Great Elm Capital Group, Inc. Contracts & Agreements

Certificate of Designation of Series A Preferred Stock of the Company (Filed With SEC on December 29, 2020)

Stockholders Agreement of the Company, dated December 29, 2020, among the Company, Holdings and the Holder (Filed With SEC on December 29, 2020)

Amendment No. 1 to the Stockholders Rights Agreement between the Company and Computershare Trust Company, N.A (Filed With SEC on December 29, 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 (Filed With SEC on December 21, 2020)

Description of Securities (Filed With SEC on September 18, 2020)

Form of 5.0% Convertible Senior PIK Notes due 2030 (Filed With SEC on March 2, 2020)

Form of Registration Rights Agreement (Filed With SEC on March 2, 2020)

Form of Securities Purchase Agreement (Filed With SEC on March 2, 2020)

Description of Securities (Filed With SEC on September 27, 2019)

Amended and restated offer letter dated May 9, 2019 by and between the Registrant and Brent J. Pearson (Filed With SEC on May 10, 2019)

Great Elm Capital Management, Inc. Amended and Restated Performance Bonus Plan, dated February 6, 2019 (Filed With SEC on February 8, 2019)

Offer Letter, dated as of October 3, 2018, between Brent J. Pearson and Great Elm Capital Group, Inc (Filed With SEC on October 5, 2018)

Offer Letter, dated March 31, 2018, by and between the Registrant and Adam M. Kleinman (Filed With SEC on September 13, 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,... (Filed With SEC on September 11, 2018)

Amended and restated form of the Registrants common stock certificate (Filed With SEC on May 15, 2018)

Separation Agreement between the Registrant and Richard S. Chernicoff, dated as of March 21, 2018 (Filed With SEC on May 15, 2018)

Contract of Purchase and Sale, dated March 6, 2018, between Great Elm FM Holdings, Inc. and IT Fort Myers Holdings, LLC (Filed With SEC on March 6, 2018)

Offer letter, dated September 18, 2017, by and between the registrant and Peter A. Reed (Filed With SEC on September 20, 2017)

Offer letter, dated September 18, 2017, by and between the registrant and John J. Woods (Filed With SEC on September 20, 2017)

Offer letter, dated September 18, 2017, by and between Great Elm Capital Management, Inc. and Adam M. Kleinman (Filed With SEC on September 20, 2017)

Form of Amended and Restated Performance Award (Filed With SEC on September 20, 2017)

Great Elm Capital Management Performance Bonus Plan, as in effect as of September 18, 2017 (Filed With SEC on September 20, 2017)

Amended and Restated Senior Secured Note, dated September 18, 2017, made by GECC GP Corp in favor of MAST Capital Management, LLC (Filed With SEC on September 20, 2017)

Warrant, dated September 18, 2017, issued by the registrant to MAST Capital Management, LLC (Filed With SEC on September 20, 2017)

Share Registration Agreement, dated September 18, 2017, by and between the registrant and MAST Capital Management, LLC (Filed With SEC on September 20, 2017)

Warrant, dated September 18, 2017, issued by the registrant to Northern Right Capital Management, L.P (Filed With SEC on September 20, 2017)

Share Registration Agreement, dated September 18, 2017, by and between the registrant and Northern Right Capital Management, L.P (Filed With SEC on September 20, 2017)

Letter agreement, dated September 18, 2017, by and between Great Elm Capital Management, Inc. and GECC GP Corp (Filed With SEC on September 20, 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... (Filed With SEC on September 19, 2017)

ASSET PURCHASE AGREEMENT (Filed With SEC on November 9, 2016)

COST SHARING AGREEMENT (Filed With SEC on November 9, 2016)

PROFIT SHARING AGREEMENT (Filed With SEC on November 9, 2016)

SENIOR SECURED NOTE (Filed With SEC on November 9, 2016)

TERMS AND CONDITIONS OF PERFORMANCE STOCK AWARD (Filed With SEC on November 9, 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 (Filed With SEC on October 14, 2016)

DEALER MANAGER AGREEMENT (Filed With SEC on October 14, 2016)

******** (Filed With SEC on September 14, 2016)

BACKSTOP INVESTMENT AGREEMENT DATED AS OF SEPTEMBER 13, 2016 BY AND AMONG GREAT ELM CAPITAL GROUP, INC. AND THE INVESTORS NAMED HEREIN (Filed With SEC on September 14, 2016)

