organization · Reporting owner
Northern Right Capital Management, L.P.
Disclosed activity across 3 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Forest Investments, Inc.GEC · Entity 144097 | 10% owner · Member of 13D 10% Group | February 26, 2020 | March 02, 2020 |
| Great Elm Capital Corp.GECC · Entity 6877 | 10% owner · Member of 13D 10% Group | June 15, 2022 | June 27, 2022 |
| Great Elm Group, Inc.GEG · Entity 7060 | 10% owner · Member of 13D 10% Group | July 10, 2026 | July 14, 2026 |
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 February 26, 2020 · Filed March 02, 2020
Jointly reported with NRC Partners I, LP, Northern Right Capital (QP), L.P., BC Advisors LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 2,402,792 |
Reported balance
Holding disclosure · report date 2020-02-26 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 2,402,792 F1: Northern Right Capital (QP), L.P. ("Northern Right QP") beneficially owns and has the power to vote or to direct the vote of 1,136,792 shares of common stock of Great Elm Capital Group, Inc. ("GEC"). A managed account (the "Account") on behalf of an investment advisory client of Northern Right Capital Management, L.P. ("Northern Right Management") beneficially owns 1,266,000 shares of common stock of GEC. F5: As general partner and investment manager of NRC Partners and Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by NRC Partners and Northern Right QP. As the investment manager of the Account and the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the securities held by such accounts. As general partner of Northern Right Management, BC Advisors, LLC ("BCA") 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, F6: (continued from footnote 5) 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, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |
| 5.0% Convertible Senior PIK Note due 2030SEC Table II · derivative / convertible security · Conversion / exercise price $3.47 · Expires 2030-02-26 | IndirectSee Footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2020-02-26 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance Not disclosed F2: Represents 5.0% Convertible Senior PIK Notes due 2030 (the "Notes") of GEC purchased by certain investment advisory clients (collectively, the "Managed Accounts") of Northern Right Management. Northern Right Management acts as investment manager for the Managed Accounts. F5: As general partner and investment manager of NRC Partners and Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by NRC Partners and Northern Right QP. As the investment manager of the Account and the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the securities held by such accounts. As general partner of Northern Right Management, BC Advisors, LLC ("BCA") 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, F6: (continued from footnote 5) 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, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |
| 5.0% Convertible Senior PIK Note due 2030SEC Table II · derivative / convertible security · Conversion / exercise price $3.47 · Expires 2030-02-26 | IndirectSee Footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2020-02-26 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance Not disclosed F3: Represents Notes purchased by NRC Partners I, L.P. ("NRC Partners"). F5: As general partner and investment manager of NRC Partners and Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by NRC Partners and Northern Right QP. As the investment manager of the Account and the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the securities held by such accounts. As general partner of Northern Right Management, BC Advisors, LLC ("BCA") 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, F6: (continued from footnote 5) 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, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |
| 5.0% Convertible Senior PIK Note due 2030SEC Table II · derivative / convertible security · Conversion / exercise price $3.47 · Expires 2030-02-26 | IndirectSee Footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2020-02-26 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance Not disclosed F4: Represents Notes purchased by Northern Right QP. F5: As general partner and investment manager of NRC Partners and Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by NRC Partners and Northern Right QP. As the investment manager of the Account and the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the securities held by such accounts. As general partner of Northern Right Management, BC Advisors, LLC ("BCA") 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, F6: (continued from footnote 5) 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, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: Northern Right Capital (QP), L.P. ("Northern Right QP") beneficially owns and has the power to vote or to direct the vote of 1,136,792 shares of common stock of Great Elm Capital Group, Inc. ("GEC"). A managed account (the "Account") on behalf of an investment advisory client of Northern Right Capital Management, L.P. ("Northern Right Management") beneficially owns 1,266,000 shares of common stock of GEC.
F2: Represents 5.0% Convertible Senior PIK Notes due 2030 (the "Notes") of GEC purchased by certain investment advisory clients (collectively, the "Managed Accounts") of Northern Right Management. Northern Right Management acts as investment manager for the Managed Accounts.
F3: Represents Notes purchased by NRC Partners I, L.P. ("NRC Partners").
F4: Represents Notes purchased by Northern Right QP.
F5: As general partner and investment manager of NRC Partners and Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by NRC Partners and Northern Right QP. As the investment manager of the Account and the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the securities held by such accounts. As general partner of Northern Right Management, BC Advisors, LLC ("BCA") 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,
F6: (continued from footnote 5) 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, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
Great Elm Capital Corp.
Report date June 15, 2022 · Filed June 27, 2022
Jointly reported with NRC Partners I, LP, Northern Right Capital (QP), L.P., BC Advisors LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 369,140 |
Reported balance
Holding disclosure · report date 2022-06-15 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 369,140 F1: Represents shares of common stock purchased by certain investment advisory clients (collectively, the "Managed Accounts") of Northern Right Capital Management, L.P. ("Northern Right Management"). Northern Right Management acts as investment manager for the Managed Accounts. F4: As general partner and investment manager of NRC Partners I and Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by NRC Partners I and 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 the Managed Accounts. As 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. F5: (continued from footnote 4) 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, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 208,932 |
Reported balance
Holding disclosure · report date 2022-06-15 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 208,932 F2: Represents shares of common stock purchased by NRC Partners I, LP ("NRC Partners I"). F4: As general partner and investment manager of NRC Partners I and Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by NRC Partners I and 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 the Managed Accounts. As 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. F5: (continued from footnote 4) 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, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 220,399 |
Reported balance
Holding disclosure · report date 2022-06-15 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 220,399 F3: Represents shares of common stock purchased by Northern Right Capital (QP), L.P. ("Northern Right QP"). F4: As general partner and investment manager of NRC Partners I and Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by NRC Partners I and 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 the Managed Accounts. As 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. F5: (continued from footnote 4) 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, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares of common stock purchased by certain investment advisory clients (collectively, the "Managed Accounts") of Northern Right Capital Management, L.P. ("Northern Right Management"). Northern Right Management acts as investment manager for the Managed Accounts.
F2: Represents shares of common stock purchased by NRC Partners I, LP ("NRC Partners I").
F3: Represents shares of common stock purchased by Northern Right Capital (QP), L.P. ("Northern Right QP").
F4: As general partner and investment manager of NRC Partners I and Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by NRC Partners I and 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 the Managed Accounts. As 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.
F5: (continued from footnote 4) 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, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
Great Elm Group, Inc.
