GEG

SEC source: 0001140361-25-000457 · form4.xml · nonDerivative · entry 2

Scheyer Eric J · CIK 0001589127 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 421,719

F2 · ownership.direct: The Reporting Person was awarded 46,704 shares of restricted stock, which vest in equal quarterly installments on the end of each quarter beginning on March 31, 2025 through December 31, 2025, contingent upon continued service as a member of the board of directors of GEG.

SEC source: 0001140361-25-000457 · form4.xml · nonDerivative · entry 1

Scheyer Eric J · CIK 0001589127 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 375,015

F1 · ownership.direct: The Reporting Person was awarded 35,714 shares of restricted stock, which vest in equal monthly installments on the end of each month beginning on January 31, 2025 through December 31, 2025, contingent upon continued service as a member of the board of directors of Great Elm Group, Inc. ("GEG").

SEC source: 0001140361-25-000455 · form4.xml · nonDerivative · entry 5

Drapkin Matthew A · CIK 0001458693 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 728,749

F7 · ownership.direct: The Reporting Person was awarded 35,714 shares of restricted stock, which vest in equal quarterly installments on the end of each quarter beginning on March 31, 2025 through December 31, 2025, contingent upon continued service as a member of the board of directors of Great Elm Capital Corp.

SEC source: 0001140361-25-000455 · form4.xml · nonDerivative · entry 4

Drapkin Matthew A · CIK 0001458693 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 693,035

F6 · ownership.direct: The Reporting Person was awarded 82,418 shares of restricted stock, which vest in equal quarterly installments on the end of each quarter beginning on March 31, 2025 through December 31, 2025, contingent upon continued service as a member of the board of directors of GEG.

SEC source: 0001140361-25-000455 · form4.xml · nonDerivative · entry 3

Drapkin Matthew A · CIK 0001458693 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 610,617

F5 · ownership.direct: The Reporting Person was awarded 35,714 shares of restricted stock, which vest in equal monthly installments on the end of each month beginning on January 31, 2025 through December 31, 2025, contingent upon continued service as a member of the board of directors of Great Elm Group, Inc. ("GEG").

SEC source: 0001140361-25-000453 · form4.xml · nonDerivative · entry 1

Hugar James H · CIK 0001475698 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 343,067

F1 · ownership.direct: The Reporting Person was awarded 35,714 shares of restricted stock, which vest in equal monthly installments on the end of each month beginning on January 31, 2025 through December 31, 2025, contingent upon continued service as a member of the board of directors of Great Elm Group, Inc.

SEC source: 0001140361-25-000448 · form4.xml · nonDerivative · entry 2

Parmelee James P · CIK 0001711322 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 437,714

F2 · ownership.direct: The Reporting Person was awarded 46,704 shares of restricted stock, which vest in equal quarterly installments on the end of each quarter beginning on March 31, 2025 through December 31, 2025, contingent upon continued service as a member of the board of directors of GEG.

SEC source: 0001140361-25-000448 · form4.xml · nonDerivative · entry 1

Parmelee James P · CIK 0001711322 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 391,227

F1 · ownership.direct: The Reporting Person was awarded 35,714 shares of restricted stock, which vest in equal monthly installments on the end of each month beginning on January 31, 2025 through December 31, 2025, contingent upon continued service as a member of the board of directors of Great Elm Group, Inc. ("GEG").

SEC source: 0001140361-25-000444 · form4.xml · nonDerivative · entry 2

Matter David · CIK 0001931402 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 482,234

F2 · ownership.direct: The Reporting Person was awarded 41,209 shares of restricted stock, which vest in equal quarterly installments on the end of each quarter beginning on March 31, 2025 through December 31, 2025, contingent upon continued service as a member of the board of directors of GEG.

SEC source: 0001140361-25-000444 · form4.xml · nonDerivative · entry 1

Matter David · CIK 0001931402 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 441,025

F1 · ownership.direct: The Reporting Person was awarded 35,714 shares of restricted stock, which vest in equal monthly installments on the end of each month beginning on January 31, 2025 through December 31, 2025, contingent upon continued service as a member of the board of directors of Great Elm Group, Inc. ("GEG").

