organization · Reporting owner
BC Advisors LLC
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 | February 26, 2020 | March 02, 2020 |
| Great Elm Capital Corp.GECC · Entity 6877 | 10% owner | June 15, 2022 | June 27, 2022 |
| Great Elm Group, Inc.GEG · Entity 7060 | 10% owner | 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 Northern Right Capital Management, L.P., NRC Partners I, LP, Northern Right Capital (QP), L.P.
| 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 Northern Right Capital Management, L.P., NRC Partners I, LP, Northern Right Capital (QP), L.P.
| 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 Management, L.P., Northern Right Capital (QP), L.P., Northern Right Long Only Master Fund LP, Northern Right Fund GP 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 |
|---|---|---|---|---|---|---|
| July 10, 2026 Filed Jul 14, 2026 20:15 UTC | Great Elm Group, Inc. GEG · Entity 7060 | Other5.0% Convertible Senior PIK Note due 2030 · Derivative | Not disclosed | $100.00 Strike: $3.47 | $13,087.00 |
DisclosureSEC source: 0001013594-26-000739 · form4.xml · derivative · entry 4 Northern Right Capital Management, L.P. · CIK 0001346543 · 10% owner · Member of 13D 10% Group Northern Right Capital (QP), L.P. · CIK 0001451722 · 10% owner Northern Right Long Only Master Fund LP · CIK 0002052537 · 10% owner Northern Right Fund GP LLC · CIK 0002053060 · 10% owner BC Advisors LLC · CIK 0001349003 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: Not disclosed Underlying: Common Stock · 3,769 shares Expires 2030-02-26 F5 · kind: 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 · derivative.exercise_date: 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 · ownership.nature: 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 · ownership.nature: As general partner and investment manager of Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by Northern Right QP. As 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 · ownership.nature: 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 10, 2026 Filed Jul 14, 2026 20:15 UTC | Great Elm Group, Inc. GEG · Entity 7060 | Other5.0% Convertible Senior PIK Note due 2030 · Derivative | Not disclosed | $100.00 Strike: $3.47 | $13,087.00 |
DisclosureSEC source: 0001013594-26-000739 · form4.xml · derivative · entry 3 Northern Right Capital Management, L.P. · CIK 0001346543 · 10% owner · Member of 13D 10% Group Northern Right Capital (QP), L.P. · CIK 0001451722 · 10% owner Northern Right Long Only Master Fund LP · CIK 0002052537 · 10% owner Northern Right Fund GP LLC · CIK 0002053060 · 10% owner BC Advisors LLC · CIK 0001349003 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: Not disclosed Underlying: Common Stock · 3,769 shares Expires 2030-02-26 F5 · kind: 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 · derivative.exercise_date: 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 · ownership.nature: 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 · ownership.nature: As general partner and investment manager of Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by Northern Right QP. As 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 · ownership.nature: 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 10, 2026 Filed Jul 14, 2026 20:15 UTC | Great Elm Group, Inc. GEG · Entity 7060 | OtherCommon Stock | 7,887 | $2.18 | $17,193.66 |
DisclosureSEC source: 0001013594-26-000739 · form4.xml · nonDerivative · entry 2 Northern Right Capital Management, L.P. · CIK 0001346543 · 10% owner · Member of 13D 10% Group Northern Right Capital (QP), L.P. · CIK 0001451722 · 10% owner Northern Right Long Only Master Fund LP · CIK 0002052537 · 10% owner Northern Right Fund GP LLC · CIK 0002053060 · 10% owner BC Advisors LLC · CIK 0001349003 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 4,243,168 F1 · kind: 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 · ownership.nature: 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 · ownership.nature: As general partner and investment manager of Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by Northern Right QP. As 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 · ownership.nature: 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 10, 2026 Filed Jul 14, 2026 20:15 UTC | Great Elm Group, Inc. GEG · Entity 7060 | OtherCommon Stock | 7,887 | $2.18 | $17,193.66 |
DisclosureSEC source: 0001013594-26-000739 · form4.xml · nonDerivative · entry 1 Northern Right Capital Management, L.P. · CIK 0001346543 · 10% owner · Member of 13D 10% Group Northern Right Capital (QP), L.P. · CIK 0001451722 · 10% owner Northern Right Long Only Master Fund LP · CIK 0002052537 · 10% owner Northern Right Fund GP LLC · CIK 0002053060 · 10% owner BC Advisors LLC · CIK 0001349003 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 4,243,168 F1 · kind: 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 · ownership.nature: 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 · ownership.nature: As general partner and investment manager of Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by Northern Right QP. As 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 · ownership.nature: 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 14, 2025 Filed Jul 17, 2025 00:35 UTC | Great Elm Group, Inc. GEG · Entity 7060 | Other5.0% Convertible Senior PIK Note due 2030 · Derivative | Not disclosed | $100.00 Strike: $3.47 | $327,829.00 |
DisclosureSEC source: 0001013594-25-000854 · form4.xml · derivative · entry 4 Northern Right Capital Management, L.P. · CIK 0001346543 · 10% owner Northern Right Capital (QP), L.P. · CIK 0001451722 · 10% owner BC Advisors LLC · CIK 0001349003 · 10% owner Northern Right Fund GP LLC · CIK 0002053060 · 10% owner Northern Right Long Only Master Fund LP · CIK 0002052537 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: Not disclosed Underlying: Common Stock · 94,415 shares Expires 2030-02-26 F5 · kind: Represents a rebalancing transaction by Northern Right Management whereby Northern Right QP transferred an aggregate principal amount of $327,829 of 5.0% Convertible Senior PIK Notes due 2030 (the "Notes") constituting a conversionary interest, subject to adjustment as provided in the Notes, in 94,415 shares of Common Stock to NRC LO. F6 · derivative.exercise_date: On December 6, 2024, Northern Right QP and Matt A. Drapkin entered into a letter agreement (the "Forbearance Agreement") with the Issuer, pursuant to which they 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 December 5, 2025. On January 13, 2025, Northern Right QP, NRC LO and Matt A. Drapkin entered into an amendment to the Forbearance Agreement with the Issuer, which added NRC LO as a party thereto and extended the forbearance period until January 13, 2026. On July 15, 2025, the parties to the Forbearance Agreement entered into an amendment thereto which, among other things, extend the forbearance period until July 15, 2026. F2 · ownership.nature: Northern Right QP beneficially owns and has the power to vote or to direct the vote of 1,662,331 shares of Common Stock. NRC LO beneficially owns and has the power to vote or to direct the vote of 617,147 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 · ownership.nature: As general partner and investment manager of Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by Northern Right QP. As 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 · ownership.nature: 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 14, 2025 Filed Jul 17, 2025 00:35 UTC | Great Elm Group, Inc. GEG · Entity 7060 | Other5.0% Convertible Senior PIK Note due 2030 · Derivative | Not disclosed | $100.00 Strike: $3.47 | $327,829.00 |
