13D Filing: MAST Capital and Great Elm Capital Corp. (GECC)

1

NAME OF
REPORTING PERSONS

David J. Steinberg

2

CHECK THE APPROPRIATE BOX IF A MEMBER
OF A GROUP

(a) ☐ (b) ☐

3

SEC USE ONLY

4

SOURCE OF FUNDS

AF/OO

5

CHECK IF DISCLOSURE OF LEGAL
PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e)

☐

6

CITIZENSHIP OR PLACE OF
ORGANIZATION

United States

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

7

SOLE VOTING POWER

0

8

SHARED VOTING POWER

5,327,406

9

SOLE DISPOSITIVE POWER

0

10

SHARED DISPOSITIVE POWER

5,327,406

11

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

5,327,406

12

CHECK BOX IF THE AGGREGATE AMOUNT IN
ROW (11) EXCLUDES CERTAIN SHARES

☐

13

PERCENT OF CLASS REPRESENTED BY AMOUNT
IN ROW (11)

46.3%

14

TYPE OF REPORTING PERSON

HC, IN

13D Filing: MAST Capital and Great Elm Capital Corp. (GECC)

Published on September 28, 2017 at 10:38 am by Insider Monkey Staff in Hedge Funds

Page 3 of 6 – SEC Filing

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1	NAME OF REPORTING PERSONS David J. Steinberg
2	CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) ☐ (b) ☐
3	SEC USE ONLY
4	SOURCE OF FUNDS AF/OO
5	CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) ☐
6	CITIZENSHIP OR PLACE OF ORGANIZATION United States
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH		7	SOLE VOTING POWER 0
		8	SHARED VOTING POWER 5,327,406
		9	SOLE DISPOSITIVE POWER 0
		10	SHARED DISPOSITIVE POWER 5,327,406
11	AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 5,327,406
12	CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES ☐
13	PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 46.3%
14	TYPE OF REPORTING PERSON HC, IN