Report date July 10, 2026 · Filed July 14, 2026
Jointly reported with Northern Right Capital (QP), L.P., Northern Right Long Only Master Fund LP, Northern Right Fund GP LLC, BC Advisors LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 4,243,168 |
Reported balance
After 2026-07-10 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2026-07-10 · Other · Disposed 7,887 · Balance 4,243,168 F1: Represents a rebalancing transaction by Northern Right Management (as defined herein) whereby Northern Right Capital (QP), L.P. ("Northern Right QP") transferred 7,887 shares of the Issuer's common stock, par value $0.001 per share ("Common Stock"), to Northern Right Long Only Master Fund LP ("NRC LO"). F2: Northern Right QP beneficially owns and has the power to vote or to direct the vote of 1,654,444 shares of Common Stock. NRC LO beneficially owns and has the power to vote or to direct the vote of 625,034 shares of Common Stock. Managed accounts (the "Managed Accounts"), on behalf of certain investment advisory clients of Northern Right Capital Management, L.P. ("Northern Right Management"), beneficially own 1,963,690 shares of Common Stock. F3: 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 general partner of NRC LO, Northern Right Fund GP LLC ("NRC Fund GP") may be deemed to be the beneficial owner of the securities held by NRC LO. As investment manager of NRC LO, Northern Right Management may be deemed to be the beneficial owner of the securities held by NRC LO. 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. F4: 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, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 4,243,168 |
Reported balance
After 2026-07-10 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2026-07-10 · Other · Acquired 7,887 · Balance 4,243,168 F1: Represents a rebalancing transaction by Northern Right Management (as defined herein) whereby Northern Right Capital (QP), L.P. ("Northern Right QP") transferred 7,887 shares of the Issuer's common stock, par value $0.001 per share ("Common Stock"), to Northern Right Long Only Master Fund LP ("NRC LO"). F2: Northern Right QP beneficially owns and has the power to vote or to direct the vote of 1,654,444 shares of Common Stock. NRC LO beneficially owns and has the power to vote or to direct the vote of 625,034 shares of Common Stock. Managed accounts (the "Managed Accounts"), on behalf of certain investment advisory clients of Northern Right Capital Management, L.P. ("Northern Right Management"), beneficially own 1,963,690 shares of Common Stock. F3: 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 general partner of NRC LO, Northern Right Fund GP LLC ("NRC Fund GP") may be deemed to be the beneficial owner of the securities held by NRC LO. As investment manager of NRC LO, Northern Right Management may be deemed to be the beneficial owner of the securities held by NRC LO. 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. F4: 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, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |
| 5.0% Convertible Senior PIK Note due 2030SEC Table II · derivative / convertible security · Conversion / exercise price $3.47 · Expires 2030-02-26 | IndirectSee Footnote | Not disclosed |
Reported balance
After 2026-07-10 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2026-07-10 · Other · Disposed Not disclosed · Balance Not disclosed F5: Represents a rebalancing transaction by Northern Right Management whereby Northern Right QP transferred an aggregate principal amount of $13,087 of 5.0% Convertible Senior PIK Notes due 2030 (the "Notes") constituting a conversionary interest, subject to adjustment as provided in the Notes, in 13,087 shares of Common Stock to NRC LO. F6: On July 10, 2026, Northern Right QP, NRC LO, and Matthew A. Drapkin entered into a letter agreement (the "Forbearance Agreement") with the Issuer, pursuant to which Northern Right QP, NRC LO, and Matt A. Drapkin, irrevocably agreed to forbear from exercising its rights to convert the Notes (and any additional Notes issued pursuant to the Notes) into Common Stock until July 15, 2027. F2: Northern Right QP beneficially owns and has the power to vote or to direct the vote of 1,654,444 shares of Common Stock. NRC LO beneficially owns and has the power to vote or to direct the vote of 625,034 shares of Common Stock. Managed accounts (the "Managed Accounts"), on behalf of certain investment advisory clients of Northern Right Capital Management, L.P. ("Northern Right Management"), beneficially own 1,963,690 shares of Common Stock. F3: 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 general partner of NRC LO, Northern Right Fund GP LLC ("NRC Fund GP") may be deemed to be the beneficial owner of the securities held by NRC LO. As investment manager of NRC LO, Northern Right Management may be deemed to be the beneficial owner of the securities held by NRC LO. 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. F4: 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, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |
| 5.0% Convertible Senior PIK Note due 2030SEC Table II · derivative / convertible security · Conversion / exercise price $3.47 · Expires 2030-02-26 | IndirectSee Footnote | Not disclosed |
Reported balance
After 2026-07-10 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2026-07-10 · Other · Acquired Not disclosed · Balance Not disclosed F5: Represents a rebalancing transaction by Northern Right Management whereby Northern Right QP transferred an aggregate principal amount of $13,087 of 5.0% Convertible Senior PIK Notes due 2030 (the "Notes") constituting a conversionary interest, subject to adjustment as provided in the Notes, in 13,087 shares of Common Stock to NRC LO. F6: On July 10, 2026, Northern Right QP, NRC LO, and Matthew A. Drapkin entered into a letter agreement (the "Forbearance Agreement") with the Issuer, pursuant to which Northern Right QP, NRC LO, and Matt A. Drapkin, irrevocably agreed to forbear from exercising its rights to convert the Notes (and any additional Notes issued pursuant to the Notes) into Common Stock until July 15, 2027. F2: Northern Right QP beneficially owns and has the power to vote or to direct the vote of 1,654,444 shares of Common Stock. NRC LO beneficially owns and has the power to vote or to direct the vote of 625,034 shares of Common Stock. Managed accounts (the "Managed Accounts"), on behalf of certain investment advisory clients of Northern Right Capital Management, L.P. ("Northern Right Management"), beneficially own 1,963,690 shares of Common Stock. F3: 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 general partner of NRC LO, Northern Right Fund GP LLC ("NRC Fund GP") may be deemed to be the beneficial owner of the securities held by NRC LO. As investment manager of NRC LO, Northern Right Management may be deemed to be the beneficial owner of the securities held by NRC LO. 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. F4: 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, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents a rebalancing transaction by Northern Right Management (as defined herein) whereby Northern Right Capital (QP), L.P. ("Northern Right QP") transferred 7,887 shares of the Issuer's common stock, par value $0.001 per share ("Common Stock"), to Northern Right Long Only Master Fund LP ("NRC LO").
F2: Northern Right QP beneficially owns and has the power to vote or to direct the vote of 1,654,444 shares of Common Stock. NRC LO beneficially owns and has the power to vote or to direct the vote of 625,034 shares of Common Stock. Managed accounts (the "Managed Accounts"), on behalf of certain investment advisory clients of Northern Right Capital Management, L.P. ("Northern Right Management"), beneficially own 1,963,690 shares of Common Stock.
F3: 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 general partner of NRC LO, Northern Right Fund GP LLC ("NRC Fund GP") may be deemed to be the beneficial owner of the securities held by NRC LO. As investment manager of NRC LO, Northern Right Management may be deemed to be the beneficial owner of the securities held by NRC LO. 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.
F4: 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, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
F5: Represents a rebalancing transaction by Northern Right Management whereby Northern Right QP transferred an aggregate principal amount of $13,087 of 5.0% Convertible Senior PIK Notes due 2030 (the "Notes") constituting a conversionary interest, subject to adjustment as provided in the Notes, in 13,087 shares of Common Stock to NRC LO.
F6: On July 10, 2026, Northern Right QP, NRC LO, and Matthew A. Drapkin entered into a letter agreement (the "Forbearance Agreement") with the Issuer, pursuant to which Northern Right QP, NRC LO, and Matt A. Drapkin, irrevocably agreed to forbear from exercising its rights to convert the Notes (and any additional Notes issued pursuant to the Notes) into Common Stock until July 15, 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 |
|---|---|---|---|---|---|---|
| September 21, 2022 Filed Sep 23, 2022 23:32 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 6,088 | $2.05 | $12,480.40 |
DisclosureSEC source: 0000899243-22-031949 · doc4.xml · nonDerivative · entry 1 Northern Right Capital Management, L.P. · CIK 0001346543 · 10% owner · Member of 13D 10% Group NRC Partners I, LP · CIK 0001763594 · 10% owner 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: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,361,596 F1 · shares: Represents 1,988 shares of common stock of Great Elm Group, Inc. ("GEG") purchased by Northern Right Capital (QP), L.P. ("Northern Right QP"), 647 shares of common stock of GEG purchased by NRC Partners I, LP ("NRC Partners I") and 3,453 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. F2 · shares: Represents shares of common stock acquired in a transaction pursuant to the Rule 10b5-1 trading plan entered into by the Reporting Persons on June 16, 2022. F4 · ownership.nature: Northern Right QP beneficially owns and has the power to vote or to direct the vote of 1,504,411 shares of common stock of GEG. NRC Partners I beneficially owns and has the power to vote or to direct the vote of 120,548 shares of common stock of GEG. The Managed Accounts, on behalf of certain investment advisory clients of Northern Right Management, beneficially own 1,744,012 shares of common stock of GEG. F5 · ownership.nature: As general partner and investment manager of NRC Partners I and Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by NRC Partners I and 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. F6 · ownership.nature: (Continued from footnote 5) 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, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| September 12, 2022 Filed Sep 13, 2022 01:00 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 6,365 | $2.05 | $13,048.25 |
