Home > Insider Trading > Filing (0000899243-22-031714)

Filing Details

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1831096	Great Elm Group Inc.	GEG	()	DE

Insiders

Cik	Name	Reported Address	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	2022-09-20	159,817	$0.00	564,902	No	4	A	Direct
Common Stock	Acquisiton	2022-09-21	6,089	$2.05	4,822,472	No	4	P	Indirect	See Footnote

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	A	Direct
No	4	P	Indirect	See Footnote

Footnotes

On September 20, 2022, Jason Reese was awarded 159,817 restricted stock units, 25% of which vested on the date of grant, and 25% of the units will vest on each of the next three anniversaries thereof.
Reflects shares directly beneficially owned by Mr. Reese.
This purchase was effected pursuant to a Rule 10b5-1 Trading Plan established by Long Ball Partners, LLC ("Long Ball") on June 15, 2022.
Consists of 3,452,488 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.
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.