Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Forest Investments, Inc.GEC · Entity 144097 | Director | September 30, 2020 | October 15, 2020 |
| Great Elm Group, Inc.GEG · Entity 7060 | Director | May 09, 2022 | May 13, 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 September 30, 2020 · Filed October 15, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 97,320 |
Reported balance
After 2020-09-30 transaction · row 1
1 source rowRow 1 · 2020-09-30 · Grant · Acquired 7,944 · Balance 97,320 |
Great Elm Group, Inc.
Report date May 09, 2022 · Filed May 13, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 248,603 |
Ending reported balance
After 2022-05-10 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2022-05-09 · Purchase · Acquired 2,206 · Balance 243,603 F1: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.63 to $1.65, inclusive. The Reporting Person undertakes to provide to Great Elm Group, Inc. ("GEG"), any security holder of GEG, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased in each transaction at each separate price within the ranges set forth herein. Row 2 · 2022-05-10 · Purchase · Acquired 5,000 · Balance 248,603 |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.63 to $1.65, inclusive. The Reporting Person undertakes to provide to Great Elm Group, Inc. ("GEG"), any security holder of GEG, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased in each transaction at each separate price within the ranges set forth herein.
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 |
|---|---|---|---|---|---|---|
| May 10, 2022 Filed May 13, 2022 00:55 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 5,000 | $1.72 | $8,600.00 |
DisclosureSEC source: 0001140361-22-018914 · form4.xml · nonDerivative · entry 2 Harbin Thomas S · CIK 0001719963 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 248,603 Read SEC document |
| May 09, 2022 Filed May 13, 2022 00:55 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 2,206 | $1.63 | $3,595.78 |
DisclosureSEC source: 0001140361-22-018914 · form4.xml · nonDerivative · entry 1 Harbin Thomas S · CIK 0001719963 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 243,603 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.63 to $1.65, inclusive. The Reporting Person undertakes to provide to Great Elm Group, Inc. ("GEG"), any security holder of GEG, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased in each transaction at each separate price within the ranges set forth herein. Read SEC document |
| January 03, 2022 Filed Jan 5, 2022 21:42 UTC | Great Elm Group, Inc. GEG · Entity 7060 | GrantCommon Stock | 36,408 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-22-000683 · form4.xml · nonDerivative · entry 2 Harbin Thomas S · CIK 0001719963 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 241,397 F2 · ownership.direct: The Reporting Person was awarded 36,408 shares of restricted stock, which vest in equal quarterly installments on the end of each quarter beginning on March 31, 2022 through December 31, 2022, contingent upon continued service as a member of the board of directors of GEG. Read SEC document |
| January 03, 2022 Filed Jan 5, 2022 21:42 UTC | Great Elm Group, Inc. GEG · Entity 7060 | GrantCommon Stock | 31,553 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-22-000683 · form4.xml · nonDerivative · entry 1 Harbin Thomas S · CIK 0001719963 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 204,989 F1 · ownership.direct: The Reporting Person was awarded 31,553 shares of restricted stock, which vest in equal monthly installments on the end of each month beginning on January 31, 2022 through December 31, 2022, contingent upon continued service as a member of the board of directors of Great Elm Group, Inc. ("GEG"). Read SEC document |
| July 01, 2021 Filed Jul 2, 2021 21:05 UTC | Great Elm Group, Inc. GEG · Entity 7060 | GrantCommon Stock | 15,823 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-21-023376 · form4.xml · nonDerivative · entry 2 Harbin Thomas S · CIK 0001719963 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 173,436 F2 · ownership.direct: The Reporting Person was awarded 15,823 RSUs, 50% of which vest on September 30, 2021, and the remainder of which vest on December 31, 2021, contingent upon continued service as a member of the board of directors of Great Elm Group, Inc. Read SEC document |
