Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Forest Investments, Inc.GEC · Entity 144097 | Director · Chief Executive Officer | August 06, 2019 | August 07, 2019 |
| Great Elm Capital Corp.GECC · Entity 6877 | Director · President and CEO | September 24, 2021 | September 28, 2021 |
| Great Elm Group, Inc.GEG · Entity 7060 | Chief Executive Officer | September 16, 2022 | September 21, 2022 |
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 August 06, 2019 · Filed August 07, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 784,270 |
Reported balance
After 2019-08-06 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2019-08-06 · Grant · Acquired 25,381 · Balance 784,270 F1: Includes 246,304 shares of unvested restricted stock. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.52 · Expires 2024-08-06 | Direct | 57,143 |
Reported balance
After 2019-08-06 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2019-08-06 · Grant · Acquired 57,143 · Balance 57,143 F2: The Reporting Person was awarded stock options, 14,286 of which vest on August 6, 2020, and the remainder of which vests in equal monthly installments thereafter until August 6, 2023. |
Filing footnotes · ownership attribution and instrument terms
F1: Includes 246,304 shares of unvested restricted stock.
F2: The Reporting Person was awarded stock options, 14,286 of which vest on August 6, 2020, and the remainder of which vests in equal monthly installments thereafter until August 6, 2023.
Great Elm Capital Corp.
Report date September 24, 2021 · Filed September 28, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 351,636 |
Reported balance
After 2021-09-24 transaction · row 1
1 source rowRow 1 · 2021-09-24 · Other · Acquired 87,132 · Balance 351,636 F1: Peter A. Reed is the Chief Executive Officer of Great Elm Group, Inc. ("GEG"). Mr. Reed received an award of 87,132 shares of common stock of Great Elm Capital Corp. that were owned by GEG, as compensation for his position at GEG. 21,783 of the shares vested on the grant date, September 24, 2021, and the remainder will vest in equal annual installments on each anniversary of the grant date until September 24, 2024, subject to continued service with GEG. |
Filing footnotes · ownership attribution and instrument terms
F1: Peter A. Reed is the Chief Executive Officer of Great Elm Group, Inc. ("GEG"). Mr. Reed received an award of 87,132 shares of common stock of Great Elm Capital Corp. that were owned by GEG, as compensation for his position at GEG. 21,783 of the shares vested on the grant date, September 24, 2021, and the remainder will vest in equal annual installments on each anniversary of the grant date until September 24, 2024, subject to continued service with GEG.
Great Elm Group, Inc.
Report date September 16, 2022 · Filed September 21, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.60 · Expires 2027-09-18 | Direct | 125,000 |
Reported balance
After 2022-09-16 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2022-09-16 · Grant · Acquired 125,000 · Balance 125,000 F1: On September 16, 2022, Great Elm Group, Inc. ("GEG") amended the award agreement for certain options previously granted to Mr. Reed to extend the term of options to purchase 125,000 shares of GEG's common stock until September 18, 2027. |
Filing footnotes · ownership attribution and instrument terms
F1: On September 16, 2022, Great Elm Group, Inc. ("GEG") amended the award agreement for certain options previously granted to Mr. Reed to extend the term of options to purchase 125,000 shares of GEG's common stock until September 18, 2027.
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 |
|---|---|---|---|---|---|---|
| November 21, 2017 Filed Nov 22, 2017 16:07 UTC | Forest Investments, Inc. GEC · Entity 144097 | PurchaseCommon Stock | 8,685 | $3.75 | $32,568.75 |
DisclosureSEC source: 0000899243-17-027285 · doc4.xml · nonDerivative · entry 2 Reed Peter A · CIK 0001643733 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 572,525 F1 · balance_after: Includes 220,923 shares of unvested restricted stock. Read SEC document |
| November 20, 2017 Filed Nov 22, 2017 16:07 UTC | Forest Investments, Inc. GEC · Entity 144097 | PurchaseCommon Stock | 151,643 | $3.75 | $568,661.25 |
DisclosureSEC source: 0000899243-17-027285 · doc4.xml · nonDerivative · entry 1 Reed Peter A · CIK 0001643733 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 563,840 F1 · balance_after: Includes 220,923 shares of unvested restricted stock. Read SEC document |
| November 17, 2017 Filed Nov 21, 2017 21:07 UTC | Great Elm Capital Corp. GECC · Entity 6877 | PurchaseCommon Stock | 3,807 | $9.85 | $37,498.95 |
DisclosureSEC source: 0000899243-17-027158 · doc4.xml · nonDerivative · entry 1 Reed Peter A · CIK 0001643733 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,807 Read SEC document |
| November 14, 2017 Filed Nov 15, 2017 16:49 UTC | Forest Investments, Inc. GEC · Entity 144097 | PurchaseCommon Stock | 10,900 | $3.65 | $39,785.00 |
DisclosureSEC source: 0000899243-17-026361 · doc4.xml · nonDerivative · entry 2 Reed Peter A · CIK 0001643733 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 412,197 F1 · balance_after: Includes 220,923 shares of unvested restricted stock. Read SEC document |
| November 13, 2017 Filed Nov 15, 2017 16:49 UTC | Forest Investments, Inc. GEC · Entity 144097 | PurchaseCommon Stock | 37,457 | $3.65 | $136,718.05 |
