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Filing Details

Accession Number:: 0000899243-22-035385
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2022-11-08 18:17:27
Reporting Period:: 2022-11-04

Accepted Time:: 2022-11-08 18:17:27
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	2022-11-04	5,578	$2.00	5,011,411	No	4	P	Indirect	See Footnotes
Common Stock	Acquisiton	2022-11-07	1,254	$1.99	5,012,665	No	4	P	Indirect	See Footnotes
Common Stock	Acquisiton	2022-11-08	161,123	$2.00	5,173,788	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	564,902	Direct

Footnotes

This purchase was effected pursuant to a Rule 10b5-1 Trading Plan established by Long Ball Partners, LLC ("Long Ball") on June 15, 2022.
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 $1.98 to $2.00, 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.
Consists of 3,641,427 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.
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 $1.98 to $2.00, 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 3,642,681 shares held directly by Long Ball and 1,369,984 shares held directly by ICAM.
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 $1.96 to $2.00, 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 3,803,804 shares held directly by 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.
Reflects shares directly beneficially owned by Mr. Reese.