Home > Insider Trading > Filing (0000899243-23-001535)

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
1961798	Imperial Capital Group Holdings Ii, 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")	Disposition	2023-01-06	460,900	$2.17	5,159,100	No	4	S	Indirect	See Footnotes
Common Stock	Acquisiton	2023-01-06	460,900	$2.17	5,620,000	No	4	P	Indirect	See Footnotes

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	S	Indirect	See Footnotes
No	4	P	Indirect	See Footnotes

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	730,061	Direct

Footnotes

Represents a transfer of 460,900 shares (the "Transfer") from Imperial Capital Asset Management, LLC ("ICAM") to Imperial Capital Group Holdings II, LLC ("ICGH2"). The Transfer is a change in form of ownership exempt from Section 16(b) of the Securities Exchange Act of 1934, as amended, except with respect to 27,097 shares of Common Stock. The Section 16(b) profits that result from the Transfer will be disgorged to the Issuer.
Consists of 4,250,016 shares held directly by Long Ball Partners, LLC ("Long Ball") and 909,084 shares held directly by 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, Long Ball and ICGH2 disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest.
Consists of 4,250,016 shares held directly by Long Ball, 909,084 shares held directly by ICAM and 460,900 shares held directly by ICGH2. 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. Mr. Reese is one of the owners of Imperial Capital Group Holdings, LLC ("ICGH"), which is the managing member of ICGH2. Mr. Reese has voting and dispositive power over the shares of Common Stock held directly by ICGH2.
Reflects shares directly beneficially owned by Mr. Reese.