DisclosureSEC source: 0001013594-25-000854 · form4.xml · derivative · entry 3 Northern Right Capital Management, L.P. · CIK 0001346543 · 10% owner Northern Right Capital (QP), L.P. · CIK 0001451722 · 10% owner BC Advisors LLC · CIK 0001349003 · 10% owner Northern Right Fund GP LLC · CIK 0002053060 · 10% owner Northern Right Long Only Master Fund LP · CIK 0002052537 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: Not disclosed Underlying: Common Stock · 94,415 shares Expires 2030-02-26 F5 · kind: Represents a rebalancing transaction by Northern Right Management whereby Northern Right QP transferred an aggregate principal amount of $327,829 of 5.0% Convertible Senior PIK Notes due 2030 (the "Notes") constituting a conversionary interest, subject to adjustment as provided in the Notes, in 94,415 shares of Common Stock to NRC LO. F6 · derivative.exercise_date: On December 6, 2024, Northern Right QP and Matt A. Drapkin entered into a letter agreement (the "Forbearance Agreement") with the Issuer, pursuant to which they 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 December 5, 2025. On January 13, 2025, Northern Right QP, NRC LO and Matt A. Drapkin entered into an amendment to the Forbearance Agreement with the Issuer, which added NRC LO as a party thereto and extended the forbearance period until January 13, 2026. On July 15, 2025, the parties to the Forbearance Agreement entered into an amendment thereto which, among other things, extend the forbearance period until July 15, 2026. F2 · ownership.nature: Northern Right QP beneficially owns and has the power to vote or to direct the vote of 1,662,331 shares of Common Stock. NRC LO beneficially owns and has the power to vote or to direct the vote of 617,147 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 · ownership.nature: As general partner and investment manager of Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by Northern Right QP. As 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 · ownership.nature: 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 14, 2025 Filed Jul 17, 2025 00:35 UTC | Great Elm Group, Inc. GEG · Entity 7060 | OtherCommon Stock | 207,570 | $2.07 | $429,690.66 |
DisclosureSEC source: 0001013594-25-000854 · form4.xml · nonDerivative · entry 2 Northern Right Capital Management, L.P. · CIK 0001346543 · 10% owner Northern Right Capital (QP), L.P. · CIK 0001451722 · 10% owner BC Advisors LLC · CIK 0001349003 · 10% owner Northern Right Fund GP LLC · CIK 0002053060 · 10% owner Northern Right Long Only Master Fund LP · CIK 0002052537 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 4,243,168 F1 · kind: Represents a rebalancing transaction by Northern Right Management (as defined herein) whereby Northern Right Capital (QP), L.P. ("Northern Right QP") transferred 207,570 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 · ownership.nature: Northern Right QP beneficially owns and has the power to vote or to direct the vote of 1,662,331 shares of Common Stock. NRC LO beneficially owns and has the power to vote or to direct the vote of 617,147 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 · ownership.nature: As general partner and investment manager of Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by Northern Right QP. As 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 · ownership.nature: 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 14, 2025 Filed Jul 17, 2025 00:35 UTC | Great Elm Group, Inc. GEG · Entity 7060 | OtherCommon Stock | 207,570 | $2.07 | $429,690.66 |
DisclosureSEC source: 0001013594-25-000854 · form4.xml · nonDerivative · entry 1 Northern Right Capital Management, L.P. · CIK 0001346543 · 10% owner Northern Right Capital (QP), L.P. · CIK 0001451722 · 10% owner BC Advisors LLC · CIK 0001349003 · 10% owner Northern Right Fund GP LLC · CIK 0002053060 · 10% owner Northern Right Long Only Master Fund LP · CIK 0002052537 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 4,243,168 F1 · kind: Represents a rebalancing transaction by Northern Right Management (as defined herein) whereby Northern Right Capital (QP), L.P. ("Northern Right QP") transferred 207,570 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 · ownership.nature: Northern Right QP beneficially owns and has the power to vote or to direct the vote of 1,662,331 shares of Common Stock. NRC LO beneficially owns and has the power to vote or to direct the vote of 617,147 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 · ownership.nature: As general partner and investment manager of Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by Northern Right QP. As 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 · ownership.nature: 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 |
| January 13, 2025 Filed Jan 16, 2025 02:08 UTC | Great Elm Group, Inc. GEG · Entity 7060 | Other5.0% Convertible Senior PIK Note due 2030 · Derivative | Not disclosed | $0.00 Strike: $3.47 | $612,413.00 |
DisclosureSEC source: 0000950170-25-006002 · ownership.xml · derivative · entry 2 Northern Right Capital Management, L.P. · CIK 0001346543 · 10% owner · Member of 13D 10% Group Northern Right Capital (QP), L.P. · CIK 0001451722 · 10% owner BC Advisors LLC · CIK 0001349003 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: Not disclosed Underlying: Common Stock · 176,376 shares Expires 2030-02-26 F5 · kind: Represents a transfer by Northern Right QP for no consideration of an aggregate principal amount of $612,413.00 of 5.0% Convertible Senior PIK Notes due 2030 (the "Notes") constituting a conversionary interest, subject to adjustment as provided in the Notes, in 176,376 shares of Common Stock to NRC LO. F6 · derivative.exercise_date: On January 13, 2025, Northern Right QP entered into a letter agreement (the "Forbearance Agreement") with the Issuer, NRC LO and Matthew A. Drapkin, pursuant to which Northern Right QP 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 January 13, 2026. F2 · ownership.nature: Northern Right QP beneficially owns and has the power to vote or to direct the vote of 1,869,901 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 · ownership.nature: As general partner and investment manager of Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by Northern Right QP. As the investment manager of the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the securities held by such accounts. As the general partner of Northern Right Management, BC Advisors, LLC may be deemed to be the beneficial owner of the securities beneficially owned (or deemed beneficially owned) by Northern Right Management. F4 · ownership.nature: 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 |
| January 13, 2025 Filed Jan 16, 2025 02:08 UTC | Great Elm Group, Inc. GEG · Entity 7060 | OtherCommon Stock | 409,577 | $0.00 | $0.00 |
DisclosureSEC source: 0000950170-25-006002 · ownership.xml · nonDerivative · entry 1 Northern Right Capital Management, L.P. · CIK 0001346543 · 10% owner · Member of 13D 10% Group Northern Right Capital (QP), L.P. · CIK 0001451722 · 10% owner BC Advisors LLC · CIK 0001349003 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 3,833,591 F1 · kind: Represents a transfer by Northern Right Capital (QP), L.P. ("Northern Right QP") for no consideration of 409,577 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"). NRC LO will be joining the "group," as such term is defined in Section 13(d) of the Securities Exchange Act of 1934, as amended, whose members include the Reporting Persons named herein. F2 · ownership.nature: Northern Right QP beneficially owns and has the power to vote or to direct the vote of 1,869,901 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 · ownership.nature: As general partner and investment manager of Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by Northern Right QP. As the investment manager of the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the securities held by such accounts. As the general partner of Northern Right Management, BC Advisors, LLC may be deemed to be the beneficial owner of the securities beneficially owned (or deemed beneficially owned) by Northern Right Management. F4 · ownership.nature: 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 |
| January 13, 2025 Filed Apr 4, 2025 20:05 UTC Amendment | Great Elm Group, Inc. GEG · Entity 7060 | Other5.0% Convertible Senior PIK Note due 2030 · Derivative | Not disclosed | $100.00 Strike: $3.47 | $612,413.00 |