DisclosureSEC source: 0000899243-22-030852 · doc4.xml · nonDerivative · entry 3 Northern Right Capital Management, L.P. · CIK 0001346543 · 10% owner · Member of 13D 10% Group NRC Partners I, LP · CIK 0001763594 · 10% owner 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: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,355,508 F2 · shares: Represents shares of common stock acquired in a transaction pursuant to the Rule 10b5-1 trading plan entered into by the Reporting Persons on June 16, 2022. F4 · shares: Represents 2,050 shares of common stock of GEG purchased by Northern Right QP, 685 shares of common stock of GEG purchased by NRC Partners I and 3,630 shares of common stock of GEG purchased by the Managed Accounts on behalf of investment advisory clients of Northern Right Management. Northern Right Management acts as the investment manager for the Managed Accounts. F5 · ownership.nature: Northern Right QP beneficially owns and has the power to vote or to direct the vote of 1,499,995 shares of common stock of GEG. NRC Partners I beneficially owns and has the power to vote or to direct the vote of 119,123 shares of common stock of GEG. The Managed Accounts, on behalf of certain investment advisory clients of Northern Right Management, beneficially own 1,736,390 shares of common stock of GEG. F6 · ownership.nature: As general partner and investment manager of NRC Partners I and Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by NRC Partners I and 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. F7 · ownership.nature: (Continued from Footnote 6): 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, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| September 09, 2022 Filed Sep 13, 2022 01:00 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 8,153 | $2.05 | $16,713.65 |
DisclosureSEC source: 0000899243-22-030852 · doc4.xml · nonDerivative · entry 2 Northern Right Capital Management, L.P. · CIK 0001346543 · 10% owner · Member of 13D 10% Group NRC Partners I, LP · CIK 0001763594 · 10% owner 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: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,349,143 F2 · shares: Represents shares of common stock acquired in a transaction pursuant to the Rule 10b5-1 trading plan entered into by the Reporting Persons on June 16, 2022. F3 · shares: Represents 2,631 shares of common stock of GEG purchased by Northern Right QP, 875 shares of common stock of GEG purchased by NRC Partners I and 4,647 shares of common stock of GEG purchased by the Managed Accounts on behalf of investment advisory clients of Northern Right Management. Northern Right Management acts as the investment manager for the Managed Accounts. F5 · ownership.nature: Northern Right QP beneficially owns and has the power to vote or to direct the vote of 1,499,995 shares of common stock of GEG. NRC Partners I beneficially owns and has the power to vote or to direct the vote of 119,123 shares of common stock of GEG. The Managed Accounts, on behalf of certain investment advisory clients of Northern Right Management, beneficially own 1,736,390 shares of common stock of GEG. F6 · ownership.nature: As general partner and investment manager of NRC Partners I and Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by NRC Partners I and 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. F7 · ownership.nature: (Continued from Footnote 6): 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, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| September 08, 2022 Filed Sep 13, 2022 01:00 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 4,361 | $2.05 | $8,937.87 |
DisclosureSEC source: 0000899243-22-030852 · doc4.xml · nonDerivative · entry 1 Northern Right Capital Management, L.P. · CIK 0001346543 · 10% owner · Member of 13D 10% Group NRC Partners I, LP · CIK 0001763594 · 10% owner 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: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,340,990 F1 · shares: Represents 1,412 shares of common stock of Great Elm Group, Inc. ("GEG") purchased by Northern Right Capital (QP), L.P. ("Northern Right QP"), 466 shares of common stock of GEG purchased by NRC Partners I, LP ("NRC Partners I") and 2,483 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. F2 · shares: Represents shares of common stock acquired in a transaction pursuant to the Rule 10b5-1 trading plan entered into by the Reporting Persons on June 16, 2022. F5 · ownership.nature: Northern Right QP beneficially owns and has the power to vote or to direct the vote of 1,499,995 shares of common stock of GEG. NRC Partners I beneficially owns and has the power to vote or to direct the vote of 119,123 shares of common stock of GEG. The Managed Accounts, on behalf of certain investment advisory clients of Northern Right Management, beneficially own 1,736,390 shares of common stock of GEG. F6 · ownership.nature: As general partner and investment manager of NRC Partners I and Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by NRC Partners I and 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. F7 · ownership.nature: (Continued from Footnote 6): 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, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| September 06, 2022 Filed Sep 7, 2022 00:38 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 1,247 | $2.05 | $2,556.35 |
DisclosureSEC source: 0000899243-22-030507 · doc4.xml · nonDerivative · entry 2 Northern Right Capital Management, L.P. · CIK 0001346543 · 10% owner · Member of 13D 10% Group NRC Partners I, LP · CIK 0001763594 · 10% owner 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: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,336,629 F2 · shares: Represents shares of common stock acquired in a transaction pursuant to the Rule 10b5-1 trading plan entered into by the Reporting Persons on June 16, 2022. F3 · shares: Represents 405 shares of common stock of GEG purchased by Northern Right QP, 133 shares of common stock of GEG purchased by NRC Partners I and 709 shares of common stock of GEG purchased by the Managed Accounts on behalf of investment advisory clients of Northern Right Management. Northern Right Management acts as the investment manager for the Managed Accounts. F4 · ownership.nature: Northern Right QP beneficially owns and has the power to vote or to direct the vote of 1,493,902 shares of common stock of GEG. NRC Partners I beneficially owns and has the power to vote or to direct the vote of 117,097 shares of common stock of GEG. The Managed Accounts, on behalf of certain investment advisory clients of Northern Right Management, beneficially own 1,725,630 shares of common stock of GEG. F5 · ownership.nature: As general partner and investment manager of NRC Partners I and Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by NRC Partners I and 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. F6 · ownership.nature: (Continued from Footnote 5) 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, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| September 01, 2022 Filed Sep 7, 2022 00:38 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 2,422 | $2.05 | $4,962.68 |
DisclosureSEC source: 0000899243-22-030507 · doc4.xml · nonDerivative · entry 1 Northern Right Capital Management, L.P. · CIK 0001346543 · 10% owner · Member of 13D 10% Group NRC Partners I, LP · CIK 0001763594 · 10% owner 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: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,335,382 F1 · shares: Represents 785 shares of common stock of Great Elm Group, Inc. ("GEG") purchased by Northern Right Capital (QP), L.P. ("Northern Right QP"), 260 shares of common stock of GEG purchased by NRC Partners I, LP ("NRC Partners I") and 1,377 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. F2 · shares: Represents shares of common stock acquired in a transaction pursuant to the Rule 10b5-1 trading plan entered into by the Reporting Persons on June 16, 2022. F4 · ownership.nature: Northern Right QP beneficially owns and has the power to vote or to direct the vote of 1,493,902 shares of common stock of GEG. NRC Partners I beneficially owns and has the power to vote or to direct the vote of 117,097 shares of common stock of GEG. The Managed Accounts, on behalf of certain investment advisory clients of Northern Right Management, beneficially own 1,725,630 shares of common stock of GEG. F5 · ownership.nature: As general partner and investment manager of NRC Partners I and Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by NRC Partners I and 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. F6 · ownership.nature: (Continued from Footnote 5) 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, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| August 17, 2022 Filed Aug 18, 2022 01:37 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 2,027 | $2.05 | $4,155.35 |
DisclosureSEC source: 0000899243-22-029104 · doc4.xml · nonDerivative · entry 3 Northern Right Capital Management, L.P. · CIK 0001346543 · 10% owner · Member of 13D 10% Group NRC Partners I, LP · CIK 0001763594 · 10% owner 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: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,332,960 F2 · shares: Represents shares of common stock acquired in a transaction pursuant to the Rule 10b5-1 trading plan entered into by the Reporting Persons on June 16, 2022. F4 · shares: Represents 660 shares of common stock of GEG purchased by Northern Right QP, 218 shares of common stock of GEG purchased by NRC Partners I and 1,149 shares of common stock of GEG purchased by the Managed Accounts on behalf of investment advisory clients of Northern Right Management. Northern Right Management acts as the investment manager for the Managed Accounts. F5 · ownership.nature: Northern Right QP beneficially owns and has the power to vote or to direct the vote of 1,492,712 shares of common stock of GEG. NRC Partners I beneficially owns and has the power to vote or to direct the vote of 116,704 shares of common stock of GEG. The Managed Accounts, on behalf of certain investment advisory clients of Northern Right Management, beneficially own 1,723,544 shares of common stock of GEG. F6 · ownership.nature: As general partner and investment manager of NRC Partners I and Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by NRC Partners I and 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. F7 · ownership.nature: (continued from footnote 6) 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, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| August 16, 2022 Filed Aug 18, 2022 01:37 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 15,877 | $2.02 | $32,116.00 |