| June 30, 2021 Filed Jul 2, 2021 21:05 UTC | Great Elm Group, Inc. GEG · Entity 7060 | GrantCommon Stock | 8,333 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-21-023376 · form4.xml · nonDerivative · entry 1 Harbin Thomas S · CIK 0001719963 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 157,613 F1 · ownership.direct: The Reporting Person was awarded 8,333 restricted stock units ("RSUs") that fully vested on the grant date, June 30, 2021. Read SEC document |
| May 27, 2021 Filed May 28, 2021 20:05 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 10,000 | $2.64 | $26,400.00 |
DisclosureSEC source: 0001140361-21-019241 · form4.xml · nonDerivative · entry 1 Harbin Thomas S · CIK 0001719963 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 149,280 Read SEC document |
| March 31, 2021 Filed Apr 2, 2021 21:24 UTC | Great Elm Group, Inc. GEG · Entity 7060 | GrantCommon Stock | 7,684 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-21-011446 · form4.xml · nonDerivative · entry 1 Harbin Thomas S · CIK 0001719963 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 139,280 F1 · ownership.direct: The Reporting Person was awarded 7,684 restricted stock units that fully vested on the grant date, March 31, 2021. Read SEC document |
| March 19, 2021 Filed Mar 23, 2021 22:57 UTC | Great Elm Group, Inc. GEG · Entity 7060 | GrantCommon Stock | 19,751 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-21-009672 · form4.xml · nonDerivative · entry 2 Harbin Thomas S · CIK 0001719963 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 131,596 F2 · ownership.direct: The Reporting Person was awarded 19,751 restricted stock units, one-tenth of which vested on March 19, 2021, and the remainder of which vest in equal monthly installments on the first of each month beginning April 1, 2021 through December 1, 2021, contingent upon continued service as a member of the board of directors of Great Elm Group, Inc. Read SEC document |
| March 19, 2021 Filed Mar 23, 2021 22:57 UTC | Great Elm Group, Inc. GEG · Entity 7060 | GrantCommon Stock | 7,706 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-21-009672 · form4.xml · nonDerivative · entry 1 Harbin Thomas S · CIK 0001719963 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 111,845 F1 · ownership.direct: The Reporting Person was awarded 7,706 restricted stock units that fully vested on March 19, 2021. Read SEC document |
| January 05, 2021 Filed Jan 6, 2021 21:31 UTC | Great Elm Group, Inc. GEG · Entity 7060 | GrantCommon Stock | 6,819 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-21-000344 · form4.xml · nonDerivative · entry 1 Harbin Thomas S · CIK 0001719963 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 104,139 F1 · ownership.direct: Thomas Harbin was awarded 6,819 restricted shares that fully vested on the grant date, January 5, 2021. Read SEC document |
| September 30, 2020 Filed Oct 15, 2020 16:13 UTC | Forest Investments, Inc. GEC · Entity 144097 | GrantCommon Stock | 7,944 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-20-028307 · doc4.xml · nonDerivative · entry 1 Harbin Thomas S · CIK 0001719963 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,320 Read SEC document |
| June 30, 2020 Filed Jul 2, 2020 16:44 UTC | Forest Investments, Inc. GEC · Entity 144097 | GrantCommon Stock | 8,047 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-20-018313 · doc4.xml · nonDerivative · entry 1 Harbin Thomas S · CIK 0001719963 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,376 F1 · shares: The Reporting Person was awarded restricted shares that fully vested on June 30, 2020 in connection with the Reporting Person's service as a member of the board of directors of Great Elm Capital Group, Inc. Read SEC document |
| May 26, 2020 Filed May 26, 2020 16:39 UTC | Forest Investments, Inc. GEC · Entity 144097 | PurchaseCommon Stock | 1,000 | $1.96 | $1,960.00 |
DisclosureSEC source: 0000899243-20-014180 · doc4.xml · nonDerivative · entry 2 Harbin Thomas S · CIK 0001719963 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 81,329 Read SEC document |
| May 22, 2020 Filed May 26, 2020 16:39 UTC | Forest Investments, Inc. GEC · Entity 144097 | PurchaseCommon Stock | 1,000 | $1.96 | $1,960.00 |
DisclosureSEC source: 0000899243-20-014180 · doc4.xml · nonDerivative · entry 1 Harbin Thomas S · CIK 0001719963 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,329 F1 · shares: These shares were purchased in multiple transactions each at a price per share of $1.96. 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 in each transaction at the price set forth herein. Read SEC document |
| May 20, 2020 Filed May 20, 2020 18:18 UTC | Forest Investments, Inc. GEC · Entity 144097 | PurchaseCommon Stock | 100 | $1.89 | $189.00 |
