Filing Details
- Accession Number:
- 0000899243-22-039602
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2022-12-30 19:36:07
- Reporting Period:
- 2022-12-28
- Accepted Time:
- 2022-12-30 19:36:07
- 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 | 2022-12-28 | 75,538 | $1.95 | 5,309,037 | No | 4 | P | Indirect | See Footnotes |
| Common Stock | Acquisiton | 2022-12-29 | 1,370 | $1.95 | 5,310,407 | No | 4 | P | Indirect | See Footnotes |
| Common Stock | Acquisiton | 2022-12-30 | 309,593 | $2.01 | 5,620,000 | 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 $1.85 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 3,939,053 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.
- 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 3,940,423 shares held directly by Long Ball and 1,369,984 share 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 $1.92 to $2.02, 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 4,250,016 shares held directly by Long Ball and 1,369,984 share held directly by ICAM.
- Reflects shares directly beneficially owned by Mr. Reese.
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