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Filing Details

Accession Number:: 0000899243-21-020291
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2021-05-20 20:56:22
Reporting Period:: 2021-05-18

Accepted Time:: 2021-05-20 20:56:22
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	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

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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	2021-05-18	10,229	$2.18	2,339,541	No	4	P	Indirect	See Footnote
Common Stock	Acquisiton	2021-05-19	259,882	$2.40	2,599,423	No	4	P	Indirect	See Footnote
Common Stock	Acquisiton	2021-05-20	58,575	$2.32	2,657,998	No	4	P	Indirect	See Footnote

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

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	127,615	Direct

Footnotes

The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.03 to $2.25, inclusive. The reporting persons undertake 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.
The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.245 to $2.40, inclusive. The reporting persons undertake 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.
The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.15 to $2.40, inclusive. The reporting persons undertake 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.
This Common Stock is held directly by Long Ball Partners, LLC ("Long Ball"). Mr. Reese is Portfolio manager to Long Ball and is Chairman and Chief Executive Officer of Imperial Capital Asset Management, LLC ("ICAM"), which is the managing member of and investment manager to Long Ball. Each of Mr. Reese and ICAM disclaims beneficial ownership of the securities held by Long Ball except to the extent of that person's pecuniary interest therein. Each of Long Ball and ICAM disclaims beneficial ownership of the securities held directly by Mr. Reese.