Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Forest Investments, Inc.GEC · Entity 144097 | Chief Financial Officer | May 15, 2020 | May 18, 2020 |
| Great Elm Group, Inc.GEG · Entity 7060 | Chief Financial Officer | September 20, 2022 | September 21, 2022 |
| WOODRUFF H ARTHURGEC · Entity 149174 | Chief Financial Officer | May 15, 2020 | May 18, 2020 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Forest Investments, Inc.
Report date May 15, 2020 · Filed May 18, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 9,000 |
Reported balance
After 2020-05-15 transaction · row 1
1 source rowRow 1 · 2020-05-15 · Purchase · Acquired 6,500 · Balance 9,000 |
Great Elm Group, Inc.
Report date September 20, 2022 · Filed September 21, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 62,517 |
Reported balance
After 2022-09-20 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2022-09-20 · Grant · Acquired 39,954 · Balance 62,517 F1: Mr. Pearson was awarded 39,954 shares of restricted stock, one-quarter of which vested on the grant date, September 20, 2022, and the remainder of which vest in equal annual installments on each anniversary of the grant date until September 20, 2025, contingent on continued employment by Great Elm Group, Inc. |
Filing footnotes · ownership attribution and instrument terms
F1: Mr. Pearson was awarded 39,954 shares of restricted stock, one-quarter of which vested on the grant date, September 20, 2022, and the remainder of which vest in equal annual installments on each anniversary of the grant date until September 20, 2025, contingent on continued employment by Great Elm Group, Inc.
WOODRUFF H ARTHUR
Report date May 15, 2020 · Filed May 18, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 9,000 |
Reported balance
After 2020-05-15 transaction · row 1
1 source rowRow 1 · 2020-05-15 · Purchase · Acquired 6,500 · Balance 9,000 |
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| September 20, 2022 Filed Sep 21, 2022 01:22 UTC | Great Elm Group, Inc. GEG · Entity 7060 | GrantCommon Stock | 39,954 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-22-034141 · form4.xml · nonDerivative · entry 1 Pearson Brent J · CIK 0001755895 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,517 F1 · ownership.direct: Mr. Pearson was awarded 39,954 shares of restricted stock, one-quarter of which vested on the grant date, September 20, 2022, and the remainder of which vest in equal annual installments on each anniversary of the grant date until September 20, 2025, contingent on continued employment by Great Elm Group, Inc. Read SEC document |
| September 24, 2021 Filed Sep 28, 2021 23:27 UTC | Great Elm Group, Inc. GEG · Entity 7060 | GrantStock Option (Right to Buy) · Derivative | 12,278 | $0.00 Strike: $2.87 | $0.00 |
DisclosureSEC source: 0001140361-21-032826 · form4.xml · derivative · entry 2 Pearson Brent J · CIK 0001755895 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,278 Underlying: Common Stock · 12,278 shares Expires 2026-09-24 F2 · derivative.exercise_date: Mr. Pearson was awarded 12,278 stock options, 3,070 of which vested on the grant date, September 24, 2021 and the remainder of which vest in equal annual installments on each anniversary of the grant date until September 24, 2024. Read SEC document |
| September 24, 2021 Filed Sep 28, 2021 23:27 UTC | Great Elm Group, Inc. GEG · Entity 7060 | GrantCommon Stock | 5,230 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-21-032826 · form4.xml · nonDerivative · entry 1 Pearson Brent J · CIK 0001755895 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,563 F1 · ownership.direct: Mr. Pearson was awarded 5,230 restricted stock units, 1,308 of which vested on the grant date, September 24, 2021, and the remainder of which vest in equal annual installments on each anniversary of the grant date until September 24, 2024. Read SEC document |
| February 05, 2021 Filed Feb 10, 2021 01:58 UTC | Great Elm Group, Inc. GEG · Entity 7060 | GrantStock Option (Right to Buy) · Derivative | 3,156 | $0.00 Strike: $3.60 | $0.00 |