DisclosureSEC source: 0000899243-17-026361 · doc4.xml · nonDerivative · entry 1 Reed Peter A · CIK 0001643733 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 401,297 F1 · balance_after: Includes 220,923 shares of unvested restricted stock. Read SEC document |
| November 10, 2017 Filed Nov 13, 2017 16:33 UTC | Forest Investments, Inc. GEC · Entity 144097 | PurchaseCommon Stock | 56,660 | $3.65 | $206,809.00 |
DisclosureSEC source: 0000899243-17-026043 · doc4.xml · nonDerivative · entry 2 Reed Peter A · CIK 0001643733 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 455,507 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.64 to $3.65, inclusive. The reporting person undertakes to provide to Great Elm Capital Group, Inc., any security holder of Great Elm Capital Group, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (2) on this Form 4. F1 · balance_after: Includes 220,923 shares of unvested restricted stock. Read SEC document |
| November 09, 2017 Filed Nov 13, 2017 16:33 UTC | Forest Investments, Inc. GEC · Entity 144097 | PurchaseCommon Stock | 13,340 | $3.60 | $48,024.00 |
DisclosureSEC source: 0000899243-17-026043 · doc4.xml · nonDerivative · entry 1 Reed Peter A · CIK 0001643733 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 398,847 F1 · balance_after: Includes 220,923 shares of unvested restricted stock. Read SEC document |
| September 18, 2017 Filed Sep 20, 2017 16:53 UTC | Forest Investments, Inc. GEC · Entity 144097 | GrantOption (right to buy) · Derivative | 461,165 | $0.00 Strike: $3.60 | $0.00 |
DisclosureSEC source: 0000899243-17-022346 · doc4.xml · derivative · entry 2 Reed Peter A · CIK 0001643733 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 461,165 Underlying: Common Stock · 461,165 shares Expires 2022-09-18 F2 · derivative.exercise_date: The Reporting Person was awarded stock options that vest commencing on March 18, 2018 and vest in full on September 18, 2018, contingent upon his continued service. Read SEC document |
| September 18, 2017 Filed Sep 20, 2017 16:53 UTC | Forest Investments, Inc. GEC · Entity 144097 | GrantOption (right to buy) · Derivative | 213,000 | $0.00 Strike: $3.60 | $0.00 |
DisclosureSEC source: 0000899243-17-022346 · doc4.xml · derivative · entry 1 Reed Peter A · CIK 0001643733 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 213,000 Underlying: Common Stock · 213,000 shares Expires 2027-09-18 F1 · derivative.exercise_date: The Reporting Person was awarded stock options that vest commencing on September 18, 2018 and vest in full on September 18, 2022, contingent upon his continued service. Read SEC document |
| December 30, 2016 Filed Jan 4, 2017 06:06 UTC | Forest Investments, Inc. GEC · Entity 144097 | PurchaseCOMMON STOCK | 62,341 | $3.29 | $205,101.89 |
DisclosureSEC source: 0000899243-17-000154 · doc4.xml · nonDerivative · entry 1 Reed Peter A · CIK 0001643733 · Director · CIO & PRESIDENT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 383,264 Read SEC document |
| December 30, 2016 Filed May 19, 2017 21:40 UTC Amendment | Forest Investments, Inc. GEC · Entity 144097 | PurchaseCOMMON STOCK | 64,584 | $3.29 | $212,481.36 |
DisclosureSEC source: 0000899243-17-013972 · doc4a.xml · nonDerivative · entry 1 Reed Peter A · CIK 0001643733 · Director · CIO & PRESIDENT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 385,507 F1 · shares: Amended share count represents 2,243 additional shares purchased as a result of a finalized backstop purchase obligation in connection with a rights offering. Read SEC document |
| November 03, 2016 Filed Nov 7, 2016 18:02 UTC | Forest Investments, Inc. GEC · Entity 144097 | GrantCOMMON STOCK | 220,923 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-16-032858 · doc4.xml · nonDerivative · entry 1 Reed Peter A · CIK 0001643733 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 320,923 Read SEC document |
| December 04, 2015 Filed Nov 14, 2017 16:36 UTC Amendment | Forest Investments, Inc. GEC · Entity 144097 | GrantCommon Stock | 8,333 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-026203 · doc4a.xml · nonDerivative · entry 1 Reed Peter A · CIK 0001643733 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,333 F1 · kind: The Reporting Person was awarded restricted stock units that vested in full on December 4, 2016 upon the Reporting Persons continued service as a member of the board of directors of the Issuer. F2 · shares: The Form 4 filed on December 15, 2015 contained a typographical error that inadvertently stated the value of the award as the number of shares awarded resulting in an overstatement in the number of shares that were granted to the Reporting Person. This amendment corrects the error to reflect the number of shares actually granted. As a result of the typographical error the amount of securities beneficially owned was also incorrectly reported in the Form 4 filed November 7, 2016, the Form 4 filed January 4, 2017 (and later amended on May 19, 2017) and the Form 4 filed on November 13, 2017. F2 · balance_after: The Form 4 filed on December 15, 2015 contained a typographical error that inadvertently stated the value of the award as the number of shares awarded resulting in an overstatement in the number of shares that were granted to the Reporting Person. This amendment corrects the error to reflect the number of shares actually granted. As a result of the typographical error the amount of securities beneficially owned was also incorrectly reported in the Form 4 filed November 7, 2016, the Form 4 filed January 4, 2017 (and later amended on May 19, 2017) and the Form 4 filed on November 13, 2017. 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.