DisclosureSEC source: 0000899243-22-029104 · doc4.xml · nonDerivative · entry 2 Northern Right Capital Management, L.P. · CIK 0001346543 · 10% owner · Member of 13D 10% Group NRC Partners I, LP · CIK 0001763594 · 10% owner 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: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,330,933 F2 · shares: Represents shares of common stock acquired in a transaction pursuant to the Rule 10b5-1 trading plan entered into by the Reporting Persons on June 16, 2022. F3 · shares: Represents 5,151 shares of common stock of GEG purchased by Northern Right QP, 1,710 shares of common stock of GEG purchased by NRC Partners I and 9,016 shares of common stock of GEG purchased by the Managed Accounts on behalf of investment advisory clients of Northern Right Management. Northern Right Management acts as the investment manager for the Managed Accounts. F5 · ownership.nature: Northern Right QP beneficially owns and has the power to vote or to direct the vote of 1,492,712 shares of common stock of GEG. NRC Partners I beneficially owns and has the power to vote or to direct the vote of 116,704 shares of common stock of GEG. The Managed Accounts, on behalf of certain investment advisory clients of Northern Right Management, beneficially own 1,723,544 shares of common stock of GEG. F6 · ownership.nature: As general partner and investment manager of NRC Partners I and Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by NRC Partners I and 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. F7 · ownership.nature: (continued from footnote 6) 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, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| August 15, 2022 Filed Aug 18, 2022 01:37 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 26,150 | $2.02 | $52,888.38 |
DisclosureSEC source: 0000899243-22-029104 · doc4.xml · nonDerivative · entry 1 Northern Right Capital Management, L.P. · CIK 0001346543 · 10% owner · Member of 13D 10% Group NRC Partners I, LP · CIK 0001763594 · 10% owner 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: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,315,056 F1 · shares: Represents 8,496 shares of common stock of Great Elm Group, Inc. ("GEG") purchased by Northern Right Capital (QP), L.P. ("Northern Right QP"), 2,813 shares of common stock of GEG purchased by NRC Partners I, LP ("NRC Partners I") and 14,841 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. F2 · shares: Represents shares of common stock acquired in a transaction pursuant to the Rule 10b5-1 trading plan entered into by the Reporting Persons on June 16, 2022. F5 · ownership.nature: Northern Right QP beneficially owns and has the power to vote or to direct the vote of 1,492,712 shares of common stock of GEG. NRC Partners I beneficially owns and has the power to vote or to direct the vote of 116,704 shares of common stock of GEG. The Managed Accounts, on behalf of certain investment advisory clients of Northern Right Management, beneficially own 1,723,544 shares of common stock of GEG. F6 · ownership.nature: As general partner and investment manager of NRC Partners I and Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by NRC Partners I and 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. F7 · ownership.nature: (continued from footnote 6) 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, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| August 12, 2022 Filed Aug 12, 2022 22:54 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 41,120 | $2.00 | $82,359.25 |
DisclosureSEC source: 0000899243-22-028526 · doc4.xml · nonDerivative · entry 2 Northern Right Capital Management, L.P. · CIK 0001346543 · 10% owner · Member of 13D 10% Group NRC Partners I, LP · CIK 0001763594 · 10% owner 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: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,288,906 F2 · shares: Represents shares of common stock acquired in a transaction pursuant to the Rule 10b5-1 trading plan entered into by the Reporting Persons on June 16, 2022. F3 · shares: Represents 13,360 shares of common stock of GEG purchased by Northern Right QP, 4,423 shares of common stock of GEG purchased by NRC Partners I and 23,337 shares of common stock of GEG purchased by the Managed Accounts on behalf of investment advisory clients of Northern Right Management. Northern Right Management acts as the investment manager for the Managed Accounts. F4 · ownership.nature: Northern Right QP beneficially owns and has the power to vote or to direct the vote of 1,478,405 shares of common stock of GEG. NRC Partners I beneficially owns and has the power to vote or to direct the vote of 111,963 shares of common stock of GEG. The Managed Accounts, on behalf of certain investment advisory clients of Northern Right Management, beneficially own 1,698,538 shares of common stock of GEG. F5 · ownership.nature: As general partner and investment manager of NRC Partners I and Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by NRC Partners I and 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. F6 · ownership.nature: (Continued from footnote 5) 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, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| August 10, 2022 Filed Aug 12, 2022 22:54 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 4,144 | $2.04 | $8,443.40 |
DisclosureSEC source: 0000899243-22-028526 · doc4.xml · nonDerivative · entry 1 Northern Right Capital Management, L.P. · CIK 0001346543 · 10% owner · Member of 13D 10% Group NRC Partners I, LP · CIK 0001763594 · 10% owner 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: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,247,786 F1 · shares: Represents 1,351shares of common stock of Great Elm Group, Inc. ("GEG") purchased by Northern Right Capital (QP), L.P. ("Northern Right QP"), 444 shares of common stock of GEG purchased by NRC Partners I, LP ("NRC Partners I") and 2,349 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. F2 · shares: Represents shares of common stock acquired in a transaction pursuant to the Rule 10b5-1 trading plan entered into by the Reporting Persons on June 16, 2022. F4 · ownership.nature: Northern Right QP beneficially owns and has the power to vote or to direct the vote of 1,478,405 shares of common stock of GEG. NRC Partners I beneficially owns and has the power to vote or to direct the vote of 111,963 shares of common stock of GEG. The Managed Accounts, on behalf of certain investment advisory clients of Northern Right Management, beneficially own 1,698,538 shares of common stock of GEG. F5 · ownership.nature: As general partner and investment manager of NRC Partners I and Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by NRC Partners I and 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. F6 · ownership.nature: (Continued from footnote 5) 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, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| August 09, 2022 Filed Aug 10, 2022 22:01 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 8,769 | $2.05 | $17,958.04 |
DisclosureSEC source: 0000899243-22-028281 · doc4.xml · nonDerivative · entry 2 Northern Right Capital Management, L.P. · CIK 0001346543 · 10% owner · Member of 13D 10% Group NRC Partners I, LP · CIK 0001763594 · 10% owner 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: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,243,642 F2 · shares: Represents shares of common stock acquired in a transaction pursuant to the Rule 10b5-1 trading plan entered into by the Reporting Persons on June 16, 2022. F3 · shares: Represents 2,866 shares of common stock of GEG purchased by Northern Right QP, 937 shares of common stock of GEG purchased by NRC Partners I and 4,966 shares of common stock of GEG purchased by the Managed Accounts on behalf of investment advisory clients of Northern Right Management. Northern Right Management acts as the investment manager for the Managed Accounts. F4 · ownership.nature: Northern Right QP beneficially owns and has the power to vote or to direct the vote of 1,463,694 shares of common stock of GEG. NRC Partners I beneficially owns and has the power to vote or to direct the vote of 107,096 shares of common stock of GEG. The Managed Accounts, on behalf of certain investment advisory clients of Northern Right Management, beneficially own 1,672,852 shares of common stock of GEG. F5 · ownership.nature: As general partner and investment manager of NRC Partners I and Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by NRC Partners I and 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. F6 · ownership.nature: (Continued from Footnote 5) 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, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| August 08, 2022 Filed Aug 10, 2022 22:01 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 7,233 | $2.02 | $14,585.34 |
DisclosureSEC source: 0000899243-22-028281 · doc4.xml · nonDerivative · entry 1 Northern Right Capital Management, L.P. · CIK 0001346543 · 10% owner · Member of 13D 10% Group NRC Partners I, LP · CIK 0001763594 · 10% owner 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: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,234,873 F1 · shares: Represents 2,362 shares of common stock of Great Elm Group, Inc. ("GEG") purchased by Northern Right Capital (QP), L.P. ("Northern Right QP"), 773 shares of common stock of GEG purchased by NRC Partners I, LP ("NRC Partners I") and 4,098 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. F2 · shares: Represents shares of common stock acquired in a transaction pursuant to the Rule 10b5-1 trading plan entered into by the Reporting Persons on June 16, 2022. F4 · ownership.nature: Northern Right QP beneficially owns and has the power to vote or to direct the vote of 1,463,694 shares of common stock of GEG. NRC Partners I beneficially owns and has the power to vote or to direct the vote of 107,096 shares of common stock of GEG. The Managed Accounts, on behalf of certain investment advisory clients of Northern Right Management, beneficially own 1,672,852 shares of common stock of GEG. F5 · ownership.nature: As general partner and investment manager of NRC Partners I and Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by NRC Partners I and 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. F6 · ownership.nature: (Continued from Footnote 5) 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, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| July 26, 2022 Filed Jul 27, 2022 01:11 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 409 | $1.98 | $811.17 |
DisclosureSEC source: 0000899243-22-026777 · doc4.xml · nonDerivative · entry 2 Northern Right Capital Management, L.P. · CIK 0001346543 · 10% owner · Member of 13D 10% Group NRC Partners I, LP · CIK 0001763594 · 10% owner 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: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,227,640 F2 · shares: Represents shares of common stock acquired in a transaction pursuant to the Rule 10b5-1 trading plan entered into by the Reporting Persons on June 16, 2022. F3 · shares: Represents 135 shares of common stock of GEG purchased by Northern Right QP, 42 shares of common stock of GEG purchased by NRC Partners I and 232 shares of common stock of GEG purchased by the Managed Accounts on behalf of investment advisory clients of Northern Right Management. Northern Right Management acts as the investment manager for the Managed Accounts. F4 · ownership.nature: Northern Right QP beneficially owns and has the power to vote or to direct the vote of 1,458,466 shares of common stock of GEG. NRC Partners I beneficially owns and has the power to vote or to direct the vote of 105,386 shares of common stock of GEG. The Managed Accounts, on behalf of certain investment advisory clients of Northern Right Management, beneficially own 1,663,788 shares of common stock of GEG. F5 · ownership.nature: As general partner and investment manager of NRC Partners I and Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by NRC Partners I and 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. F6 · ownership.nature: (Continued from Footnote 5) 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, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| July 22, 2022 Filed Jul 27, 2022 01:11 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 26,256 | $1.98 | $51,944.87 |