SEC source: 0001140361-24-041809 · form4.xml · nonDerivative · entry 1

Milz Nichole · CIK 0001945563 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 176,347

F1 · ownership.direct: Ms. Milz was awarded 55,339 shares of restricted stock, one-quarter of which vested on the grant date, September 20, 2024, and the remainder of which vest in equal annual installments on September 20th of each year until September 20, 2027, contingent on continued employment by Great Elm Group, Inc.

SEC source: 0001140361-24-041808 · form4.xml · nonDerivative · entry 1

Davis Keri · CIK 0001770670 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 39,663

F1 · ownership.direct: Ms. Davis was awarded 27,344 shares of restricted stock, one-quarter of which vested on the grant date, September 20, 2024, and the remainder of which vest in equal annual installments on September 20th of each year until September 20, 2027, contingent on continued employment by Great Elm Group, Inc.

SEC source: 0001140361-24-041807 · form4.xml · nonDerivative · entry 1

Kleinman Adam M · CIK 0001715823 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 580,730

F1 · ownership.direct: Mr. Kleinman was awarded 32,552 shares of restricted stock, one-quarter of which vested on the grant date, September 20, 2024, and the remainder of which vest in equal annual installments on September 20th of each year until September 20, 2027, contingent on continued employment by Great Elm Group, Inc.

SEC source: 0000950170-24-109094 · ownership.xml · nonDerivative · entry 2

Reese Jason W. · CIK 0001479613 · Director · See remarks · 10% owner

Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner

LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner

Imperial Capital Group Holdings II, LLC · CIK 0001961798 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 993,119

F4 · shares: On September 20, 2024, Jason Reese was awarded 130,208 shares of restricted stock, 25% of which vested on September 20, 2024, with 25% to vest on each of September 20, 2025, September 20, 2026 and September 20, 2027.

F5 · balance_after: Reflects shares directly beneficially owned by Mr. Reese.

F3 · ownership.direct: 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.

SEC source: 0000950170-24-064258 · ownership.xml · nonDerivative · entry 3

Reese Jason W. · CIK 0001479613 · Director · See remarks · 10% owner

Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner

LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner

Imperial Capital Group Holdings II, LLC · CIK 0001961798 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 6,379,646

F5 · price: 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 $1.75 to $1.76, 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.

F2 · ownership.nature: 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.

F3 · ownership.nature: 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.

F6 · ownership.nature: Consists of 5,009,662 shares held directly by Long Ball, 909,084 shares held directly by ICAM, and 460,900 shares held directly by ICGH2.

SEC source: 0001140361-24-027327 · form4.xml · nonDerivative · entry 4

Drapkin Matthew A · CIK 0001458693 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 1,963,690

F7 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.75 to $1.76, 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.

F2 · ownership.direct: Represents shares of common stock purchased by managed accounts (the "Managed Accounts") on behalf of certain investment advisory clients of Northern Right Capital Management, L.P. ("Northern Right Management").

F3 · ownership.nature: As general partner and investment manager of Northern Right QP, Northern Right Capital Management, L.P. ("Northern Right Management") may be deemed to be the beneficial owner of the shares of common stock held by Northern Right QP. As the investment manager of the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA"), may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA.

F4 · ownership.nature: (continued from footnote 3) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein.

SEC source: 0000950170-24-116442 · ownership.xml · nonDerivative · entry 3

Northern Right Capital Management, L.P. · CIK 0001346543 · 10% owner · Member of 13D 10% Group

Northern Right Capital (QP), L.P. · CIK 0001451722 · 10% owner

BC Advisors LLC · CIK 0001349003 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 4,243,168

F1 · shares: Represents shares of common stock of GEG purchased by managed accounts (the "Managed Accounts") on behalf of investment advisory clients of Northern Right Capital Management, L.P. ("Northern Right Management"). Northern Right Management acts as the investment manager for the Managed Accounts.

F7 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.75 to $1.76, 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.