DisclosureSEC source: 0000899243-20-013731 · doc4.xml · nonDerivative · entry 2 Harbin Thomas S · CIK 0001719963 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 79,329 Read SEC document |
| May 18, 2020 Filed May 20, 2020 18:18 UTC | Forest Investments, Inc. GEC · Entity 144097 | PurchaseCommon Stock | 1,000 | $2.00 | $2,000.00 |
DisclosureSEC source: 0000899243-20-013731 · doc4.xml · nonDerivative · entry 1 Harbin Thomas S · CIK 0001719963 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 79,229 F1 · shares: These shares were purchased in multiple transactions each at a price per share of $2.00. 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 in each transaction at the price set forth herein. Read SEC document |
| November 08, 2019 Filed Dec 12, 2019 18:17 UTC | Forest Investments, Inc. GEC · Entity 144097 | GrantCommon Stock | 18,482 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-19-029084 · doc4.xml · nonDerivative · entry 1 Harbin Thomas S · CIK 0001719963 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 78,229 F1 · shares: The Reporting Person was awarded restricted shares that vest commencing November 1, 2019, with one-twelfth vesting each monthly anniversary of such date, contingent upon continued service as a member of the board of directors of Great Elm Capital Group, Inc. Read SEC document |
| November 07, 2018 Filed Nov 9, 2018 21:41 UTC | Forest Investments, Inc. GEC · Entity 144097 | GrantCommon Stock | 19,673 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-028643 · doc4.xml · nonDerivative · entry 2 Harbin Thomas S · CIK 0001719963 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,747 F2 · shares: The Reporting Person was awarded restricted shares that vest commencing November 1, 2018, with one-twelfth vesting each monthly anniversary of such date, contingent upon continued service as a member of the board of directors of Great Elm Capital Group, Inc. Read SEC document |
| November 07, 2018 Filed Nov 9, 2018 21:41 UTC | Forest Investments, Inc. GEC · Entity 144097 | GrantCommon Stock | 862 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-028643 · doc4.xml · nonDerivative · entry 1 Harbin Thomas S · CIK 0001719963 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,074 F1 · shares: The Reporting Person was awarded restricted shares that fully vested on November 7, 2018. Read SEC document |
| July 11, 2018 Filed Aug 21, 2018 19:58 UTC | Forest Investments, Inc. GEC · Entity 144097 | PurchaseCommon Stock | 7,000 | $3.34 | $23,380.00 |
DisclosureSEC source: 0000899243-18-022915 · doc4.xml · nonDerivative · entry 5 Harbin Thomas S · CIK 0001719963 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,212 Read SEC document |
| June 22, 2018 Filed Aug 21, 2018 19:58 UTC | Forest Investments, Inc. GEC · Entity 144097 | PurchaseCommon Stock | 4,000 | $3.69 | $14,760.00 |
DisclosureSEC source: 0000899243-18-022915 · doc4.xml · nonDerivative · entry 4 Harbin Thomas S · CIK 0001719963 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,212 Read SEC document |
| January 08, 2018 Filed Aug 21, 2018 19:58 UTC | Forest Investments, Inc. GEC · Entity 144097 | PurchaseCommon Stock | 2,000 | $3.74 | $7,480.00 |
DisclosureSEC source: 0000899243-18-022915 · doc4.xml · nonDerivative · entry 3 Harbin Thomas S · CIK 0001719963 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,212 Read SEC document |
| December 15, 2017 Filed Aug 21, 2018 19:58 UTC | Forest Investments, Inc. GEC · Entity 144097 | PurchaseCommon Stock | 1,281 | $4.15 | $5,316.15 |
DisclosureSEC source: 0000899243-18-022915 · doc4.xml · nonDerivative · entry 2 Harbin Thomas S · CIK 0001719963 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,212 Read SEC document |
| November 13, 2017 Filed Aug 21, 2018 19:58 UTC | Forest Investments, Inc. GEC · Entity 144097 | PurchaseCommon Stock | 7,000 | $3.60 | $25,200.00 |
DisclosureSEC source: 0000899243-18-022915 · doc4.xml · nonDerivative · entry 1 Harbin Thomas S · CIK 0001719963 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,931 Read SEC document |
| October 17, 2017 Filed Dec 5, 2017 18:34 UTC | Forest Investments, Inc. GEC · Entity 144097 | GrantCommon Stock | 17,931 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-027968 · doc4.xml · nonDerivative · entry 1 Harbin Thomas S · CIK 0001719963 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,931 F1 · kind: The Reporting Person was awarded restricted stock units that vest commencing on October 17, 2017, with one twelfth vesting each monthly anniversary of such date, contingent upon continued service as a member of the board of directors of the Issuer. 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.