REGISTRATION RIGHTS AGREEMENT (Filed With SEC on September 14, 2016)

Vest type (Filed With SEC on July 20, 2016)

CONSENT AGREEMENT (Filed With SEC on June 27, 2016)

FIRST AMENDMENT TO PURCHASE AND SALE AGREEMENT (Filed With SEC on May 25, 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 (Filed With SEC on April 7, 2016)

CONSENTAGREEMENT (Filed With SEC on April 7, 2016)

FORBEARANCE AGREEMENT (Filed With SEC on April 7, 2016)

UNWIRED PLANET, INC. (Filed With SEC on April 7, 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... (Filed With SEC on April 7, 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... (Filed With SEC on December 29, 2015)

Exhibit A UNWIRED PLANET, INC. CONFIDENTIAL INFORMATION AND INVENTION ASSIGNMENT AGREEMENT (CIIA Agreement) (Filed With SEC on November 9, 2015)

SECOND AMENDMENT TO MASTER SALE AGREEMENT (Filed With SEC on November 5, 2014)

Consulting Engagement Agreement (Filed With SEC on November 5, 2014)

SEPARATION AGREEMENT AND RELEASE (Filed With SEC on September 29, 2014)

UNWIRED PLANET, INC. SECOND AMENDED AND RESTATED 2006 STOCK INCENTIVE PLAN (Filed With SEC on February 7, 2014)

UNWIRED PLANET, INC. SECOND AMENDED AND RESTATED 1999 DIRECTORS EQUITY COMPENSATION PLAN (Filed With SEC on February 7, 2014)

RETENTION AGREEMENT (Filed With SEC on September 27, 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 (Filed With SEC on July 2, 2013)

FORM OF NOTE UNWIRED PLANET, INC. (Filed With SEC on July 2, 2013)

SECURITIES PURCHASE AGREEMENT (Filed With SEC on July 2, 2013)

W I T N E S S E T H: (Filed With SEC on July 2, 2013)

PURCHASE AGREEMENT (Filed With SEC on July 2, 2013)

REGISTRATION RIGHTS AGREEMENT (Filed With SEC on July 2, 2013)

INDEMNIFICATION AGREEMENT (Filed With SEC on June 21, 2013)

UNWIRED PLANET, INC. 2006STOCK INCENTIVE PLAN RESTRICTED STOCKUNIT GRANT NOTICE (FOR RESTRICTED STOCK UNIT AWARDS TIME-BASEDVESTING) (Filed With SEC on February 20, 2013)

MASTER SALE AGREEMENT (Filed With SEC on January 14, 2013)

AMENDED AND RESTATED OPERATING AGREEMENT OF UNWIRED PLANET, LLC (Filed With SEC on January 10, 2013)

RELEASE OF CLAIMS (Filed With SEC on November 9, 2012)

UNWIRED PLANET, INC. CHANGE OF CONTROL SEVERANCE AGREEMENT (Filed With SEC on November 8, 2012)

* * * * * (Filed With SEC on September 7, 2012)

FIRST AMENDMENT TO AMENDED AND RESTATED CHANGE OF CONTROL SEVERANCE AGREEMENT (Filed With SEC on August 3, 2012)

AMENDMENT NO. 7 TO LOAN AND SECURITY AGREEMENT (Filed With SEC on May 10, 2012)

AMENDMENT NO. 8 TO LOAN AND SECURITY AGREEMENT (Filed With SEC on May 10, 2012)

AMENDMENT NO. 9 TO LOAN AND SECURITY AGREEMENT (Filed With SEC on May 10, 2012)

AMENDMENT NO. 10 TO LOAN AND SECURITY AGREEMENT (Filed With SEC on May 10, 2012)

ASSET PURCHASE AND SALE AGREEMENT BY AND BETWEEN OPENWAVE SYSTEMS INC. and OM 1, INC. April 15, 2012 Table of Contents (Filed With SEC on April 16, 2012)

EXEMPTION AGREEMENT (Filed With SEC on April 9, 2012)

Exhibit A Personnel Grant Status Summary (see attached) (Filed With SEC on March 28, 2012)

OPENWAVE SYSTEMS INC. CHANGE OF CONTROL SEVERANCE AGREEMENT (Filed With SEC on February 8, 2012)

