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

64,584

SHARED VOTING POWER

2,366,718*

SOLE DISPOSITIVE POWER

64,584

SHARED DISPOSITIVE POWER

2,366,718*

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

2,431,302*

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

☐

PERCENT OF CLASS REPRESENTED BY AMOUNT
IN ROW (11)

9.9%

TYPE OF REPORTING PERSON

HC, IN