DisclosureSEC source: 0000899243-22-026777 · doc4.xml · nonDerivative · entry 1 Northern Right Capital Management, L.P. · CIK 0001346543 · 10% owner · Member of 13D 10% Group NRC Partners I, LP · CIK 0001763594 · 10% owner 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: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,227,231 F1 · shares: Represents 8,658 shares of common stock of Great Elm Group, Inc. ("GEG") purchased by Northern Right Capital (QP), L.P. ("Northern Right QP"), 2,762 shares of common stock of GEG purchased by NRC Partners I, LP ("NRC Partners I") and 14,836 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. F2 · shares: Represents shares of common stock acquired in a transaction pursuant to the Rule 10b5-1 trading plan entered into by the Reporting Persons on June 16, 2022. F4 · ownership.nature: Northern Right QP beneficially owns and has the power to vote or to direct the vote of 1,458,466 shares of common stock of GEG. NRC Partners I beneficially owns and has the power to vote or to direct the vote of 105,386 shares of common stock of GEG. The Managed Accounts, on behalf of certain investment advisory clients of Northern Right Management, beneficially own 1,663,788 shares of common stock of GEG. F5 · ownership.nature: As general partner and investment manager of NRC Partners I and Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by NRC Partners I and 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. F6 · ownership.nature: (Continued from Footnote 5) 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, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| July 20, 2022 Filed Jul 21, 2022 01:47 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 3,658 | $1.98 | $7,257.47 |
DisclosureSEC source: 0000899243-22-026428 · doc4.xml · nonDerivative · entry 2 Northern Right Capital Management, L.P. · CIK 0001346543 · 10% owner · Member of 13D 10% Group NRC Partners I, LP · CIK 0001763594 · 10% owner 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: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,200,975 F2 · shares: Represents shares of common stock acquired in a transaction pursuant to the Rule 10b5-1 trading plan entered into by the Reporting Persons on June 16, 2022. F3 · shares: Represents 1,203 shares of common stock of GEG purchased by Northern Right QP, 388 shares of common stock of GEG purchased by NRC Partners I and 2,067 shares of common stock of GEG purchased by the Managed Accounts on behalf of investment advisory clients of Northern Right Management. Northern Right Management acts as the investment manager for the Managed Accounts. F4 · balance_after: As a result of a ministerial error made by the broker for the Reporting Persons, in the Form 4 filed by the Reporting Persons on June 13, 2022 (the "June 13 Form 4") to report shares of common stock of GEG acquired by the Reporting Persons on June 9, 2022, the amount of securities acquired and the amount of securities beneficially owned following the reported transaction were incorrectly reported as 237,637 and 3,092,921, respectively. The correct amount of securities acquired and the correct amount of securities beneficially owned following the reported transaction reported in the June 13 Form 4 should have been 237,367 and 3,092,651, respectively. The broker's error was corrected in the Form 4 filed by the Reporting Persons on June 16, 2022, wherein the amount of securities beneficially owned following the reported transactions reflects the correct number of shares of common stock of GEG beneficially owned by the Reporting Persons as of the date thereof. F5 · balance_after: (Continued Footnote 4) The amounts reported in this Form 4 also reflect the correction to the broker's error and are accurate as of the date hereof. F6 · ownership.nature: Northern Right QP beneficially owns and has the power to vote or to direct the vote of 1,449,673 shares of common stock of GEG. NRC Partners I beneficially owns and has the power to vote or to direct the vote of 102,582 shares of common stock of GEG. The Managed Accounts, on behalf of certain investment advisory clients of Northern Right Management, beneficially own 1,648,720 shares of common stock of GEG. F7 · ownership.nature: As general partner and investment manager of NRC Partners I and Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by NRC Partners I and 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, such securities for purposes of F8 · ownership.nature: (Continued Footnote 7) Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| July 18, 2022 Filed Jul 21, 2022 01:47 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 3,282 | $2.00 | $6,558.75 |
DisclosureSEC source: 0000899243-22-026428 · doc4.xml · nonDerivative · entry 1 Northern Right Capital Management, L.P. · CIK 0001346543 · 10% owner · Member of 13D 10% Group NRC Partners I, LP · CIK 0001763594 · 10% owner 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: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,197,317 F1 · shares: Represents 1,087 shares of common stock of Great Elm Group, Inc. ("GEG") purchased by Northern Right Capital (QP), L.P. ("Northern Right QP"), 345 shares of common stock of GEG purchased by NRC Partners I, LP ("NRC Partners I") and 1,850 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. F2 · shares: Represents shares of common stock acquired in a transaction pursuant to the Rule 10b5-1 trading plan entered into by the Reporting Persons on June 16, 2022. F4 · balance_after: As a result of a ministerial error made by the broker for the Reporting Persons, in the Form 4 filed by the Reporting Persons on June 13, 2022 (the "June 13 Form 4") to report shares of common stock of GEG acquired by the Reporting Persons on June 9, 2022, the amount of securities acquired and the amount of securities beneficially owned following the reported transaction were incorrectly reported as 237,637 and 3,092,921, respectively. The correct amount of securities acquired and the correct amount of securities beneficially owned following the reported transaction reported in the June 13 Form 4 should have been 237,367 and 3,092,651, respectively. The broker's error was corrected in the Form 4 filed by the Reporting Persons on June 16, 2022, wherein the amount of securities beneficially owned following the reported transactions reflects the correct number of shares of common stock of GEG beneficially owned by the Reporting Persons as of the date thereof. F5 · balance_after: (Continued Footnote 4) The amounts reported in this Form 4 also reflect the correction to the broker's error and are accurate as of the date hereof. F6 · ownership.nature: Northern Right QP beneficially owns and has the power to vote or to direct the vote of 1,449,673 shares of common stock of GEG. NRC Partners I beneficially owns and has the power to vote or to direct the vote of 102,582 shares of common stock of GEG. The Managed Accounts, on behalf of certain investment advisory clients of Northern Right Management, beneficially own 1,648,720 shares of common stock of GEG. F7 · ownership.nature: As general partner and investment manager of NRC Partners I and Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by NRC Partners I and 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, such securities for purposes of F8 · ownership.nature: (Continued Footnote 7) Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| June 16, 2022 Filed Jun 17, 2022 00:35 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 21,612 | $2.48 | $53,511.31 |
DisclosureSEC source: 0001140361-22-023312 · form4.xml · nonDerivative · entry 3 Northern Right Capital Management, L.P. · CIK 0001346543 · 10% owner · Member of 13D 10% Group NRC Partners I, LP · CIK 0001763594 · 10% owner · Member of 13D 10% Group Northern Right Capital (QP), L.P. · CIK 0001451722 · 10% owner · Member of 13D 10% Group BC Advisors LLC · CIK 0001349003 · 10% owner · Member of 13D 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,194,035 F3 · shares: Represents 7,184 shares of common stock of GEG purchased by Northern Right QP, 2,295 shares of common stock of GEG purchased by NRC Partners and 12,133 shares of common stock of GEG purchased by the Accounts on behalf of an investment advisory client of Northern Right Management. Northern Right Management acts as investment manager for the Accounts. F4 · ownership.nature: Northern Right QP beneficially owns and has the power to vote or to direct the vote of 1,447,383 shares of common stock of GEG. NRC Partners beneficially owns and has the power to vote or to direct the vote of 101,849 shares of common stock of GEG. Managed accounts (the "Managed Accounts) on behalf of certain investment advisory clients of Northern Right Capital Management beneficially own 1,644,803 shares of common stock of GEG. F5 · ownership.nature: As general partner and investment manager of NRC Partners and Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by NRC Partners and Northern Right QP. As the investment manager of the Accounts and the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the securities held by such accounts. As general partner of Northern Right Management, BC Advisors, LLC ("BCA") 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, F6 · ownership.nature: (continued from footnote 5) 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, such securities forpurposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| June 15, 2022 Filed Jun 17, 2022 00:35 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 4,772 | $2.44 | $11,639.39 |
DisclosureSEC source: 0001140361-22-023312 · form4.xml · nonDerivative · entry 2 Northern Right Capital Management, L.P. · CIK 0001346543 · 10% owner · Member of 13D 10% Group NRC Partners I, LP · CIK 0001763594 · 10% owner · Member of 13D 10% Group Northern Right Capital (QP), L.P. · CIK 0001451722 · 10% owner · Member of 13D 10% Group BC Advisors LLC · CIK 0001349003 · 10% owner · Member of 13D 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,172,423 F2 · shares: Represents 1,565 shares of common stock of GEG purchased by Northern Right QP, 515 shares of common stock of GEG purchased by NRC Partners and 2,692 shares of common stock of GEG purchased by the Accounts on behalf of an investment advisory client of Northern Right Management. Northern Right Management acts as investment manager for the Accounts. F4 · ownership.nature: Northern Right QP beneficially owns and has the power to vote or to direct the vote of 1,447,383 shares of common stock of GEG. NRC Partners beneficially owns and has the power to vote or to direct the vote of 101,849 shares of common stock of GEG. Managed accounts (the "Managed Accounts) on behalf of certain investment advisory clients of Northern Right Capital Management beneficially own 1,644,803 shares of common stock of GEG. F5 · ownership.nature: As general partner and investment manager of NRC Partners and Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by NRC Partners and Northern Right QP. As the investment manager of the Accounts and the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the securities held by such accounts. As general partner of Northern Right Management, BC Advisors, LLC ("BCA") 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, F6 · ownership.nature: (continued from footnote 5) 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, such securities forpurposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| June 14, 2022 Filed Jun 17, 2022 00:35 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 75,000 | $2.42 | $181,500.00 |