OPENWAVE SYSTEMS INC. AMENDED AND RESTATED EXECUTIVE SEVERANCE BENEFIT POLICY (Filed With SEC on February 8, 2012)

OPENWAVE SYSTEMS, INC. AMENDED AND RESTATED 2006 STOCK INCENTIVE PLAN (Filed With SEC on February 8, 2012)

OPENWAVE SYSTEMS INC. 2006STOCK INCENTIVE PLAN RESTRICTED STOCKUNIT GRANT NOTICE (FOR RESTRICTEDSTOCK UNIT AWARDS TIME-BASED VESTING) (Filed With SEC on February 8, 2012)

AMENDMENT NO. 6 TO LOAN AND SECURITY AGREEMENT (Filed With SEC on February 8, 2012)

OPENWAVE SYSTEMS INC. CHANGE OF CONTROL SEVERANCE AGREEMENT (Filed With SEC on January 19, 2012)

OPENWAVE SYSTEMS INC. AMENDED AND RESTATED CHANGE OF CONTROL SEVERANCE AGREEMENT (Filed With SEC on January 19, 2012)

Openwave Systems Inc. Fiscal Year (FY) 2012 Amended and Restated Executive Corporate Incentive Plan (CIP) Tableof Contents (Filed With SEC on November 7, 2011)

AMENDMENT NO. 5 TO LOAN AND SECURITY AGREEMENT (Filed With SEC on November 7, 2011)

Openwave Systems Inc. Fiscal Year (FY) 2012 Executive Corporate Incentive Plan (CIP) Table of Contents (Filed With SEC on September 6, 2011)

Openwave systems inc. CHANGE OF CONTROL SEVERANCE AGREEMENT (Filed With SEC on May 6, 2011)

AMENDMENT NO. 4 TO LOAN AND SECURITY AGREEMENT AND LIMITED WAIVER (Filed With SEC on May 6, 2011)

LIMITED WAIVER TO LOAN AND SECURITY AGREEMENT (Filed With SEC on February 8, 2011)

AMENDMENT NO. 1 TO (Filed With SEC on February 5, 2010)

AMENDMENT NO. 2 TO (Filed With SEC on February 5, 2010)

Openwave Systems Inc. Fiscal Year (FY) 2010 (Filed With SEC on September 9, 2009)

LOAN AND SECURITY AGREEMENT (Filed With SEC on January 28, 2009)

OPENWAVE SYSTEMS INC. AMENDED AND RESTATED (Filed With SEC on November 7, 2008)

OPENWAVE SYSTEMS INC. FORM OF CHANGE CONTROL SEVERANCE AGREEMENT (Filed With SEC on September 15, 2008)

RESIGNATION AGREEMENT AND GENERAL RELEASE OF CLAIMS (Filed With SEC on July 31, 2008)

between Purple Labs S.A., a French corporation and Openwave Systems Inc., a Delaware corporation (Filed With SEC on July 3, 2008)

SEVERANCE & RELEASE AGREEMENT (Filed With SEC on June 18, 2008)

MICROSOFT CORPORATION (Filed With SEC on November 16, 2007)

STOCK PURCHASE AGREEMENT (Filed With SEC on November 16, 2007)

Openwave Systems Inc. Fiscal Year (FY) 2008 (Filed With SEC on August 29, 2007)

SEVERANCE & RELEASE AGREEMENT (Filed With SEC on August 2, 2007)

Addendum E DEFINITION OF CAUSE (Filed With SEC on August 2, 2007)

Summary of At-Will Employment Arrangement between the Company and Robert Vrij as of March 22, 2007 (Filed With SEC on May 11, 2007)

SEVERANCE & RELEASE AGREEMENT (Filed With SEC on December 4, 2006)

AMONG OPENWAVE SYSTEMS INC. SYNTAX ACQUISITION, INC. AND SOLOMIO CORPORATION SEPTEMBER 18, 2006 (Filed With SEC on October 6, 2006)

SEVERANCE & RELEASE AGREEMENT (Filed With SEC on August 31, 2006)

Openwave Systems Inc. Executive Compensation Deferral Plan (Filed With SEC on February 8, 2006)

Openwave Systems Inc. Executive Compensation Deferral Plan Plan Participation Agreement (Filed With SEC on February 8, 2006)