DisclosureSEC source: 0000950170-25-051109 · ownership.xml · derivative · entry 2 Northern Right Capital Management, L.P. · CIK 0001346543 · 10% owner · Member of 13D 10% Group Northern Right Capital (QP), L.P. · CIK 0001451722 · 10% owner BC Advisors LLC · CIK 0001349003 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: Not disclosed Underlying: Common Stock · 176,376 shares Expires 2030-02-26 F5 · kind: Represents a rebalancing transaction by Northern Right Management whereby Northern Right QP transferred an aggregate principal amount of $612,413.00 of 5.0% Convertible Senior PIK Notes due 2030 (the "Notes") constituting a conversionary interest, subject to adjustment as provided in the Notes, in 176,376 shares of Common Stock to NRC LO. F6 · derivative.exercise_date: On January 13, 2025, Northern Right QP entered into a letter agreement (the "Forbearance Agreement") with the Issuer, NRC LO and Matthew A. Drapkin, pursuant to which Northern Right QP 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 January 13, 2026. F2 · ownership.nature: Northern Right QP beneficially owns and has the power to vote or to direct the vote of 1,869,901 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 · ownership.nature: As general partner and investment manager of Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by Northern Right QP. As the investment manager of the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the securities held by such accounts. As the general partner of Northern Right Management, BC Advisors, LLC may be deemed to be the beneficial owner of the securities beneficially owned (or deemed beneficially owned) by Northern Right Management. F4 · ownership.nature: 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 |
| January 13, 2025 Filed Apr 4, 2025 20:05 UTC Amendment | Great Elm Group, Inc. GEG · Entity 7060 | OtherCommon Stock | 409,577 | $1.81 | $741,334.37 |
DisclosureSEC source: 0000950170-25-051109 · ownership.xml · nonDerivative · entry 1 Northern Right Capital Management, L.P. · CIK 0001346543 · 10% owner · Member of 13D 10% Group Northern Right Capital (QP), L.P. · CIK 0001451722 · 10% owner BC Advisors LLC · CIK 0001349003 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 3,833,591 F1 · kind: Represents a rebalancing transaction by Northern Right Management (as defined herein) whereby Northern Right Capital (QP), L.P. ("Northern Right QP") transferred 409,577 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"). NRC LO will be joining the "group," as such term is defined in Section 13(d) of the Securities Exchange Act of 1934, as amended, whose members include the Reporting Persons named herein. F2 · ownership.nature: Northern Right QP beneficially owns and has the power to vote or to direct the vote of 1,869,901 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 · ownership.nature: As general partner and investment manager of Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by Northern Right QP. As the investment manager of the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the securities held by such accounts. As the general partner of Northern Right Management, BC Advisors, LLC may be deemed to be the beneficial owner of the securities beneficially owned (or deemed beneficially owned) by Northern Right Management. F4 · ownership.nature: 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 |
| May 23, 2024 Filed Oct 23, 2024 01:27 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 5,015 | $1.75 | $8,794.30 |
DisclosureSEC source: 0000950170-24-116442 · ownership.xml · nonDerivative · entry 3 Northern Right Capital Management, L.P. · CIK 0001346543 · 10% owner · Member of 13D 10% Group Northern Right Capital (QP), L.P. · CIK 0001451722 · 10% owner BC Advisors LLC · CIK 0001349003 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 4,243,168 F1 · shares: Represents shares of common stock of GEG purchased by managed accounts (the "Managed Accounts") on behalf of investment advisory clients of Northern Right Capital Management, L.P. ("Northern Right Management"). Northern Right Management acts as the investment manager for the Managed Accounts. F7 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.75 to $1.76, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F2 · ownership.nature: Northern Right Capital (QP), L.P. ("Northern Right QP") beneficially owns and has the power to vote or to direct the vote of 2,279,478 shares of common stock of GEG. The Managed Accounts, on behalf of certain investment advisory clients of Northern Right Management, beneficially own 1,963,690 shares of common stock of GEG. F3 · ownership.nature: As general partner and investment manager of Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by Northern Right QP. As the investment manager of the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the securities held by such accounts. As the general partner of Northern Right Management, BC Advisors, LLC may be deemed to be the beneficial owner of the securities beneficially owned (or deemed beneficially owned) by Northern Right Management. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein that may be beneficially owned by any of the other Reporting Persons, in each case, except to the extent of any pecuniary interest therein, and this report shall not be deemed an admission that any such entity or person is the beneficial owner of, or has any pecuniary interest in, F4 · ownership.nature: (Continued from footnote 3) such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| May 22, 2024 Filed Oct 23, 2024 01:27 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 20,001 | $1.76 | $35,267.76 |
DisclosureSEC source: 0000950170-24-116442 · ownership.xml · nonDerivative · entry 2 Northern Right Capital Management, L.P. · CIK 0001346543 · 10% owner · Member of 13D 10% Group Northern Right Capital (QP), L.P. · CIK 0001451722 · 10% owner BC Advisors LLC · CIK 0001349003 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 4,238,153 F1 · shares: Represents shares of common stock of GEG purchased by managed accounts (the "Managed Accounts") on behalf of investment advisory clients of Northern Right Capital Management, L.P. ("Northern Right Management"). Northern Right Management acts as the investment manager for the Managed Accounts. F6 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.76 to $1.77, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F2 · ownership.nature: Northern Right Capital (QP), L.P. ("Northern Right QP") beneficially owns and has the power to vote or to direct the vote of 2,279,478 shares of common stock of GEG. The Managed Accounts, on behalf of certain investment advisory clients of Northern Right Management, beneficially own 1,963,690 shares of common stock of GEG. F3 · ownership.nature: As general partner and investment manager of Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by Northern Right QP. As the investment manager of the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the securities held by such accounts. As the general partner of Northern Right Management, BC Advisors, LLC may be deemed to be the beneficial owner of the securities beneficially owned (or deemed beneficially owned) by Northern Right Management. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein that may be beneficially owned by any of the other Reporting Persons, in each case, except to the extent of any pecuniary interest therein, and this report shall not be deemed an admission that any such entity or person is the beneficial owner of, or has any pecuniary interest in, F4 · ownership.nature: (Continued from footnote 3) such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| May 21, 2024 Filed Oct 23, 2024 01:27 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 24,984 | $1.77 | $44,264.15 |