F2 · ownership.nature: Northern Right Capital (QP), L.P. ("Northern Right QP") beneficially owns and has the power to vote or to direct the vote of 2,279,478 shares of common stock of GEG. The Managed Accounts, on behalf of certain investment advisory clients of Northern Right Management, beneficially own 1,963,690 shares of common stock of GEG.

F3 · ownership.nature: As general partner and investment manager of Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by Northern Right QP. As the investment manager of the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the securities held by such accounts. As the general partner of Northern Right Management, BC Advisors, LLC may be deemed to be the beneficial owner of the securities beneficially owned (or deemed beneficially owned) by Northern Right Management. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein that may be beneficially owned by any of the other Reporting Persons, in each case, except to the extent of any pecuniary interest therein, and this report shall not be deemed an admission that any such entity or person is the beneficial owner of, or has any pecuniary interest in,

F4 · ownership.nature: (Continued from footnote 3) such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000950170-24-064258 · ownership.xml · nonDerivative · entry 2

Reese Jason W. · CIK 0001479613 · Director · See remarks · 10% owner

Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner

LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner

Imperial Capital Group Holdings II, LLC · CIK 0001961798 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 6,374,631

F4 · price: 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 $1.76 to $1.77, 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.

F2 · ownership.nature: 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.

F3 · ownership.nature: 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.

SEC source: 0001140361-24-027327 · form4.xml · nonDerivative · entry 3

Drapkin Matthew A · CIK 0001458693 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 1,958,675

F6 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.76 to $1.77, 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.

F2 · ownership.direct: Represents shares of common stock purchased by managed accounts (the "Managed Accounts") on behalf of certain investment advisory clients of Northern Right Capital Management, L.P. ("Northern Right Management").

F3 · ownership.nature: As general partner and investment manager of Northern Right QP, Northern Right Capital Management, L.P. ("Northern Right Management") may be deemed to be the beneficial owner of the shares of common stock held by Northern Right QP. As the investment manager of the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA"), may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA.

F4 · ownership.nature: (continued from footnote 3) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein.

SEC source: 0000950170-24-116442 · ownership.xml · nonDerivative · entry 2

Northern Right Capital Management, L.P. · CIK 0001346543 · 10% owner · Member of 13D 10% Group

Northern Right Capital (QP), L.P. · CIK 0001451722 · 10% owner

BC Advisors LLC · CIK 0001349003 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 4,238,153

F1 · shares: Represents shares of common stock of GEG purchased by managed accounts (the "Managed Accounts") on behalf of investment advisory clients of Northern Right Capital Management, L.P. ("Northern Right Management"). Northern Right Management acts as the investment manager for the Managed Accounts.

F6 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.76 to $1.77, 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.

F2 · ownership.nature: Northern Right Capital (QP), L.P. ("Northern Right QP") beneficially owns and has the power to vote or to direct the vote of 2,279,478 shares of common stock of GEG. The Managed Accounts, on behalf of certain investment advisory clients of Northern Right Management, beneficially own 1,963,690 shares of common stock of GEG.

F3 · ownership.nature: As general partner and investment manager of Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by Northern Right QP. As the investment manager of the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the securities held by such accounts. As the general partner of Northern Right Management, BC Advisors, LLC may be deemed to be the beneficial owner of the securities beneficially owned (or deemed beneficially owned) by Northern Right Management. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein that may be beneficially owned by any of the other Reporting Persons, in each case, except to the extent of any pecuniary interest therein, and this report shall not be deemed an admission that any such entity or person is the beneficial owner of, or has any pecuniary interest in,

F4 · ownership.nature: (Continued from footnote 3) such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001140361-24-027087 · form4.xml · nonDerivative · entry 4

Hugar James H · CIK 0001475698 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 307,353

SEC source: 0001140361-24-027087 · form4.xml · nonDerivative · entry 3

Hugar James H · CIK 0001475698 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 306,097

SEC source: 0000950170-24-064258 · ownership.xml · nonDerivative · entry 1

Reese Jason W. · CIK 0001479613 · Director · See remarks · 10% owner

Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner

LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner

Imperial Capital Group Holdings II, LLC · CIK 0001961798 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 6,354,630

F1 · price: 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 $1.76 to $1.78, 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.