OPENWAVE SYSTEMS INC. (a Delaware corporation) 15,600,000 Shares of Common Stock (Filed With SEC on December 8, 2005)

AMENDED AND RESTATED (Filed With SEC on November 14, 2005)

OPENWAVE SYSTEMS INC. (Filed With SEC on October 12, 2005)

STOCK PURCHASE AGREEMENT (Filed With SEC on September 29, 2005)

Factual Recitals (Filed With SEC on September 12, 2005)

TRANSITION & RELEASE AGREEMENT (Filed With SEC on July 18, 2005)

SUBLEASE (Filed With SEC on May 9, 2005)

2 EXHIBIT A Definitions (Filed With SEC on March 11, 2005)

EMPLOYMENT TRANSITION & RELEASE AGREEMENT (Filed With SEC on February 9, 2005)

Stock Plan (Filed With SEC on February 9, 2005)

Magic4 Limited. Employment Agreement (Filed With SEC on January 28, 2005)

OPENWAVE SYSTEMS INC. (Filed With SEC on December 21, 2004)

Grant Date (Filed With SEC on November 9, 2004)

EXHIBIT A Definitions (Filed With SEC on November 5, 2004)

EXHIBIT A (Filed With SEC on October 8, 2004)

EXHIBIT A Definitions (Filed With SEC on October 8, 2004)

/s/ DONLISTWIN (Filed With SEC on September 13, 2004)

Vesting Schedule (Filed With SEC on September 13, 2004)

EXHIBIT A DEFINED TERMS (Filed With SEC on May 12, 2004)

Vesting Schedule (Filed With SEC on May 12, 2004)

OPENWAVE SYSTEMS INC. (Filed With SEC on May 12, 2004)

Restricted Shares (Filed With SEC on February 17, 2004)

Grant Date (Filed With SEC on February 17, 2004)

TRANSITION EMPLOYMENT AGREEMENT (Filed With SEC on November 14, 2003)

INCORPORATED UNDER THELAWS OF THE STATE OF DELAWARE FULLY PAID AND NONASSESSABLESHARES OF THE COMMON STOCK, $0.001 PAR VALUE, OF (Filed With SEC on August 28, 2003)

AGREEMENT TO TERMINATE TIME-SHARING AGREEMENT (Filed With SEC on August 28, 2003)

Amount (Filed With SEC on August 28, 2003)

OPENWAVE SYSTEMS INC. (Filed With SEC on February 14, 2003)

Amount (Filed With SEC on February 14, 2003)

AMENDED AND RESTATED EMPLOYMENT AGREEMENT (Filed With SEC on February 14, 2003)

OPENWAVE SYSTEMS INC. (Filed With SEC on February 14, 2003)

RESTATED TRANSITION EMPLOYMENT AGREEMENT (Filed With SEC on November 14, 2002)

OPENWAVE SYSTEMS INC. 2001 STOCK COMPENSATION PLAN (As amended and restated in its entirety effective as of August 7, 2002) (Filed With SEC on September 30, 2002)

OPENWAVE SYSTEMS INC. 2001 STOCK COMPENSATION PLAN (Filed With SEC on September 30, 2002)

1995 STOCK PLAN RESTRICTED STOCK PURCHASE AGREEMENT BETWEEN THECOMPANY AND EXECUTIVE OFFICERS OF THE COMPANY LISTED ON EXHIBIT A (Filed With SEC on September 30, 2002)

M E M O R A N D U M (Filed With SEC on September 30, 2002)

AMENDMENT TO OFFER LETTER DATED OCTOBER 4, 1999 (Filed With SEC on September 30, 2002)

PROMISSORY NOTE $1,023,670.25 December 26, 2001 Redwood City, California (Filed With SEC on September 30, 2002)

(N608CC) (Filed With SEC on September 30, 2002)

OPENWAVE SYSTEMS INC. 1999 DIRECTORS STOCK OPTION PLAN1 as Amended and Restated effective January 1, 2002 (Filed With SEC on May 15, 2002)

OPENWAVE SYSTEMS INC. 1999 EMPLOYEE STOCK PURCHASE PLAN[1] (Amended and Restated effective as of April 11, 2002)[2] (Filed With SEC on May 15, 2002)

Form of Companys Executive Change of Control Agreement (Filed With SEC on February 12, 2002)

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Great Elm Capital Group, Inc. Contracts & Agreements