DisclosureSEC source: 0000950170-24-116442 · ownership.xml · nonDerivative · entry 1 Northern Right Capital Management, L.P. · CIK 0001346543 · 10% owner · Member of 13D 10% Group Northern Right Capital (QP), L.P. · CIK 0001451722 · 10% owner BC Advisors LLC · CIK 0001349003 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 4,218,152 F1 · shares: Represents shares of common stock of GEG purchased by managed accounts (the "Managed Accounts") on behalf of investment advisory clients of Northern Right Capital Management, L.P. ("Northern Right Management"). Northern Right Management acts as the investment manager for the Managed Accounts. F5 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.76 to $1.78, inclusive. The reporting person undertakes to provide to Great Elm Group, Inc. (the "Issuer"), any security holder of the Issuer or the staff of the Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F2 · ownership.nature: Northern Right Capital (QP), L.P. ("Northern Right QP") beneficially owns and has the power to vote or to direct the vote of 2,279,478 shares of common stock of GEG. The Managed Accounts, on behalf of certain investment advisory clients of Northern Right Management, beneficially own 1,963,690 shares of common stock of GEG. F3 · ownership.nature: As general partner and investment manager of Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by Northern Right QP. As the investment manager of the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the securities held by such accounts. As the general partner of Northern Right Management, BC Advisors, LLC may be deemed to be the beneficial owner of the securities beneficially owned (or deemed beneficially owned) by Northern Right Management. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein that may be beneficially owned by any of the other Reporting Persons, in each case, except to the extent of any pecuniary interest therein, and this report shall not be deemed an admission that any such entity or person is the beneficial owner of, or has any pecuniary interest in, F4 · ownership.nature: (Continued from footnote 3) such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| November 15, 2023 Filed Nov 16, 2023 02:06 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 23,384 | $1.99 | $46,520.13 |
DisclosureSEC source: 0000899243-23-020405 · doc4.xml · nonDerivative · entry 3 Northern Right Capital Management, L.P. · CIK 0001346543 · 10% owner · Member of 13D 10% Group Northern Right Capital (QP), L.P. · CIK 0001451722 · 10% owner BC Advisors LLC · CIK 0001349003 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 4,193,168 F3 · shares: Represents 19,878 shares of common stock of GEG purchased by Northern Right QP and 3,506 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 2,279,478 shares of common stock of GEG. The Managed Accounts, on behalf of certain investment advisory clients of Northern Right Management, beneficially own 1,913,690 shares of common stock of GEG. F5 · ownership.nature: As general partner and investment manager of Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by Northern Right QP. As the investment manager of the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the securities held by such accounts. As the general partner of Northern Right Management, BC Advisors, LLC may be deemed to be the beneficial owner of the securities beneficially owned (or deemed beneficially owned) by Northern Right Management. F6 · ownership.nature: (Continued 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 |
| November 14, 2023 Filed Nov 16, 2023 02:06 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 185,562 | $1.99 | $368,915.81 |
DisclosureSEC source: 0000899243-23-020405 · doc4.xml · nonDerivative · entry 2 Northern Right Capital Management, L.P. · CIK 0001346543 · 10% owner · Member of 13D 10% Group Northern Right Capital (QP), L.P. · CIK 0001451722 · 10% owner BC Advisors LLC · CIK 0001349003 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 4,169,784 F2 · shares: Represents 157,711 shares of common stock of GEG purchased by Northern Right QP and 27,851 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 2,279,478 shares of common stock of GEG. The Managed Accounts, on behalf of certain investment advisory clients of Northern Right Management, beneficially own 1,913,690 shares of common stock of GEG. F5 · ownership.nature: As general partner and investment manager of Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by Northern Right QP. As the investment manager of the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the securities held by such accounts. As the general partner of Northern Right Management, BC Advisors, LLC may be deemed to be the beneficial owner of the securities beneficially owned (or deemed beneficially owned) by Northern Right Management. F6 · ownership.nature: (Continued 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 |
| November 13, 2023 Filed Nov 16, 2023 02:06 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 14,438 | $1.95 | $28,112.23 |
DisclosureSEC source: 0000899243-23-020405 · doc4.xml · nonDerivative · entry 1 Northern Right Capital Management, L.P. · CIK 0001346543 · 10% owner · Member of 13D 10% Group Northern Right Capital (QP), L.P. · CIK 0001451722 · 10% owner BC Advisors LLC · CIK 0001349003 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 3,984,222 F1 · shares: Represents 12,306 shares of common stock of GEG purchased by Northern Right Capital (QP), L.P. ("Northern Right QP") and 2,132 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. F4 · ownership.nature: Northern Right QP beneficially owns and has the power to vote or to direct the vote of 2,279,478 shares of common stock of GEG. The Managed Accounts, on behalf of certain investment advisory clients of Northern Right Management, beneficially own 1,913,690 shares of common stock of GEG. F5 · ownership.nature: As general partner and investment manager of Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by Northern Right QP. As the investment manager of the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the securities held by such accounts. As the general partner of Northern Right Management, BC Advisors, LLC may be deemed to be the beneficial owner of the securities beneficially owned (or deemed beneficially owned) by Northern Right Management. F6 · ownership.nature: (Continued 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 |
| June 06, 2023 Filed Jun 7, 2023 01:03 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 2,970 | $2.10 | $6,237.00 |
DisclosureSEC source: 0000899243-23-014629 · doc4.xml · nonDerivative · entry 3 Northern Right Capital Management, L.P. · CIK 0001346543 · 10% owner · Member of 13D 10% Group Northern Right Capital (QP), L.P. · CIK 0001451722 · 10% owner BC Advisors LLC · CIK 0001349003 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 3,969,784 F3 · shares: Represents 2,547 shares of common stock of GEG purchased by Northern Right QP and 423 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 2,089,583 shares of common stock of GEG. The Managed Accounts, on behalf of certain investment advisory clients of Northern Right Management, beneficially own 1,880,201 shares of common stock of GEG. F5 · ownership.nature: As general partner and investment manager of Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by Northern Right QP. As the investment manager of the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the securities held by such accounts. As the general partner of Northern Right Management, BC Advisors, LLC may be deemed to be the beneficial owner of the securities beneficially owned (or deemed beneficially owned) by Northern Right Management. F6 · ownership.nature: (Continued 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 |
| June 05, 2023 Filed Jun 7, 2023 01:03 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 8,850 | $2.08 | $18,392.96 |
DisclosureSEC source: 0000899243-23-014629 · doc4.xml · nonDerivative · entry 2 Northern Right Capital Management, L.P. · CIK 0001346543 · 10% owner · Member of 13D 10% Group Northern Right Capital (QP), L.P. · CIK 0001451722 · 10% owner BC Advisors LLC · CIK 0001349003 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 3,966,814 F2 · shares: Represents 7,591 shares of common stock of GEG purchased by Northern Right QP and 1,259 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 2,089,583 shares of common stock of GEG. The Managed Accounts, on behalf of certain investment advisory clients of Northern Right Management, beneficially own 1,880,201 shares of common stock of GEG. F5 · ownership.nature: As general partner and investment manager of Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by Northern Right QP. As the investment manager of the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the securities held by such accounts. As the general partner of Northern Right Management, BC Advisors, LLC may be deemed to be the beneficial owner of the securities beneficially owned (or deemed beneficially owned) by Northern Right Management. F6 · ownership.nature: (Continued 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 |
| June 02, 2023 Filed Jun 7, 2023 01:03 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 3,005 | $2.10 | $6,320.72 |
