Edition:
United Kingdom

Great Elm Capital Group Inc (GEC.OQ)

GEC.OQ on NASDAQ Stock Exchange Global Select Market

3.34USD
9:00pm BST
Change (% chg)

$0.04 (+1.21%)
Prev Close
$3.30
Open
$3.35
Day's High
$3.37
Day's Low
$3.34
Volume
1,040
Avg. Vol
3,868
52-wk High
$4.40
52-wk Low
$2.90

Summary

Name Age Since Current Position

Jeffrey Serota

51 2017 Independent Chairman of the Board

Adam Kleinman

43 2018 President, Chief Operating Officer

Peter Reed

37 2017 Chief Executive Officer, Director

John Woods

2017 Chief Financial Officer

Thomas Harbin

43 2017 Director

Matthew Drapkin

45 2017 Independent Director

James Parmelee

51 2017 Independent Director

Mark Snell

61 2016 Independent Director

Hugh Wilson

68 2017 Independent Director

Biographies

Name Description

Jeffrey Serota

Mr. Jeffrey S. Serota serves as Independent Chairman of the Board of the Company. He has served on our board since November 2016. Mr. Serota is currently a Senior Advisor at Corbel Structured Equity Partners, an alternative lower middle-market debt manager. Mr. Serota served as a Senior Partner and Senior Advisor at Ares Management LLC (Ares) from 1997-2013. While at Ares, Mr. Serota led investments in an array of security types and industries. Transaction structures included buyouts, recapitalizations, structured equity, minority interest, and distressed-for-control, among others. As part of his role as a Senior Partner at Ares, Mr. Serota acted as an Interim Chief Executive Officer for certain portfolio company investments of Ares, led fundraising efforts for private equity investment funds, participated in numerous private and public companies as a Member of the board of directors, and assisted in the management of the private equity efforts at Ares. Before Ares, Mr. Serota served as a Vice President in the investment banking department at Bear, Stearns & Co. Inc. Prior to Bear Stearns, Mr. Serota was employed at Dabney/Resnick, Inc., where he specialized in merchant banking and capital raising activities for middle market companies and had primary responsibility for Dabney/Resnick’s bridge financing activities. Mr. Serota was also employed at Salomon Brothers Inc, where he focused on mergers and acquisitions and merchant banking transactions.

Adam Kleinman

Mr. Adam M. Kleinman is President, Chief Operating Officer of the company. He currently serves as Chief Operating Officer, General Counsel and Chief Compliance Officer of Great Elm Capital Management, Inc. (“GECM”). GECM, a wholly-owned subsidiary of the Company, is the external manager and investment adviser of pooled investment vehicles and accounts, including Great Elm Capital Corp. (“GECC”), an externally-managed business development company that invests in the debt instruments of middle market companies with a focus on special situations and catalyst-driven opportunities. Mr. Kleinman currently serves as the Chief Compliance Officer of GECC. Prior to joining GECM and GECC in 2017, Mr. Kleinman served as Partner, Chief Operating Officer and General Counsel of MAST Capital Management, LLC, a private investment manager.

Peter Reed

Mr. Peter A. Reed is an Chief Executive Officer, Director of the Company. Mr. Reed. has been a member of our Board of Directors since May 2015. Mr. Reed is Chief Investment Officer of our Great Elm Capital Management subsidiary and Chief Executive Officer of Great Elm Capital Corp. Until September 2017, Mr. Reed was Portfolio Manager and Partner at MAST Capital, a Boston-based registered investment advisor. Prior to joining MAST in 2004, Mr. Reed was an investment banking analyst at Brown, Gibbons, Lang & Company where he worked on mergers and acquisitions, in-court and out-of-court financial restructurings, and debt and equity private placements for middle market companies.

John Woods

Mr. John Woods is Chief Financial Officer of the Company. Mr. Woods joined GECM as Chief Financial Officer in March 2017 and was elevated to the role of Chief Financial Officer of both GEC and GECM in September 2017. Prior to joining Great Elm, Mr. Woods held various positions at Providence Equity Partners, a multi-strategy global asset management firm, including Corporate Controller and Treasurer and CFO of Providence’s capital markets division. Previously, Mr. Woods was Director of Finance at NewStar Financial (NEWS - Nasdaq), a publicly traded middle-market lender. Prior to NewStar, Mr. Woods was a Senior Audit Associate at Deloitte. Mr. Woods received a Master of Business Administration from Suffolk University, a Bachelor of Arts from Saint Anselm College and is a Certified Public Accountant.