F2 · ownership.nature: 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.

F3 · ownership.nature: 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.

SEC source: 0001140361-24-027327 · form4.xml · nonDerivative · entry 2

Drapkin Matthew A · CIK 0001458693 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 1,938,674

F5 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.76 to $1.78, inclusive. The reporting person undertakes to provide to Great Elm Group, Inc. (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.

F2 · ownership.direct: Represents shares of common stock purchased by managed accounts (the "Managed Accounts") on behalf of certain investment advisory clients of Northern Right Capital Management, L.P. ("Northern Right Management").

F3 · ownership.nature: As general partner and investment manager of Northern Right QP, Northern Right Capital Management, L.P. ("Northern Right Management") may be deemed to be the beneficial owner of the shares of common stock held by Northern Right QP. As the investment manager of the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA"), may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA.

F4 · ownership.nature: (continued from footnote 3) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein.

SEC source: 0000950170-24-116442 · ownership.xml · nonDerivative · entry 1

Northern Right Capital Management, L.P. · CIK 0001346543 · 10% owner · Member of 13D 10% Group

Northern Right Capital (QP), L.P. · CIK 0001451722 · 10% owner

BC Advisors LLC · CIK 0001349003 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 4,218,152

F1 · shares: Represents shares of common stock of GEG purchased by managed accounts (the "Managed Accounts") on behalf of investment advisory clients of Northern Right Capital Management, L.P. ("Northern Right Management"). Northern Right Management acts as the investment manager for the Managed Accounts.

F5 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.76 to $1.78, inclusive. The reporting person undertakes to provide to Great Elm Group, Inc. (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.

F2 · ownership.nature: Northern Right Capital (QP), L.P. ("Northern Right QP") beneficially owns and has the power to vote or to direct the vote of 2,279,478 shares of common stock of GEG. The Managed Accounts, on behalf of certain investment advisory clients of Northern Right Management, beneficially own 1,963,690 shares of common stock of GEG.

F3 · ownership.nature: As general partner and investment manager of Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by Northern Right QP. As the investment manager of the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the securities held by such accounts. As the general partner of Northern Right Management, BC Advisors, LLC may be deemed to be the beneficial owner of the securities beneficially owned (or deemed beneficially owned) by Northern Right Management. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein that may be beneficially owned by any of the other Reporting Persons, in each case, except to the extent of any pecuniary interest therein, and this report shall not be deemed an admission that any such entity or person is the beneficial owner of, or has any pecuniary interest in,

F4 · ownership.nature: (Continued from footnote 3) such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001140361-24-027087 · form4.xml · nonDerivative · entry 2

Hugar James H · CIK 0001475698 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 300,997

SEC source: 0001140361-24-027087 · form4.xml · nonDerivative · entry 1

Hugar James H · CIK 0001475698 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 300,027

SEC source: 0001140361-24-026315 · form4.xml · nonDerivative · entry 3

Hugar James H · CIK 0001475698 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 299,349

SEC source: 0001140361-24-026315 · form4.xml · nonDerivative · entry 2

Hugar James H · CIK 0001475698 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 299,333

SEC source: 0001140361-24-026315 · form4.xml · nonDerivative · entry 1

Hugar James H · CIK 0001475698 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 294,933

SEC source: 0000950170-24-032902 · ownership.xml · nonDerivative · entry 2

Reese Jason W. · CIK 0001479613 · Director · See remarks · 10% owner

Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner

LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner

Imperial Capital Group Holdings II, LLC · CIK 0001961798 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 6,329,646

F4 · price: 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 $1.95 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.

F2 · ownership.nature: 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.

F3 · ownership.nature: 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.

F5 · ownership.nature: Consists of 4,959,662 shares held directly by Long Ball, 909,084 shares held directly by ICAM, and 460,900 shares held directly by ICGH2.

