Filing Details

Accession Number:
0000950170-24-028325
Form Type:
4
Zero Holdings:
No
Publication Time:
2024-03-07 21:35:04
Reporting Period:
2024-03-05
Accepted Time:
2024-03-07 21:35:04
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 No No
1479613 W. Jason Reese C/O Imperial Capital Asset Management
3801 Pga Boulevard, Suite 603
Palm Beach Gardens FL 33410
See Remarks No No No No
1805378 Imperial Capital Asset Management, Llc 3801 Pga Boulevard, Suite 603
Palm Beach Gardens FL 33410
No No No No
1961798 Imperial Capital Group Holdings Ii, Llc 3801 Pga Boulevard, Suite 603
Palm Beach Gardens FL 33410
No No No 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 2024-03-05 5,137 $1.93 6,289,573 No 4 P Indirect See Footnotes
Common Stock Acquisiton 2024-03-06 4,389 $1.96 6,293,962 No 4 P Indirect See Footnotes
Common Stock Acquisiton 2024-03-07 5,081 $1.96 6,299,043 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 862,911 Direct
Footnotes
  1. The price reported in Column 4 is a weighted average price, rounded to the nearest cent. These shares were purchased in multiple transactions at prices ranging from $1.90 to $1.94, 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 (the "SEC"), upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
  2. This Common Stock is held directly by Long Ball Partners, LLC ("Long Ball"), Imperial Capital Asset Management, LLC ("ICAM") and Imperial Capital Group Holdings II, LLC ("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, which is the managing member of ICGH2. Mr. Reese has voting and dispositive power over the shares of Common Stock held directly by each of Long Ball, ICAM and ICGH2.
  3. 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.
  4. The price reported in Column 4 is a weighted average price, rounded to the nearest cent. These shares were purchased in multiple transactions at prices ranging from $1.90 to $1.97, 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. The price reported in Column 4 is a weighted average price, rounded to the nearest cent. These shares were purchased in multiple transactions at prices ranging from $1.90 to $1.98, 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.
  6. Consists of 4,929,059 shares held directly by Long Ball, 909,084 shares held directly by ICAM, and 460,900 shares held directly by ICGH2.
  7. Reflects shares directly beneficially owned by Mr. Reese.