DisclosureSEC source: 0000899243-23-014629 · doc4.xml · nonDerivative · entry 1 Northern Right Capital Management, L.P. · CIK 0001346543 · 10% owner · Member of 13D 10% Group Northern Right Capital (QP), L.P. · CIK 0001451722 · 10% owner BC Advisors LLC · CIK 0001349003 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 3,957,964 F1 · shares: Represents 2,578 shares of common stock of GEG purchased by Northern Right Capital (QP), L.P. ("Northern Right QP") and 427 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. F4 · ownership.nature: Northern Right QP beneficially owns and has the power to vote or to direct the vote of 2,089,583 shares of common stock of GEG. The Managed Accounts, on behalf of certain investment advisory clients of Northern Right Management, beneficially own 1,880,201 shares of common stock of GEG. F5 · ownership.nature: As general partner and investment manager of Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by Northern Right QP. As the investment manager of the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the securities held by such accounts. As the general partner of Northern Right Management, BC Advisors, LLC may be deemed to be the beneficial owner of the securities beneficially owned (or deemed beneficially owned) by Northern Right Management. F6 · ownership.nature: (Continued 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 |
| May 31, 2023 Filed Jun 1, 2023 00:11 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 4,678 | $2.06 | $9,626.39 |
DisclosureSEC source: 0000899243-23-014189 · doc4.xml · nonDerivative · entry 2 Northern Right Capital Management, L.P. · CIK 0001346543 · 10% owner · Member of 13D 10% Group Northern Right Capital (QP), L.P. · CIK 0001451722 · 10% owner BC Advisors LLC · CIK 0001349003 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 3,954,959 F2 · shares: Represents 4,012 shares of common stock of GEG purchased by Northern Right QP and 666 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. F3 · ownership.nature: Northern Right QP beneficially owns and has the power to vote or to direct the vote of 2,076,867 shares of common stock of GEG. The Managed Accounts, on behalf of certain investment advisory clients of Northern Right Management, beneficially own 1,878,092 shares of common stock of GEG. F4 · ownership.nature: As general partner and investment manager of Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by Northern Right QP. As the investment manager of the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the securities held by such accounts. As the general partner of Northern Right Management, BC Advisors, LLC may be deemed to be the beneficial owner of the securities beneficially owned (or deemed beneficially owned) by Northern Right Management. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein that may be beneficially owned by any of the other Reporting Persons, in each case, except to the extent of any pecuniary interest therein, and this report shall not be deemed an admission that any such entity or person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act F5 · ownership.nature: (Continued Footnote 4) of 1934, as amended, or for any other purpose. Read SEC document |
| May 26, 2023 Filed Jun 1, 2023 00:11 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 4,491 | $2.05 | $9,206.10 |
DisclosureSEC source: 0000899243-23-014189 · doc4.xml · nonDerivative · entry 1 Northern Right Capital Management, L.P. · CIK 0001346543 · 10% owner · Member of 13D 10% Group Northern Right Capital (QP), L.P. · CIK 0001451722 · 10% owner BC Advisors LLC · CIK 0001349003 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 3,950,281 F1 · shares: Represents 3,852 shares of common stock of GEG purchased by Northern Right Capital (QP), L.P. ("Northern Right QP") and 639 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. F3 · ownership.nature: Northern Right QP beneficially owns and has the power to vote or to direct the vote of 2,076,867 shares of common stock of GEG. The Managed Accounts, on behalf of certain investment advisory clients of Northern Right Management, beneficially own 1,878,092 shares of common stock of GEG. F4 · ownership.nature: As general partner and investment manager of Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by Northern Right QP. As the investment manager of the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the securities held by such accounts. As the general partner of Northern Right Management, BC Advisors, LLC may be deemed to be the beneficial owner of the securities beneficially owned (or deemed beneficially owned) by Northern Right Management. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein that may be beneficially owned by any of the other Reporting Persons, in each case, except to the extent of any pecuniary interest therein, and this report shall not be deemed an admission that any such entity or person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act F5 · ownership.nature: (Continued Footnote 4) of 1934, as amended, or for any other purpose. Read SEC document |
| May 22, 2023 Filed May 23, 2023 01:32 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 2,612 | $2.06 | $5,380.72 |
DisclosureSEC source: 0000899243-23-013682 · doc4.xml · nonDerivative · entry 3 Northern Right Capital Management, L.P. · CIK 0001346543 · 10% owner · Member of 13D 10% Group Northern Right Capital (QP), L.P. · CIK 0001451722 · 10% owner BC Advisors LLC · CIK 0001349003 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 3,945,790 F3 · shares: Represents 2,240 shares of common stock of GEG purchased by Northern Right QP and 372 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 2,069,003 shares of common stock of GEG. The Managed Accounts, on behalf of certain investment advisory clients of Northern Right Management, beneficially own 1,876,787 shares of common stock of GEG. F5 · ownership.nature: As general partner and investment manager of Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by Northern Right QP. As the investment manager of the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the securities held by such accounts. As the general partner of Northern Right Management, BC Advisors, LLC may be deemed to be the beneficial owner of the securities beneficially owned (or deemed beneficially owned) by Northern Right Management. 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 |
| May 19, 2023 Filed May 23, 2023 01:32 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 243,991 | $2.00 | $488,421.18 |
DisclosureSEC source: 0000899243-23-013682 · doc4.xml · nonDerivative · entry 2 Northern Right Capital Management, L.P. · CIK 0001346543 · 10% owner · Member of 13D 10% Group Northern Right Capital (QP), L.P. · CIK 0001451722 · 10% owner BC Advisors LLC · CIK 0001349003 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 3,943,178 F2 · shares: Represents 209,280 shares of common stock of GEG purchased by Northern Right QP and 34,711 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 2,069,003 shares of common stock of GEG. The Managed Accounts, on behalf of certain investment advisory clients of Northern Right Management, beneficially own 1,876,787 shares of common stock of GEG. F5 · ownership.nature: As general partner and investment manager of Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by Northern Right QP. As the investment manager of the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the securities held by such accounts. As the general partner of Northern Right Management, BC Advisors, LLC may be deemed to be the beneficial owner of the securities beneficially owned (or deemed beneficially owned) by Northern Right Management. 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 |
| May 18, 2023 Filed May 23, 2023 01:32 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 50,000 | $1.97 | $98,500.00 |