SEC source: 0000950170-24-032902 · ownership.xml · nonDerivative · entry 1

Reese Jason W. · CIK 0001479613 · Director · See remarks · 10% owner

Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner

LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner

Imperial Capital Group Holdings II, LLC · CIK 0001961798 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 6,321,803

F1 · price: 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 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.

F2 · ownership.nature: 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.

F3 · ownership.nature: 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.

SEC source: 0000950170-24-031061 · ownership.xml · nonDerivative · entry 3

Reese Jason W. · CIK 0001479613 · Director · See remarks · 10% owner

Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner

LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner

Imperial Capital Group Holdings II, LLC · CIK 0001961798 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 6,318,549

F3 · price: 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 Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

F1 · ownership.nature: 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.

F2 · ownership.nature: 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.

F4 · ownership.nature: Consists of 4,948,565 shares held directly by Long Ball, 909,084 shares held directly by ICAM, and 460,900 shares held directly by ICGH2.

SEC source: 0000950170-24-031061 · ownership.xml · nonDerivative · entry 2

Reese Jason W. · CIK 0001479613 · Director · See remarks · 10% owner

Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner

LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner

Imperial Capital Group Holdings II, LLC · CIK 0001961798 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 6,302,349

F1 · ownership.nature: 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.

F2 · ownership.nature: 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.

SEC source: 0000950170-24-031061 · ownership.xml · nonDerivative · entry 1

Reese Jason W. · CIK 0001479613 · Director · See remarks · 10% owner

Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner

LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner

Imperial Capital Group Holdings II, LLC · CIK 0001961798 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 6,299,849

F1 · ownership.nature: 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.

F2 · ownership.nature: 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.

SEC source: 0000950170-24-028325 · ownership.xml · nonDerivative · entry 3

Reese Jason W. · CIK 0001479613 · Director · See remarks · 10% owner

Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner

LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner

Imperial Capital Group Holdings II, LLC · CIK 0001961798 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 6,299,043

F5 · price: 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.

F2 · ownership.nature: 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.

F3 · ownership.nature: 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.

F6 · ownership.nature: 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.

SEC source: 0000950170-24-028325 · ownership.xml · nonDerivative · entry 2

Reese Jason W. · CIK 0001479613 · Director · See remarks · 10% owner

Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner

LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner

Imperial Capital Group Holdings II, LLC · CIK 0001961798 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 6,293,962

F4 · price: 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.

F2 · ownership.nature: 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.

F3 · ownership.nature: 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.

SEC source: 0000950170-24-028325 · ownership.xml · nonDerivative · entry 1

Reese Jason W. · CIK 0001479613 · Director · See remarks · 10% owner

Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner

LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner

Imperial Capital Group Holdings II, LLC · CIK 0001961798 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 6,289,573

F1 · price: 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.

F2 · ownership.nature: 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.

F3 · ownership.nature: 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.

SEC source: 0000950170-24-023479 · ownership.xml · nonDerivative · entry 2

Reese Jason W. · CIK 0001479613 · Director · See remarks · 10% owner

Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner

LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner

Imperial Capital Group Holdings II, LLC · CIK 0001961798 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 6,284,436

F3 · price: 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 $1.95 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, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

F1 · ownership.nature: 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.

F2 · ownership.nature: 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.

F4 · ownership.nature: Consists of 4,914,452 shares held directly by Long Ball, 909,084 shares held directly by ICAM, and 460,900 shares held directly by ICGH2.

SEC source: 0000950170-24-023479 · ownership.xml · nonDerivative · entry 1

Reese Jason W. · CIK 0001479613 · Director · See remarks · 10% owner

Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner

LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner

Imperial Capital Group Holdings II, LLC · CIK 0001961798 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 6,280,346

F1 · ownership.nature: 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.

F2 · ownership.nature: 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.

SEC source: 0000950170-24-018314 · ownership.xml · nonDerivative · entry 3

Reese Jason W. · CIK 0001479613 · Director · See remarks · 10% owner

Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner

LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner

Imperial Capital Group Holdings II, LLC · CIK 0001961798 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 6,160,346

F5 · price: 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 $1.99, 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.