DisclosureSEC source: 0001140361-22-023312 · form4.xml · nonDerivative · entry 1 Northern Right Capital Management, L.P. · CIK 0001346543 · 10% owner · Member of 13D 10% Group NRC Partners I, LP · CIK 0001763594 · 10% owner · Member of 13D 10% Group Northern Right Capital (QP), L.P. · CIK 0001451722 · 10% owner · Member of 13D 10% Group BC Advisors LLC · CIK 0001349003 · 10% owner · Member of 13D 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,167,651 F1 · shares: Represents 24,633 shares of common stock of Great Elm Group, Inc. ("GEG") purchased by Northern Right Capital (QP), L.P. ("Northern Right QP"), 8,097 shares of common stock of GEG purchased by NRC Partners I, L.P. ("NRC Partners") and 42,270 shares of common stock of GEG purchased by managed accounts (the "Accounts") on behalf of an investment advisory client of Northern Right Capital Management, L.P. ("Northern Right Management"). Northern Right Management acts as investment manager for the Accounts. F4 · ownership.nature: Northern Right QP beneficially owns and has the power to vote or to direct the vote of 1,447,383 shares of common stock of GEG. NRC Partners beneficially owns and has the power to vote or to direct the vote of 101,849 shares of common stock of GEG. Managed accounts (the "Managed Accounts) on behalf of certain investment advisory clients of Northern Right Capital Management beneficially own 1,644,803 shares of common stock of GEG. F5 · ownership.nature: As general partner and investment manager of NRC Partners and Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by NRC Partners and Northern Right QP. As the investment manager of the Accounts and the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the securities held by such accounts. As general partner of Northern Right Management, BC Advisors, LLC ("BCA") 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, F6 · ownership.nature: (continued from footnote 5) 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, such securities forpurposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| June 09, 2022 Filed Jun 14, 2022 00:22 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 237,637 | $2.38 | $565,576.06 |
DisclosureSEC source: 0001140361-22-022815 · form4.xml · nonDerivative · entry 1 Northern Right Capital Management, L.P. · CIK 0001346543 · 10% owner · Member of 13D 10% Group NRC Partners I, LP · CIK 0001763594 · 10% owner · Member of 13D 10% Group Northern Right Capital (QP), L.P. · CIK 0001451722 · 10% owner · Member of 13D 10% Group BC Advisors LLC · CIK 0001349003 · 10% owner · Member of 13D 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,092,921 F1 · shares: Represents 77,128 shares of common stock of Great Elm Group, Inc. ("GEG") purchased by Northern Right Capital (QP), L.P. ("Northern Right QP"), 25,883 shares of common stock of GEG purchased by NRC Partners I, L.P. ("NRC Partners") and 134,626 shares of common stock of GEG purchased by managed accounts (the "Accounts") on behalf of an investment advisory client of Northern Right Capital Management, L.P. ("Northern Right Management"). Northern Right Management acts as investment manager for the Accounts. F2 · ownership.nature: Northern Right QP beneficially owns and has the power to vote or to direct the vote of 1,414,089 shares of common stock of GEG. NRC Partners beneficially owns and has the power to vote or to direct the vote of 90,972 shares of common stock of GEG. Managed accounts (the "Managed Accounts) on behalf of certain investment advisory clients of Northern Right Capital Management beneficially own 1,587,860 shares of common stock of GEG. F3 · ownership.nature: As general partner and investment manager of NRC Partners and Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by NRC Partners and Northern Right QP. As the investment manager of the Accounts and the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the securities held by such accounts. As general partner of Northern Right Management, BC Advisors, LLC ("BCA") 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, F4 · ownership.nature: (continued from footnote 3) 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, such securities forpurposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| June 02, 2022 Filed Jun 3, 2022 00:17 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 6,292 | $2.41 | $15,141.70 |
DisclosureSEC source: 0001140361-22-021661 · form4.xml · nonDerivative · entry 3 Northern Right Capital Management, L.P. · CIK 0001346543 · 10% owner · Member of 13D 10% Group NRC Partners I, LP · CIK 0001763594 · 10% owner · Member of 13D 10% Group Northern Right Capital (QP), L.P. · CIK 0001451722 · 10% owner · Member of 13D 10% Group BC Advisors LLC · CIK 0001349003 · 10% owner · Member of 13D 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,855,284 F3 · shares: Represents 2,035 shares of common stock of Great Elm Group, Inc. ("GEG") purchased by Northern Right Capital (QP), L.P. ("Northern Right QP"), 687 shares of common stock of GEG purchased by NRC Partners I, L.P. ("NRC Partners") and 3,570 shares of common stock of GEG purchased by managed accounts (the "Accounts") on behalf of an investment advisory client of Northern Right Capital Management, L.P. ("Northern Right Management"). Northern Right Management acts as investment manager for the Accounts. F4 · ownership.nature: Northern Right QP beneficially owns and has the power to vote or to direct the vote of 1,336,961 shares of common stock of GEG. NRC Partners beneficially owns and has the power to vote or to direct the vote of 65,089 shares of common stock of GEG. Managed accounts (the "Managed Accounts") on behalf of certain investment advisory clients of Northern Right Capital Management beneficially own 1,453,234 shares of common stock of GEG. F5 · ownership.nature: As general partner and investment manager of NRC Partners and Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by NRC Partners and Northern Right QP. As the investment manager of the Accounts and the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the securities held by such accounts. As general partner of Northern Right Management, BC Advisors, LLC ("BCA") 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, F6 · ownership.nature: (continued from footnote 5) 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, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| June 01, 2022 Filed Jun 3, 2022 00:17 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 24,924 | $2.38 | $59,224.41 |
DisclosureSEC source: 0001140361-22-021661 · form4.xml · nonDerivative · entry 2 Northern Right Capital Management, L.P. · CIK 0001346543 · 10% owner · Member of 13D 10% Group NRC Partners I, LP · CIK 0001763594 · 10% owner · Member of 13D 10% Group Northern Right Capital (QP), L.P. · CIK 0001451722 · 10% owner · Member of 13D 10% Group BC Advisors LLC · CIK 0001349003 · 10% owner · Member of 13D 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,848,992 F2 · shares: Represents 8,098 shares of common stock of Great Elm Group, Inc. ("GEG") purchased by Northern Right Capital (QP), L.P. ("Northern Right QP"), 2,718 shares of common stock of GEG purchased by NRC Partners I, L.P. ("NRC Partners") and 14,108 shares of common stock of GEG purchased by managed accounts (the "Accounts") on behalf of an investment advisory client of Northern Right Capital Management, L.P. ("Northern Right Management"). Northern Right Management acts as investment manager for the Accounts. F4 · ownership.nature: Northern Right QP beneficially owns and has the power to vote or to direct the vote of 1,336,961 shares of common stock of GEG. NRC Partners beneficially owns and has the power to vote or to direct the vote of 65,089 shares of common stock of GEG. Managed accounts (the "Managed Accounts") on behalf of certain investment advisory clients of Northern Right Capital Management beneficially own 1,453,234 shares of common stock of GEG. F5 · ownership.nature: As general partner and investment manager of NRC Partners and Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by NRC Partners and Northern Right QP. As the investment manager of the Accounts and the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the securities held by such accounts. As general partner of Northern Right Management, BC Advisors, LLC ("BCA") 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, F6 · ownership.nature: (continued from footnote 5) 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, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| May 31, 2022 Filed Jun 3, 2022 00:17 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 10,484 | $2.31 | $24,208.60 |
DisclosureSEC source: 0001140361-22-021661 · form4.xml · nonDerivative · entry 1 Northern Right Capital Management, L.P. · CIK 0001346543 · 10% owner · Member of 13D 10% Group NRC Partners I, LP · CIK 0001763594 · 10% owner · Member of 13D 10% Group Northern Right Capital (QP), L.P. · CIK 0001451722 · 10% owner · Member of 13D 10% Group BC Advisors LLC · CIK 0001349003 · 10% owner · Member of 13D 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,824,068 F1 · shares: Represents 3,403 shares of common stock of Great Elm Group, Inc. ("GEG") purchased by Northern Right Capital (QP), L.P. ("Northern Right QP"), 1,143 shares of common stock of GEG purchased by NRC Partners I, L.P. ("NRC Partners") and 5,938 shares of common stock of GEG purchased by managed accounts (the "Accounts") on behalf of an investment advisory client of Northern Right Capital Management, L.P. ("Northern Right Management"). Northern Right Management acts as investment manager for the Accounts. F4 · ownership.nature: Northern Right QP beneficially owns and has the power to vote or to direct the vote of 1,336,961 shares of common stock of GEG. NRC Partners beneficially owns and has the power to vote or to direct the vote of 65,089 shares of common stock of GEG. Managed accounts (the "Managed Accounts") on behalf of certain investment advisory clients of Northern Right Capital Management beneficially own 1,453,234 shares of common stock of GEG. F5 · ownership.nature: As general partner and investment manager of NRC Partners and Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by NRC Partners and Northern Right QP. As the investment manager of the Accounts and the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the securities held by such accounts. As general partner of Northern Right Management, BC Advisors, LLC ("BCA") 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, F6 · ownership.nature: (continued from footnote 5) 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, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| May 23, 2022 Filed May 25, 2022 22:24 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 50,000 | $2.19 | $109,500.00 |
