13D Filing: MAST Capital and Great Elm Capital Group Inc. (GEC)

NAME OF
REPORTING PERSONS

David J. Steinberg

CHECK THE APPROPRIATE BOX IF A MEMBER
OF A GROUP

(a)  ☐        (b)  ☐

SEC USE ONLY

SOURCE OF FUNDS

AF/OO/PF

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

CITIZENSHIP OR PLACE OF
ORGANIZATION

United States

NUMBER OF

SHARES

 BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

SOLE VOTING POWER

62,341

SHARED VOTING POWER

1,947,735

SOLE DISPOSITIVE POWER

62,341

SHARED DISPOSITIVE POWER

1,947,735

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

2,010,076

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

PERCENT OF CLASS REPRESENTED BY AMOUNT
IN ROW (11)

8.7%

TYPE OF REPORTING PERSON

HC, IN