DisclosureSEC source: 0000899243-23-013682 · doc4.xml · nonDerivative · entry 1 Northern Right Capital Management, L.P. · CIK 0001346543 · 10% owner · Member of 13D 10% Group Northern Right Capital (QP), L.P. · CIK 0001451722 · 10% owner BC Advisors LLC · CIK 0001349003 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 3,699,187 F1 · shares: Represents 42,887 shares of common stock of GEG purchased by Northern Right Capital (QP), L.P. ("Northern Right QP") and 7,113 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. F4 · ownership.nature: Northern Right QP beneficially owns and has the power to vote or to direct the vote of 2,069,003 shares of common stock of GEG. The Managed Accounts, on behalf of certain investment advisory clients of Northern Right Management, beneficially own 1,876,787 shares of common stock of GEG. F5 · ownership.nature: As general partner and investment manager of Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by Northern Right QP. As the investment manager of the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the securities held by such accounts. As the general partner of Northern Right Management, BC Advisors, LLC may be deemed to be the beneficial owner of the securities beneficially owned (or deemed beneficially owned) by Northern Right Management. 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 |
| March 16, 2023 Filed Mar 20, 2023 23:00 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 23,630 | $2.37 | $55,988.92 |
DisclosureSEC source: 0000899243-23-009138 · doc4.xml · nonDerivative · entry 1 Northern Right Capital Management, L.P. · CIK 0001346543 · 10% owner · Member of 13D 10% Group Northern Right Capital (QP), L.P. · CIK 0001451722 · 10% owner BC Advisors LLC · CIK 0001349003 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 3,649,187 F1 · shares: Represents 20,364 shares of common stock of GEG purchased by Northern Right Capital (QP), L.P. ("Northern Right QP") and 3,266 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 · ownership.nature: Northern Right QP beneficially owns and has the power to vote or to direct the vote of 1,814,596 shares of common stock of GEG. The Managed Accounts, on behalf of certain investment advisory clients of Northern Right Management, beneficially own 1,834,591 shares of common stock of GEG. F3 · ownership.nature: As general partner and investment manager of Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by Northern Right QP. As the investment manager of the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the securities held by such accounts. As the general partner of Northern Right Management, BC Advisors, LLC may be deemed to be the beneficial owner of the securities beneficially owned (or deemed beneficially owned) by Northern Right Management. F4 · ownership.nature: (Continued from Footnote 3) 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 |
| March 10, 2023 Filed Mar 14, 2023 00:48 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 16,816 | $2.24 | $37,615.71 |
DisclosureSEC source: 0000899243-23-008273 · doc4.xml · nonDerivative · entry 3 Northern Right Capital Management, L.P. · CIK 0001346543 · 10% owner · Member of 13D 10% Group Northern Right Capital (QP), L.P. · CIK 0001451722 · 10% owner BC Advisors LLC · CIK 0001349003 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,625,557 F3 · shares: Represents 14,437 shares of common stock of GEG purchased by Northern Right QP and 2,379 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 1,794,232 shares of common stock of GEG. The Managed Accounts, on behalf of certain investment advisory clients of Northern Right Management, beneficially own 1,831,325 shares of common stock of GEG. F5 · ownership.nature: As general partner and investment manager of Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by Northern Right QP. As the investment manager of the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the securities held by such accounts. As the general partner of Northern Right Management, BC Advisors, LLC may be deemed to be the beneficial owner of the securities beneficially owned (or deemed beneficially owned) by Northern Right Management. 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 |
| March 09, 2023 Filed Mar 14, 2023 00:48 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 28,613 | $2.31 | $66,116.06 |
DisclosureSEC source: 0000899243-23-008273 · doc4.xml · nonDerivative · entry 2 Northern Right Capital Management, L.P. · CIK 0001346543 · 10% owner · Member of 13D 10% Group Northern Right Capital (QP), L.P. · CIK 0001451722 · 10% owner BC Advisors LLC · CIK 0001349003 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,608,741 F2 · shares: Represents 24,564 shares of common stock of GEG purchased by Northern Right QP and 4,049 shares of common stock of GEG purchased by managed accounts (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 1,794,232 shares of common stock of GEG. The Managed Accounts, on behalf of certain investment advisory clients of Northern Right Management, beneficially own 1,831,325 shares of common stock of GEG. F5 · ownership.nature: As general partner and investment manager of Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by Northern Right QP. As the investment manager of the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the securities held by such accounts. As the general partner of Northern Right Management, BC Advisors, LLC may be deemed to be the beneficial owner of the securities beneficially owned (or deemed beneficially owned) by Northern Right Management. 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 |
| March 01, 2023 Filed Mar 14, 2023 00:48 UTC | Great Elm Group, Inc. GEG · Entity 7060 | OtherCommon Stock | 152,315 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-23-008273 · doc4.xml · nonDerivative · entry 1 Northern Right Capital Management, L.P. · CIK 0001346543 · 10% owner · Member of 13D 10% Group Northern Right Capital (QP), L.P. · CIK 0001451722 · 10% owner BC Advisors LLC · CIK 0001349003 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,580,128 F1 · shares: Northern Right Capital Management, L.P. ("Northern Right Management") is the general partner and investment manager of NRC Partners I, LP ("NRC Partners I") and Northern Right Capital (QP), L.P. ("Northern Right QP"), and Northern Right QP acquired 152,315 shares of common stock of Great Elm Group, Inc. ("GEG") for no consideration upon a distribution by NRC Partners I. F4 · ownership.nature: Northern Right QP beneficially owns and has the power to vote or to direct the vote of 1,794,232 shares of common stock of GEG. The Managed Accounts, on behalf of certain investment advisory clients of Northern Right Management, beneficially own 1,831,325 shares of common stock of GEG. F5 · ownership.nature: As general partner and investment manager of Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the securities held by Northern Right QP. As the investment manager of the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the securities held by such accounts. As the general partner of Northern Right Management, BC Advisors, LLC may be deemed to be the beneficial owner of the securities beneficially owned (or deemed beneficially owned) by Northern Right Management. 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 |
| February 24, 2023 Filed Feb 27, 2023 14:02 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 13,276 | $2.14 | $28,423.92 |
DisclosureSEC source: 0000899243-23-006170 · 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: 3,580,128 F2 · shares: Represents 8,605 shares of common stock of GEG purchased by Northern Right QP, 2,795 shares of common stock of GEG purchased by NRC Partners I and 1,876 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. F3 · ownership.nature: Northern Right QP beneficially owns and has the power to vote or to direct the vote of 1,602,916 shares of common stock of GEG. NRC Partners I beneficially owns and has the power to vote or to direct the vote of 152,315 shares of common stock of GEG. The Managed Accounts, on behalf of certain investment advisory clients of Northern Right Management, beneficially own 1,824,897 shares of common stock of GEG. F4 · 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. F5 · ownership.nature: (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. Read SEC document |
| February 22, 2023 Filed Feb 27, 2023 14:02 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 15,062 | $2.15 | $32,381.79 |