DisclosureSEC source: 0001140361-21-003983 · form4.xml · derivative · entry 2 Pearson Brent J · CIK 0001755895 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,156 Underlying: Common Stock · 3,156 shares Expires 2021-02-05 F2 · derivative.exercise_date: Mr. Pearson was awarded 12,626 stock options, 3,156 of which vest on the grant date, February 5, 2021, and the remainder of which vest in equal annual installments until February 5, 2024. Read SEC document |
| February 05, 2021 Filed Feb 10, 2021 01:58 UTC | Great Elm Group, Inc. GEG · Entity 7060 | GrantCommon Stock | 2,089 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-21-003983 · form4.xml · nonDerivative · entry 1 Pearson Brent J · CIK 0001755895 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,089 F1 · ownership.direct: Brent Pearson was awarded 8,333 restricted stock units, 2,089 of which vest on the grant date, February 5, 2021, and the remainder of which vest in equal annual installments until February 5, 2024. Read SEC document |
| May 15, 2020 Filed May 18, 2020 16:44 UTC | WOODRUFF H ARTHUR GEC · Entity 149174 | PurchaseCommon Stock | 6,500 | $1.99 | $12,935.00 |
DisclosureSEC source: 0001209191-20-030122 · doc4.xml · nonDerivative · entry 1 Pearson Brent J · CIK 0001755895 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,000 Read SEC document |
| May 15, 2020 Filed May 18, 2020 17:31 UTC | Forest Investments, Inc. GEC · Entity 144097 | PurchaseCommon Stock | 6,500 | $1.99 | $12,935.00 |
DisclosureSEC source: 0001209191-20-030176 · doc4.xml · nonDerivative · entry 1 Pearson Brent J · CIK 0001755895 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,000 Read SEC document |
| July 30, 2019 Filed Jul 31, 2019 17:20 UTC | Forest Investments, Inc. GEC · Entity 144097 | GrantStock Option (Right to Buy) · Derivative | 20,000 | $0.00 Strike: $4.16 | $0.00 |
DisclosureSEC source: 0000899243-19-020685 · doc4.xml · derivative · entry 1 Pearson Brent J · CIK 0001755895 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2029-07-30 F1 · derivative.exercise_date: The Reporting Person was awarded stock options, 4,000 of which vest on July 30, 2020, and the remainder of which vest in equal quarterly installments until July 30, 2024. Read SEC document |
| May 14, 2019 Filed May 15, 2019 16:09 UTC | Forest Investments, Inc. GEC · Entity 144097 | GrantStock Option (Right to Buy) · Derivative | 20,000 | $0.00 Strike: $4.12 | $0.00 |
DisclosureSEC source: 0000899243-19-013551 · doc4.xml · derivative · entry 1 Pearson Brent J · CIK 0001755895 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2029-05-24 F1 · derivative.exercise_date: The Reporting Person was awarded stock options, 4,000 of which vest on May 14, 2020, and the remainder of which vest in equal quarterly installments until May 14, 2024. Read SEC document |
| February 13, 2019 Filed Feb 15, 2019 17:27 UTC | Forest Investments, Inc. GEC · Entity 144097 | PurchaseCommon Stock | 2,500 | $3.44 | $8,600.00 |
DisclosureSEC source: 0000899243-19-003856 · doc4.xml · nonDerivative · entry 1 Pearson Brent J · CIK 0001755895 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,500 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.37 to $3.48, inclusive. The reporting person undertakes to provide to Great Elm Capital Group, Inc. ("GEC"), any security holder of GEC, 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 herein. Read SEC document |
| November 07, 2018 Filed Nov 9, 2018 21:42 UTC | Forest Investments, Inc. GEC · Entity 144097 | GrantStock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $3.43 | $0.00 |
DisclosureSEC source: 0000899243-18-028645 · doc4.xml · derivative · entry 1 Pearson Brent J · CIK 0001755895 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2023-11-07 F1 · derivative.exercise_date: The Reporting Person was awarded stock options, 8,000 of which vest on November 7, 2019, and the remainder of which vest in equal quarterly installments until November 7, 2023. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.