F2 · ownership.nature: 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.

F3 · ownership.nature: 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.

F6 · ownership.nature: Consists of 4,790,362 shares held directly by Long Ball, 909,084 shares held directly by ICAM, and 460,900 shares held directly by ICGH2.

SEC source: 0000950170-24-018314 · ownership.xml · nonDerivative · entry 2

Reese Jason W. · CIK 0001479613 · Director · See remarks · 10% owner

Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner

LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner

Imperial Capital Group Holdings II, LLC · CIK 0001961798 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 6,157,357

F4 · price: 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 $1.99, 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.

F2 · ownership.nature: 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.

F3 · ownership.nature: 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.

SEC source: 0000950170-24-018314 · ownership.xml · nonDerivative · entry 1

Reese Jason W. · CIK 0001479613 · Director · See remarks · 10% owner

Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner

LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner

Imperial Capital Group Holdings II, LLC · CIK 0001961798 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 6,151,050

F1 · price: 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 $1.91 to $1.97, 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.

F2 · ownership.nature: 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.

F3 · ownership.nature: 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.

SEC source: 0001140361-24-000779 · form4.xml · nonDerivative · entry 2

Parmelee James P · CIK 0001711322 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 355,513

F2 · ownership.direct: The Reporting Person was awarded 45,455 shares of restricted stock, which vest in equal quarterly installments on the end of each quarter beginning on March 31, 2024 through December 31, 2024, contingent upon continued service as a member of the board of directors of GEG.

SEC source: 0001140361-24-000779 · form4.xml · nonDerivative · entry 1

Parmelee James P · CIK 0001711322 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 310,058

F1 · ownership.direct: The Reporting Person was awarded 34,759 shares of restricted stock, which vest in equal monthly installments on the end of each month beginning on January 31, 2024 through December 31, 2024, contingent upon continued service as a member of the board of directors of Great Elm Group, Inc. ("GEG").

SEC source: 0001140361-24-000777 · form4.xml · nonDerivative · entry 2

Matter David · CIK 0001931402 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 405,311

F2 · ownership.direct: The Reporting Person was awarded 40,107 shares of restricted stock, which vest in equal quarterly installments on the end of each quarter beginning on March 31, 2024 through December 31, 2024, contingent upon continued service as a member of the board of directors of GEG.

SEC source: 0001140361-24-000777 · form4.xml · nonDerivative · entry 1

Matter David · CIK 0001931402 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 365,204

F1 · ownership.direct: The Reporting Person was awarded 34,759 shares of restricted stock, which vest in equal monthly installments on the end of each month beginning on January 31, 2024 through December 31, 2024, contingent upon continued service as a member of the board of directors of Great Elm Group, Inc. ("GEG").

SEC source: 0001140361-24-000775 · form4.xml · nonDerivative · entry 1

Hugar James H · CIK 0001475698 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 294,540

F1 · ownership.direct: The Reporting Person was awarded 34,759 shares of restricted stock, which vest in equal monthly installments on the end of each month beginning on January 31, 2024 through December 31, 2024, contingent upon continued service as a member of the board of directors of Great Elm Group, Inc.

SEC source: 0001140361-24-000773 · form4.xml · nonDerivative · entry 2

Scheyer Eric J · CIK 0001589127 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 339,301

F2 · ownership.direct: The Reporting Person was awarded 45,455 shares of restricted stock, which vest in equal quarterly installments on the end of each quarter beginning on March 31, 2024 through December 31, 2024, contingent upon continued service as a member of the board of directors of GEG.

SEC source: 0001140361-24-000773 · form4.xml · nonDerivative · entry 1

Scheyer Eric J · CIK 0001589127 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 293,846

F1 · ownership.direct: The Reporting Person was awarded 34,759 shares of restricted stock, which vest in equal monthly installments on the end of each month beginning on January 31, 2024 through December 31, 2024, contingent upon continued service as a member of the board of directors of Great Elm Group, Inc. ("GEG").