DisclosureSEC source: 0000899243-23-006170 · 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: 3,566,852 F1 · shares: Represents 9,756 shares of common stock of Great Elm Group, Inc. ("GEG") purchased by Northern Right Capital (QP), L.P. ("Northern Right QP"), 3,172 shares of common stock of GEG purchased by NRC Partners I, LP ("NRC Partners I") and 2,134 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. F3 · ownership.nature: Northern Right QP beneficially owns and has the power to vote or to direct the vote of 1,602,916 shares of common stock of GEG. NRC Partners I beneficially owns and has the power to vote or to direct the vote of 152,315 shares of common stock of GEG. The Managed Accounts, on behalf of certain investment advisory clients of Northern Right Management, beneficially own 1,824,897 shares of common stock of GEG. F4 · 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. F5 · ownership.nature: (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. Read SEC document |
| November 07, 2022 Filed Nov 9, 2022 01:35 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 1,253 | $1.99 | $2,497.48 |
DisclosureSEC source: 0000899243-22-035396 · 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: 3,551,790 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 818 shares of common stock of GEG purchased by Northern Right QP, 265 shares of common stock of GEG purchased by NRC Partners I and 170 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 1,584,555 shares of common stock of GEG. NRC Partners I beneficially owns and has the power to vote or to direct the vote of 146,348 shares of common stock of GEG. The Managed Accounts, on behalf of certain investment advisory clients of Northern Right Management, beneficially own 1,820,887 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 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 |
| November 04, 2022 Filed Nov 9, 2022 01:35 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 5,579 | $2.00 | $11,136.80 |
DisclosureSEC source: 0000899243-22-035396 · 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: 3,550,537 F1 · shares: Represents 3,642 shares of common stock of Great Elm Group, Inc. ("GEG") purchased by Northern Right Capital (QP), L.P. ("Northern Right QP"), 1,181 shares of common stock of GEG purchased by NRC Partners I, LP ("NRC Partners I") and 756 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 1,584,555 shares of common stock of GEG. NRC Partners I beneficially owns and has the power to vote or to direct the vote of 146,348 shares of common stock of GEG. The Managed Accounts, on behalf of certain investment advisory clients of Northern Right Management, beneficially own 1,820,887 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 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 |
| October 28, 2022 Filed Oct 29, 2022 00:31 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 4,468 | $2.00 | $8,919.92 |
DisclosureSEC source: 0000899243-22-034499 · 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: 3,544,958 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 2,904 shares of common stock of GEG purchased by Northern Right QP, 951 shares of common stock of GEG purchased by NRC Partners I and 613 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 1,580,095 shares of common stock of GEG. NRC Partners I beneficially owns and has the power to vote or to direct the vote of 144,902 shares of common stock of GEG. The Managed Accounts, on behalf of certain investment advisory clients of Northern Right Management, beneficially own 1,819,961 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 |
| October 27, 2022 Filed Oct 29, 2022 00:31 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 3,964 | $1.99 | $7,885.59 |
DisclosureSEC source: 0000899243-22-034499 · 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: 3,540,490 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 2,582 shares of common stock of GEG purchased by Northern Right QP, 843 shares of common stock of GEG purchased by NRC Partners I and 539 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 1,580,095 shares of common stock of GEG. NRC Partners I beneficially owns and has the power to vote or to direct the vote of 144,902 shares of common stock of GEG. The Managed Accounts, on behalf of certain investment advisory clients of Northern Right Management, beneficially own 1,819,961 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 |
| October 26, 2022 Filed Oct 29, 2022 00:31 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 3,168 | $1.99 | $6,316.36 |
DisclosureSEC source: 0000899243-22-034499 · 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: 3,536,526 F1 · shares: Represents 2,062 shares of common stock of Great Elm Group, Inc. ("GEG") purchased by Northern Right Capital (QP), L.P. ("Northern Right QP"), 675 shares of common stock of GEG purchased by NRC Partners I, LP ("NRC Partners I") and 431 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 1,580,095 shares of common stock of GEG. NRC Partners I beneficially owns and has the power to vote or to direct the vote of 144,902 shares of common stock of GEG. The Managed Accounts, on behalf of certain investment advisory clients of Northern Right Management, beneficially own 1,819,961 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 |
| October 21, 2022 Filed Oct 26, 2022 00:38 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 5,324 | $2.00 | $10,647.47 |
DisclosureSEC source: 0000899243-22-034154 · 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: 3,533,358 F1 · shares: Represents 3,484 shares of common stock of Great Elm Group, Inc. ("GEG") purchased by Northern Right Capital (QP), L.P. ("Northern Right QP"), 1,130 shares of common stock of GEG purchased by NRC Partners I, LP ("NRC Partners I") and 710 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. F3 · ownership.nature: Northern Right QP beneficially owns and has the power to vote or to direct the vote of 1,572,547 shares of common stock of GEG. NRC Partners I beneficially owns and has the power to vote or to direct the vote of 142,433 shares of common stock of GEG. The Managed Accounts, on behalf of certain investment advisory clients of Northern Right Management, beneficially own 1,818,378 shares of common stock of GEG. F4 · 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. F5 · ownership.nature: (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. Read SEC document |
| October 18, 2022 Filed Oct 21, 2022 00:06 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 21,493 | $2.00 | $42,955.91 |
DisclosureSEC source: 0000899243-22-033906 · 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: 3,528,034 F1 · shares: Represents 14,039 shares of common stock of Great Elm Group, Inc. ("GEG") purchased by Northern Right Capital (QP), L.P. ("Northern Right QP"), 4,584 shares of common stock of GEG purchased by NRC Partners I, LP ("NRC Partners I") and 2,870 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. F3 · ownership.nature: Northern Right QP beneficially owns and has the power to vote or to direct the vote of 1,569,063 shares of common stock of GEG. NRC Partners I beneficially owns and has the power to vote or to direct the vote of 141,303 shares of common stock of GEG. The Managed Accounts, on behalf of certain investment advisory clients of Northern Right Management, beneficially own 1,817,668 shares of common stock of GEG. F4 · 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. F5 · ownership.nature: (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. Read SEC document |
| October 14, 2022 Filed Oct 14, 2022 22:40 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 5,278 | $2.00 | $10,551.25 |
DisclosureSEC source: 0000899243-22-033681 · 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: 3,506,541 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 3,477 shares of common stock of GEG purchased by Northern Right QP, 1,114 shares of common stock of GEG purchased by NRC Partners I and 687 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 1,555,024 shares of common stock of GEG. NRC Partners I beneficially owns and has the power to vote or to direct the vote of 136,719 shares of common stock of GEG. The Managed Accounts, on behalf of certain investment advisory clients of Northern Right Management, beneficially own 1,814,798 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 |
| October 13, 2022 Filed Oct 14, 2022 22:40 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 6,594 | $2.00 | $13,187.34 |