DisclosureSEC source: 0001140361-22-020615 · form4.xml · nonDerivative · entry 1 Northern Right Capital Management, L.P. · CIK 0001346543 · 10% owner · Member of 13D 10% Group NRC Partners I, LP · CIK 0001763594 · 10% owner · Member of 13D 10% Group Northern Right Capital (QP), L.P. · CIK 0001451722 · 10% owner · Member of 13D 10% Group BC Advisors LLC · CIK 0001349003 · 10% owner · Member of 13D 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,813,584 F1 · shares: Represents 16,307 shares of common stock of Great Elm Group, Inc. ("GEG") purchased by Northern Right Capital (QP), L.P. ("Northern Right QP"), 5,464 shares of common stock of GEG purchased by NRC Partners I, L.P. ("NRC Partners") and 28,229 shares of common stock of GEG purchased by managed accounts (the "Accounts") on behalf of an investment advisory client of Northern Right Capital Management, L.P. ("Northern Right Management"). Northern Right Management acts as investment manager for the Accounts. F2 · ownership.nature: Northern Right QP beneficially owns and has the power to vote or to direct the vote of 1,323,425 shares of common stock of GEG. NRC Partners beneficially owns and has the power to vote or to direct the vote of 60,541 shares of common stock of GEG. Managed accounts (the "Managed Accounts") on behalf of certain investment advisory clients of Northern Right Capital Management beneficially own 1,429,618 shares of common stock of GEG. F3 · ownership.nature: As general partner and investment manager of NRC Partners and Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by NRC Partners and Northern Right QP. As the investment manager of the Accounts and the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the securities held by such accounts. As general partner of Northern Right Management, BC Advisors, LLC ("BCA") 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, F4 · ownership.nature: (continued from footnote 3) 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, such securities forpurposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| May 19, 2022 Filed May 20, 2022 20:39 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 40,000 | $2.15 | $86,176.00 |
DisclosureSEC source: 0001140361-22-020096 · form4.xml · nonDerivative · entry 2 Northern Right Capital Management, L.P. · CIK 0001346543 · 10% owner · Member of 13D 10% Group NRC Partners I, LP · CIK 0001763594 · 10% owner · Member of 13D 10% Group Northern Right Capital (QP), L.P. · CIK 0001451722 · 10% owner · Member of 13D 10% Group BC Advisors LLC · CIK 0001349003 · 10% owner · Member of 13D 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,763,584 F2 · shares: Represents 13,042 shares of common stock of Great Elm Group, Inc. ("GEG") purchased by Northern Right Capital (QP), L.P. ("Northern Right QP"), 4,361 shares of common stock of GEG purchased by NRC Partners I, L.P. ("NRC Partners") and 22,597 shares of common stock of GEG purchased by managed accounts (the "Accounts") on behalf of an investment advisory client of Northern Right Capital Management, L.P. ("Northern Right Management"). Northern Right Management acts as investment manager for the Accounts. F3 · ownership.nature: Northern Right QP beneficially owns and has the power to vote or to direct the vote of 1,307,118 shares of common stock of GEG. NRC Partners beneficially owns and has the power to vote or to direct the vote of 55,077 shares of common stock of GEG. Managed accounts (the "Managed Accounts") on behalf of certain investment advisory clients of Northern Right Capital Management beneficially own 1,401,389 shares of common stock of GEG. F4 · ownership.nature: As general partner and investment manager of NRC Partners and Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by NRC Partners and Northern Right QP. As the investment manager of the Accounts and the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the securities held by such accounts. As general partner of Northern Right Management, BC Advisors, LLC ("BCA") 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, F5 · ownership.nature: (continued from footnote 4) 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, such securities forpurposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| May 18, 2022 Filed May 20, 2022 20:39 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 5,000 | $2.04 | $10,178.50 |
DisclosureSEC source: 0001140361-22-020096 · form4.xml · nonDerivative · entry 1 Northern Right Capital Management, L.P. · CIK 0001346543 · 10% owner · Member of 13D 10% Group NRC Partners I, LP · CIK 0001763594 · 10% owner · Member of 13D 10% Group Northern Right Capital (QP), L.P. · CIK 0001451722 · 10% owner · Member of 13D 10% Group BC Advisors LLC · CIK 0001349003 · 10% owner · Member of 13D 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,723,584 F1 · shares: Represents 1,630 shares of common stock of Great Elm Group, Inc. ("GEG") purchased by Northern Right Capital (QP), L.P. ("Northern Right QP"), 545 shares of common stock of GEG purchased by NRC Partners I, L.P. ("NRC Partners") and 2,825 shares of common stock of GEG purchased by managed accounts (the "Accounts") on behalf of an investment advisory client of Northern Right Capital Management, L.P. ("Northern Right Management"). Northern Right Management acts as investment manager for the Accounts. F3 · ownership.nature: Northern Right QP beneficially owns and has the power to vote or to direct the vote of 1,307,118 shares of common stock of GEG. NRC Partners beneficially owns and has the power to vote or to direct the vote of 55,077 shares of common stock of GEG. Managed accounts (the "Managed Accounts") on behalf of certain investment advisory clients of Northern Right Capital Management beneficially own 1,401,389 shares of common stock of GEG. F4 · ownership.nature: As general partner and investment manager of NRC Partners and Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by NRC Partners and Northern Right QP. As the investment manager of the Accounts and the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the securities held by such accounts. As general partner of Northern Right Management, BC Advisors, LLC ("BCA") 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, F5 · ownership.nature: (continued from footnote 4) 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, such securities forpurposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| May 16, 2022 Filed May 16, 2022 23:10 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 8,000 | $2.11 | $16,905.60 |
DisclosureSEC source: 0001140361-22-019454 · form4.xml · nonDerivative · entry 3 Northern Right Capital Management, L.P. · CIK 0001346543 · 10% owner · Member of 13D 10% Group NRC Partners I, LP · CIK 0001763594 · 10% owner · Member of 13D 10% Group Northern Right Capital (QP), L.P. · CIK 0001451722 · 10% owner · Member of 13D 10% Group BC Advisors LLC · CIK 0001349003 · 10% owner · Member of 13D 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,718,584 F3 · shares: Represents 2,606 shares of common stock of GEG purchased by Northern Right QP, 872 shares of common stock of GEG purchased by NRC Partners and 4,522 shares of common stock of GEG purchased by the Accounts. F4 · ownership.nature: Northern Right QP beneficially owns and has the power to vote or to direct the vote of 1,292,446 shares of common stock of GEG. NRC Partners beneficially owns and has the power to vote or to direct the vote of 50,171 shares of common stock of GEG. Managed accounts (the "Managed Accounts") on behalf of certain investment advisory clients of Northern Right Capital Management beneficially own 1,375,967 shares of common stock of GEG. F5 · ownership.nature: As general partner and investment manager of NRC Partners and Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by NRC Partners and Northern Right QP. As the investment manager of the Accounts and the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the securities held by such accounts. As general partner of Northern Right Management, BC Advisors, LLC ("BCA") 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, F6 · ownership.nature: (continued from footnote 5) 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, such securities forpurposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| May 13, 2022 Filed May 16, 2022 23:10 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 25,000 | $2.05 | $51,217.50 |
DisclosureSEC source: 0001140361-22-019454 · form4.xml · nonDerivative · entry 2 Northern Right Capital Management, L.P. · CIK 0001346543 · 10% owner · Member of 13D 10% Group NRC Partners I, LP · CIK 0001763594 · 10% owner · Member of 13D 10% Group Northern Right Capital (QP), L.P. · CIK 0001451722 · 10% owner · Member of 13D 10% Group BC Advisors LLC · CIK 0001349003 · 10% owner · Member of 13D 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,710,584 F2 · shares: Represents 8,144 shares of common stock of GEG purchased by Northern Right QP, 2,716 shares of common stock of GEG purchased by NRC Partners and 14,140 shares of common stock of GEG purchased by the Accounts. F4 · ownership.nature: Northern Right QP beneficially owns and has the power to vote or to direct the vote of 1,292,446 shares of common stock of GEG. NRC Partners beneficially owns and has the power to vote or to direct the vote of 50,171 shares of common stock of GEG. Managed accounts (the "Managed Accounts") on behalf of certain investment advisory clients of Northern Right Capital Management beneficially own 1,375,967 shares of common stock of GEG. F5 · ownership.nature: As general partner and investment manager of NRC Partners and Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by NRC Partners and Northern Right QP. As the investment manager of the Accounts and the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the securities held by such accounts. As general partner of Northern Right Management, BC Advisors, LLC ("BCA") 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, F6 · ownership.nature: (continued from footnote 5) 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, such securities forpurposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| May 12, 2022 Filed May 16, 2022 23:10 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 21,000 | $1.98 | $41,510.70 |
