Filing Details

Accession Number:
0000899243-22-028305
Form Type:
4
Zero Holdings:
No
Publication Time:
2022-08-10 20:49:53
Reporting Period:
2022-08-08
Accepted Time:
2022-08-10 20:49:53
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1831096 Great Elm Group Inc. GEG () DE
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1308057 Long Ball Partners Llc C/O Imperial Capital Asset Management
3801 Pga Boulevard, Suite 603
Palm Beach Gardens FL 33410
No No Yes No
1479613 W. Jason Reese C/O Imperial Capital Asset Management
3801 Pga Boulevard, Suite 603
Palm Beach Gardens FL 33410
Yes No Yes No
1805378 Imperial Capital Asset Management, Llc 3801 Pga Boulevard, Suite 603
Palm Beach Gardens FL 33410
No No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock, Par Value $0.01 Per Share ("Common Stock") Acquisiton 2022-08-08 7,234 $2.02 4,695,750 No 4 P Indirect See Footnotes
Common Stock Acquisiton 2022-08-09 8,769 $2.05 4,704,519 No 4 P Indirect See Footnotes
Common Stock Acquisiton 2022-08-10 4,144 $2.04 4,708,663 No 4 P Indirect See Footnotes
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect See Footnotes
No 4 P Indirect See Footnotes
No 4 P Indirect See Footnotes
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 405,085 Direct
Footnotes
  1. The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan established by Long Ball Partners, LLC ("Long Ball") on June 15, 2022.
  2. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.99 to $2.05, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission ("SEC"), upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
  3. Consists of 3,325,766 shares held directly by Long Ball and 1,369,984 shares held directly by Imperial Capital Asset Management, LLC ("ICAM"). Mr. Reese is portfolio manager to Long Ball and is Chairman and Chief Executive Officer of ICAM, which is the managing member of and investment manager to Long Ball.
  4. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.02 to $2.05, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
  5. Consists of 3,334,535 shares held directly by Long Ball and 1,369,984 shares held directly by ICAM.
  6. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.03 to $2.05, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
  7. Consists of 3,338,679 shares held directly by Long Ball and 1,369,984 shares held directly by ICAM.
  8. Each of Mr. Reese, ICAM and Long Ball disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest.