Filing Details
- Accession Number:
- 0000899243-22-019086
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2022-05-20 17:30:38
- Reporting Period:
- 2022-05-18
- Accepted Time:
- 2022-05-20 17:30:38
- 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 | 2022-05-18 | 5,000 | $2.04 | 4,184,482 | No | 4 | P | Indirect | See Footnotes |
Common Stock | Acquisiton | 2022-05-19 | 40,000 | $2.15 | 4,224,482 | 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 |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 405,085 | Direct |
Footnotes
- The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.01 to $2.10, 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.
- The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.00 to $2.19, 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.
- Consists of 2,814,498 shares held directly Long Ball Partners, LLC ("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.
- Consists of 2,854,498 shares held directly Long Ball, and 1,369,984 shares held directly by ICAM.
- 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.
- Consists of shares held directly by Mr. Reese.