DisclosureSEC source: 0001140361-22-019454 · form4.xml · nonDerivative · entry 1 Northern Right Capital Management, L.P. · CIK 0001346543 · 10% owner · Member of 13D 10% Group NRC Partners I, LP · CIK 0001763594 · 10% owner · Member of 13D 10% Group Northern Right Capital (QP), L.P. · CIK 0001451722 · 10% owner · Member of 13D 10% Group BC Advisors LLC · CIK 0001349003 · 10% owner · Member of 13D 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,685,584 F1 · shares: Represents 6,854 shares of common stock of Great Elm Group, Inc. ("GEG") purchased by Northern Right Capital (QP), L.P. ("Northern Right QP"), 2,290 shares of common stock of GEG purchased by NRC Partners I, L.P. ("NRC Partners") and 11,856 shares of common stock of GEG purchased by managed accounts (the "Accounts") on behalf of an investment advisory client of Northern Right Capital Management, L.P. ("Northern Right Management"). Northern Right Management acts as investment manager for the Accounts. F4 · ownership.nature: Northern Right QP beneficially owns and has the power to vote or to direct the vote of 1,292,446 shares of common stock of GEG. NRC Partners beneficially owns and has the power to vote or to direct the vote of 50,171 shares of common stock of GEG. Managed accounts (the "Managed Accounts") on behalf of certain investment advisory clients of Northern Right Capital Management beneficially own 1,375,967 shares of common stock of GEG. F5 · ownership.nature: As general partner and investment manager of NRC Partners and Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by NRC Partners and Northern Right QP. As the investment manager of the Accounts and the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the securities held by such accounts. As general partner of Northern Right Management, BC Advisors, LLC ("BCA") 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, F6 · ownership.nature: (continued from footnote 5) 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, such securities forpurposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| May 10, 2022 Filed May 11, 2022 01:20 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 17,500 | $1.84 | $32,177.25 |
DisclosureSEC source: 0001140361-22-018542 · form4.xml · nonDerivative · entry 2 Northern Right Capital Management, L.P. · CIK 0001346543 · 10% owner · Member of 13D 10% Group NRC Partners I, LP · CIK 0001763594 · 10% owner · Member of 13D 10% Group Northern Right Capital (QP), L.P. · CIK 0001451722 · 10% owner · Member of 13D 10% Group BC Advisors LLC · CIK 0001349003 · 10% owner · Member of 13D 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,664,584 F2 · shares: Represents 5,722 shares of common stock of GEG purchased by Northern Right QP, 1,898 shares of common stock of GEG purchased by NRC Partners and 9,880 shares of common stock of GEG purchased by the Account. F3 · ownership.nature: Northern Right QP beneficially owns and has the power to vote or to direct the vote of 1,274,842 shares of common stock of GEG. NRC Partners beneficially owns and has the power to vote or to direct the vote of 44,293 shares of common stock of GEG. Managed accounts (the "Managed Accounts") on behalf of certain investment advisory clients of Northern Right Capital Management beneficially own 1,345,449 shares of common stock of GEG. F4 · ownership.nature: As general partner and investment manager of NRC Partners and Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by NRC Partners and Northern Right QP. As the investment manager of the Account and the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the securities held by such accounts. As general partner of Northern Right Management, BC Advisors, LLC ("BCA") 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, F5 · ownership.nature: (continued from footnote 5) 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, such securities forpurposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| May 09, 2022 Filed May 11, 2022 01:20 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 80,000 | $1.61 | $128,888.00 |
DisclosureSEC source: 0001140361-22-018542 · form4.xml · nonDerivative · entry 1 Northern Right Capital Management, L.P. · CIK 0001346543 · 10% owner · Member of 13D 10% Group NRC Partners I, LP · CIK 0001763594 · 10% owner · Member of 13D 10% Group Northern Right Capital (QP), L.P. · CIK 0001451722 · 10% owner · Member of 13D 10% Group BC Advisors LLC · CIK 0001349003 · 10% owner · Member of 13D 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,647,084 F1 · shares: Represents 26,082 shares of common stock of Great Elm Group, Inc. ("GEG") purchased by Northern Right Capital (QP), L.P. ("Northern Right QP"), 8,708 shares of common stock of GEG purchased by NRC Partners I, L.P. ("NRC Partners") and 45,210 shares of common stock of GEG purchased by a managed account (the "Account") on behalf of an investment advisory client of Northern Right Capital Management, L.P. ("Northern Right Management"). Northern Right Management acts as investment manager for the Account. F3 · ownership.nature: Northern Right QP beneficially owns and has the power to vote or to direct the vote of 1,274,842 shares of common stock of GEG. NRC Partners beneficially owns and has the power to vote or to direct the vote of 44,293 shares of common stock of GEG. Managed accounts (the "Managed Accounts") on behalf of certain investment advisory clients of Northern Right Capital Management beneficially own 1,345,449 shares of common stock of GEG. F4 · ownership.nature: As general partner and investment manager of NRC Partners and Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by NRC Partners and Northern Right QP. As the investment manager of the Account and the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the securities held by such accounts. As general partner of Northern Right Management, BC Advisors, LLC ("BCA") 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, F5 · ownership.nature: (continued from footnote 5) 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, such securities forpurposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| May 20, 2021 Filed May 21, 2021 00:32 UTC | Great Elm Group, Inc. GEG · Entity 7060 | GrantCommon Stock | 29,277 | $2.32 | $67,826.03 |
DisclosureSEC source: 0001140361-21-018252 · form4.xml · nonDerivative · entry 3 Northern Right Capital Management, L.P. · CIK 0001346543 · 10% owner · Member of 13D 10% Group NRC Partners I, LP · CIK 0001763594 · 10% owner · Member of 13D 10% Group Northern Right Capital (QP), L.P. · CIK 0001451722 · 10% owner · Member of 13D 10% Group BC Advisors LLC · CIK 0001349003 · 10% owner · Member of 13D 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,567,084 F3 · shares: Represents 18,934 shares of common stock of GEG purchased by Northern Right QP, 6,002 shares of common stock of GEG purchased by NRC Partners and 4,341 shares of common stock of GEG purchased by the Account. F4 · ownership.nature: Northern Right QP beneficially owns and has the power to vote or to direct the vote of 1,243,038 shares of common stock of GEG. NRC Partners beneficially owns and has the power to vote or to direct the vote of 33,687 shares of common stock of GEG. Managed accounts (the "Managed Accounts") on behalf of certain investment advisory clients of Northern Right Capital Management beneficially own 1,290,359 shares of common stock of GEG. F5 · ownership.nature: As general partner and investment manager of NRC Partners and Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by NRC Partners and Northern Right QP. As the investment manager of the Account and the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the securities held by such accounts. As general partner of Northern Right Management, BC Advisors, LLC ("BCA") 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, F6 · ownership.nature: (continued from footnote 5) 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, such securities forpurposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| May 19, 2021 Filed May 21, 2021 00:32 UTC | Great Elm Group, Inc. GEG · Entity 7060 | GrantCommon Stock | 129,938 | $2.40 | $311,643.30 |
DisclosureSEC source: 0001140361-21-018252 · form4.xml · nonDerivative · entry 2 Northern Right Capital Management, L.P. · CIK 0001346543 · 10% owner · Member of 13D 10% Group NRC Partners I, LP · CIK 0001763594 · 10% owner · Member of 13D 10% Group Northern Right Capital (QP), L.P. · CIK 0001451722 · 10% owner · Member of 13D 10% Group BC Advisors LLC · CIK 0001349003 · 10% owner · Member of 13D 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,537,807 F2 · shares: Represents 84,032 shares of common stock of GEG purchased by Northern Right QP, 26,642 shares of common stock of GEG purchased by NRC Partners and 19,264 shares of common stock of GEG purchased by the Account. F4 · ownership.nature: Northern Right QP beneficially owns and has the power to vote or to direct the vote of 1,243,038 shares of common stock of GEG. NRC Partners beneficially owns and has the power to vote or to direct the vote of 33,687 shares of common stock of GEG. Managed accounts (the "Managed Accounts") on behalf of certain investment advisory clients of Northern Right Capital Management beneficially own 1,290,359 shares of common stock of GEG. F5 · ownership.nature: As general partner and investment manager of NRC Partners and Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by NRC Partners and Northern Right QP. As the investment manager of the Account and the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the securities held by such accounts. As general partner of Northern Right Management, BC Advisors, LLC ("BCA") 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, F6 · ownership.nature: (continued from footnote 5) 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, such securities forpurposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| May 18, 2021 Filed May 21, 2021 00:32 UTC | Great Elm Group, Inc. GEG · Entity 7060 | GrantCommon Stock | 5,077 | $2.18 | $11,069.89 |
DisclosureSEC source: 0001140361-21-018252 · form4.xml · nonDerivative · entry 1 Northern Right Capital Management, L.P. · CIK 0001346543 · 10% owner · Member of 13D 10% Group NRC Partners I, LP · CIK 0001763594 · 10% owner · Member of 13D 10% Group Northern Right Capital (QP), L.P. · CIK 0001451722 · 10% owner · Member of 13D 10% Group BC Advisors LLC · CIK 0001349003 · 10% owner · Member of 13D 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,407,869 F1 · shares: Represents 3,280 shares of common stock of Great Elm Group, Inc. ("GEG") purchased by Northern Right Capital (QP), L.P. ("Northern Right QP"), 1,043 shares of common stock of GEG purchased by NRC Partners I, L.P. ("NRC Partners") and 754 shares of common stock of GEG purchased by a managed account (the "Account") on behalf of an investment advisory client of Northern Right Capital Management, L.P. ("Northern Right Management"). Northern Right Management acts as investment manager for the Account. F4 · ownership.nature: Northern Right QP beneficially owns and has the power to vote or to direct the vote of 1,243,038 shares of common stock of GEG. NRC Partners beneficially owns and has the power to vote or to direct the vote of 33,687 shares of common stock of GEG. Managed accounts (the "Managed Accounts") on behalf of certain investment advisory clients of Northern Right Capital Management beneficially own 1,290,359 shares of common stock of GEG. F5 · ownership.nature: As general partner and investment manager of NRC Partners and Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by NRC Partners and Northern Right QP. As the investment manager of the Account and the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the securities held by such accounts. As general partner of Northern Right Management, BC Advisors, LLC ("BCA") 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, F6 · ownership.nature: (continued from footnote 5) 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, such securities forpurposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. 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.