Agreements
Great Elm Capital Group, Inc.
Capital Markets
2010
Employment Offer Letter between Openwave Systems Inc. and John Giere
Employment Agreements
Great Elm Capital Group, Inc.
Capital Markets
2010
Amendment No. 1 to Loan and Security Agreement between Openwave Systems Inc. and Silicon Valley Bank
Modification Agreements
Great Elm Capital Group, Inc.
Capital Markets
DE
2010
Amendment No. 2 to Loan and Security Agreement between Openwave Systems Inc. and Silicon Valley Bank
Loan Agreements
Great Elm Capital Group, Inc.
Capital Markets
DE
2010
Openwave Systems Inc. Fiscal Year 2010 Executive Corporate Incentive Plan
Bonus & Incentive Agreements
Great Elm Capital Group, Inc.
Capital Markets
2009
Loan and Security Agreement between Silicon Valley Bank and Openwave Systems Inc. dated January 23, 2009
Loan Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2009
Employment Offer Letter between Openwave Systems Inc. and Kenneth Denman dated October 28, 2008
Employment Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2008
Openwave Systems Inc. Executive Severance Benefit Policy (as amended December 15, 2004)
Severance Agreements
Great Elm Capital Group, Inc.
Capital Markets
2004