Thomas Harbin

Mr. Thomas S. Harbin III serves as Director of the Company. Mr. Harbin co-founded Source Capital, LLC in 2002 and currently serves as its Managing Partner. Source Capital, through its affiliates and several committed funds, invests in both private equity and private debt transactions primarily in support of growing US-based companies in the lower-middle market. Mr. Harbin worked previously with J.H. Whitney & Co., a Connecticut-based private equity firm with over $5 billion in assets under management. He was the Head of Business Development for PowerBand Communications, a Whitney portfolio company located in Tokyo, Japan. Mr. Harbin also spent time in the Leveraged Finance group of Goldman, Sachs & Co. in New York. Mr. Harbin received a B.A. with distinction in Economics from the University of Virginia. Mr. Harbin is also a member of the Board of Trustees for the Nature Conservancy of Georgia and the Piedmont Healthcare Foundation.

Matthew Drapkin

Mr. Matthew A. Drapkin, J.D., is Independent Director of the Company. Mr. Drapkin is CEO & Portfolio Manager of Northern Right Capital, a value-oriented asset manager focused on constructive activist investing in small cap public companies. Mr. Drapkin is currently on the board of directors of Intevac, a publicly-traded provider of equipment solutions to the hard-disk drive industry and high-sensitivity imaging products, primarily for the defense market, and PRGX Global, a global provider of recovery audit services to retail and commercial clients. Mr. Drapkin previously served as Chairman of the Board of Ruby Tuesday, a restaurant operator, Lead Independent Director of Hot Topic, a specialty retailer, and a director of Xura (formerly Comverse), a provider of telecommunications businesses solutions, Glu Mobile, a mobile gaming company, Plato Learning, a provider of curriculum management, and Alloy, a diversified media company. Before joining Northern Right Capital Management in December 2009, Mr. Drapkin had extensive investment experience, including his work as head of research, special situations, and private equity at ENSO Capital, a New York-based hedge fund. From 2003 to 2008, Mr. Drapkin worked at MacAndrews & Forbes, participating in more than $3 billion of transactions, including Scientific Games, Deluxe Entertainment Services, AM General, and Scantron. Prior to MacAndrews, Mr. Drapkin served as general manager of two of Conde Nast publication’s wholly-owned Internet sites, Epicurious.com and Concierge.com, and headed Conde Nast’s internet venture investment effort. Mr. Drapkin began his career at Goldman, Sachs and Co. Sachs and Co.

James Parmelee

Mr. James P. Parmelee is Independent Director of the Company. Mr. Parmelee serves as a senior advisor to Hamilton Robinson Capital Partners, a middle marke- focused private equity firm. Previously, Mr. Parmelee was a Partner in Peak Ten Management (formerly Lanexa Management), a long/short equity fund backed by Tiger Management LLC. Mr. Parmelee’s primary responsibilities included sourcing, analyzing and monitoring software, Internet and IT infrastructure investments. Prior to joining Peak Ten Management, Mr. Parmelee was a Partner in Union Square Advisors LLC, a strategic advisory firm. He served as head of the firm’s global IT Infrastructure practice. Mr. Parmelee was a data networking and telecommunications equipment research analyst, primarily at Credit Suisse First Boston, from 1992 to 2004.

Mark Snell

Mr. Mark A. Snell is an Independent Director of the Company. Mr. Snell was President of Sempra Energy, a San Diego-based Fortune 500 energy services holding company, from 2011 to March 2017. From 2006 to 2011, Mr. Snell was executive vice president and chief financial officer of Sempra Energy. Previously, Mr. Snell was group president overseeing Sempra Energy’s businesses outside of the company’s two California utilities. Prior to that, he served as chief financial officer of this group. Mr. Snell joined Sempra Energy in 2001 as vice president of planning and development. Previously, Mr. Snell was executive vice president and chief financial officer for Earth Tech, a Long Beach, Calif.-based water management, engineering and environmental services firm. Prior to that, he was executive vice president and chief financial officer of Dames and Moore, an engineering and construction firm headquartered in Los Angeles. At Dames and Moore, he guided the completion of acquisitions that more than doubled the firm’s revenues. Mr. Snell also served as chief financial and administrative officer of Latham & Watkins. Preceding that, he was executive vice president and chief financial officer of World Oil Corp., a privately held, integrated oil company. Mr. Snell began his career as an auditor and in acquisition support at KPMG Peat Marwick.

Hugh Wilson

Mr. Hugh Steven Wilson is Independent Director of the Company. Mr. Wilson was a Managing Partner of Tennenbaum Capital Partners, LLC (TCP) from 2005 to 2012, where he is a member of its advisory board. Mr. Wilson served as Chief Executive Officer of four TCP affiliated registered investment companies. Mr. Wilson served as a Senior Partner at Latham & Watkins, where he was Global Co-Chairman of the Mergers and Acquisitions Practice Group and Chairman of the National Litigation Department. Mr. Wilson serves as Vice Chairman of Burford Capital Limited.

Basic Compensation