DisclosureSEC source: 0000899243-22-033681 · 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: 3,501,263 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 4,328 shares of common stock of GEG purchased by Northern Right QP, 1,397 shares of common stock of GEG purchased by NRC Partners I and 869 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 1,555,024 shares of common stock of GEG. NRC Partners I beneficially owns and has the power to vote or to direct the vote of 136,719 shares of common stock of GEG. The Managed Accounts, on behalf of certain investment advisory clients of Northern Right Management, beneficially own 1,814,798 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 |
| October 12, 2022 Filed Oct 14, 2022 22:40 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 1,578 | $2.00 | $3,150.00 |
DisclosureSEC source: 0000899243-22-033681 · 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: 3,494,669 F1 · shares: Represents 1,038 shares of common stock of Great Elm Group, Inc. ("GEG") purchased by Northern Right Capital (QP), L.P. ("Northern Right QP"), 334 shares of common stock of GEG purchased by NRC Partners I, LP ("NRC Partners I") and 206 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 1,555,024 shares of common stock of GEG. NRC Partners I beneficially owns and has the power to vote or to direct the vote of 136,719 shares of common stock of GEG. The Managed Accounts, on behalf of certain investment advisory clients of Northern Right Management, beneficially own 1,814,798 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 |
| October 11, 2022 Filed Oct 12, 2022 01:26 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 6,002 | $2.00 | $11,993.80 |
DisclosureSEC source: 0000899243-22-033429 · doc4.xml · nonDerivative · entry 4 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: 3,493,091 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 · shares: Represents 2,813 shares of common stock of GEG purchased by Northern Right QP, 897 shares of common stock of GEG purchased by NRC Partners I and 2,292 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. F6 · ownership.nature: Northern Right QP beneficially owns and has the power to vote or to direct the vote of 1,546,181 shares of common stock of GEG. NRC Partners I beneficially owns and has the power to vote or to direct the vote of 133,874 shares of common stock of GEG. The Managed Accounts, on behalf of certain investment advisory clients of Northern Right Management, beneficially own 1,813,036 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 |
| October 10, 2022 Filed Oct 12, 2022 01:26 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 3,347 | $2.00 | $6,694.00 |
DisclosureSEC source: 0000899243-22-033429 · 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: 3,487,089 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 1,103 shares of common stock of GEG purchased by Northern Right QP, 354 shares of common stock of GEG purchased by NRC Partners I and 1,890 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. F6 · ownership.nature: Northern Right QP beneficially owns and has the power to vote or to direct the vote of 1,546,181 shares of common stock of GEG. NRC Partners I beneficially owns and has the power to vote or to direct the vote of 133,874 shares of common stock of GEG. The Managed Accounts, on behalf of certain investment advisory clients of Northern Right Management, beneficially own 1,813,036 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 |
| October 07, 2022 Filed Oct 12, 2022 01:26 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 1,223 | $2.00 | $2,445.76 |
DisclosureSEC source: 0000899243-22-033429 · 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: 3,483,742 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 403 shares of common stock of GEG purchased by Northern Right QP, 129 shares of common stock of GEG purchased by NRC Partners I and 691 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. F6 · ownership.nature: Northern Right QP beneficially owns and has the power to vote or to direct the vote of 1,546,181 shares of common stock of GEG. NRC Partners I beneficially owns and has the power to vote or to direct the vote of 133,874 shares of common stock of GEG. The Managed Accounts, on behalf of certain investment advisory clients of Northern Right Management, beneficially own 1,813,036 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 |
| October 06, 2022 Filed Oct 12, 2022 01:26 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 2,214 | $2.00 | $4,428.00 |
DisclosureSEC source: 0000899243-22-033429 · 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: 3,482,519 F1 · shares: Represents 725 shares of common stock of Great Elm Group, Inc. ("GEG") purchased by Northern Right Capital (QP), L.P. ("Northern Right QP"), 235 shares of common stock of GEG purchased by NRC Partners I, LP ("NRC Partners I") and 1,254 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. F6 · ownership.nature: Northern Right QP beneficially owns and has the power to vote or to direct the vote of 1,546,181 shares of common stock of GEG. NRC Partners I beneficially owns and has the power to vote or to direct the vote of 133,874 shares of common stock of GEG. The Managed Accounts, on behalf of certain investment advisory clients of Northern Right Management, beneficially own 1,813,036 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 |
| September 28, 2022 Filed Sep 29, 2022 01:29 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 5,561 | $2.00 | $11,122.00 |
DisclosureSEC source: 0000899243-22-032212 · 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: 3,480,305 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 1,827 shares of common stock of GEG purchased by Northern Right QP, 588 shares of common stock of GEG purchased by NRC Partners I and 3,146 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 1,541,137 shares of common stock of GEG. NRC Partners I beneficially owns and has the power to vote or to direct the vote of 132,259 shares of common stock of GEG. The Managed Accounts, on behalf of certain investment advisory clients of Northern Right Management, beneficially own 1,806,909 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 |
| September 27, 2022 Filed Sep 29, 2022 01:29 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 13,464 | $1.99 | $26,844.52 |
DisclosureSEC source: 0000899243-22-032212 · 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: 3,474,744 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 4,444 shares of common stock of GEG purchased by Northern Right QP, 1,415 shares of common stock of GEG purchased by NRC Partners I and 7,605 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 1,541,137 shares of common stock of GEG. NRC Partners I beneficially owns and has the power to vote or to direct the vote of 132,259 shares of common stock of GEG. The Managed Accounts, on behalf of certain investment advisory clients of Northern Right Management, beneficially own 1,806,909 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 |
| September 26, 2022 Filed Sep 29, 2022 01:29 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 92,309 | $1.99 | $183,491.83 |
DisclosureSEC source: 0000899243-22-032212 · 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: 3,461,280 F1 · shares: Represents 30,455 shares of common stock of Great Elm Group, Inc. ("GEG") purchased by Northern Right Capital (QP), L.P. ("Northern Right QP"), 9,708 shares of common stock of GEG purchased by NRC Partners I, LP ("NRC Partners I") and 52,146 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 1,541,137 shares of common stock of GEG. NRC Partners I beneficially owns and has the power to vote or to direct the vote of 132,259 shares of common stock of GEG. The Managed Accounts, on behalf of certain investment advisory clients of Northern Right Management, beneficially own 1,806,909 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 |
| September 23, 2022 Filed Sep 23, 2022 23:32 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 7,375 | $2.05 | $15,107.69 |
DisclosureSEC source: 0000899243-22-031949 · 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: 3,368,971 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 2,428 shares of common stock of GEG purchased by Northern Right QP, 778 shares of common stock of GEG purchased by NRC Partners I and 4,169 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 1,504,411 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.