organization · Reporting owner

Imperial Capital Asset Management, LLC

Disclosed activity across 1 company

Tapewire entity: 43015
SEC CIK: 0002047704

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
Great Elm Group, Inc.GEG · Entity 7060	10% owner	September 21, 2026	September 23, 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.

Great Elm Group, Inc.

Report date September 21, 2026 · Filed September 23, 2026

Jointly reported with Reese Jason W., LONG BALL PARTNERS LLC, Imperial Capital Group Holdings II, LLC

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	1,141,828	Reported balance After 2026-09-21 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2026-09-21 · Grant · Acquired 137,501 · Balance 1,141,828 F4: Mr. Reese was awarded 137,501 shares of restricted stock of Great Elm Capital Corp. (the "Issuer") on September 21, 2026 (the "Grant Date"). The restricted stock vests in four equal annual installments, with the first installment vesting on the Grant Date, and the remaining installments vesting on each of September 20, 2027, September 20, 2028 and September 20, 2029, contingent upon Mr. Reese's continued service as a member of the board of directors of the Issuer.
Common stock, par value $0.01 per share ("Common Stock")SEC Table I · non-derivative	IndirectSee Footnotes	6,379,646	Reported balance Holding disclosure · report date 2026-09-21 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 6,379,646 F1: The shares of Common Stock are held directly by Long Ball Partners, LLC ("Long Ball"), Imperial Capital Asset Management, LLC ("ICAM") and Imperial Capital Group Holdings II, LLC ("ICGH2"). Mr. Reese is portfolio manager to Long Ball and is Chairman and Chief Executive Officer of ICAM, which is the managing member of and investment manager to Long Ball. Mr. Reese is one of the owners of Imperial Capital Group Holdings, LLC, which is the managing member of ICGH2. Mr. Reese has voting and dispositive power over the shares of Common Stock held directly by each of Long Ball, ICAM and ICGH2. F2: Consists of 5,009,662 shares held directly by Long Ball, 909,084 shares held directly by ICAM, and 460,900 shares held directly by ICGH2. F3: Each of Mr. Reese, ICAM, Long Ball and ICGH2 disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest.

Filing footnotes · ownership attribution and instrument terms

F1: The shares of Common Stock are held directly by Long Ball Partners, LLC ("Long Ball"), Imperial Capital Asset Management, LLC ("ICAM") and Imperial Capital Group Holdings II, LLC ("ICGH2"). Mr. Reese is portfolio manager to Long Ball and is Chairman and Chief Executive Officer of ICAM, which is the managing member of and investment manager to Long Ball. Mr. Reese is one of the owners of Imperial Capital Group Holdings, LLC, which is the managing member of ICGH2. Mr. Reese has voting and dispositive power over the shares of Common Stock held directly by each of Long Ball, ICAM and ICGH2.

F2: Consists of 5,009,662 shares held directly by Long Ball, 909,084 shares held directly by ICAM, and 460,900 shares held directly by ICGH2.

F3: Each of Mr. Reese, ICAM, Long Ball and ICGH2 disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest.

F4: Mr. Reese was awarded 137,501 shares of restricted stock of Great Elm Capital Corp. (the "Issuer") on September 21, 2026 (the "Grant Date"). The restricted stock vests in four equal annual installments, with the first installment vesting on the Grant Date, and the remaining installments vesting on each of September 20, 2027, September 20, 2028 and September 20, 2029, contingent upon Mr. Reese's continued service as a member of the board of directors of the Issuer.

Transaction history

JSON API

Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
September 21, 2026 Filed Sep 23, 2026 20:15 UTC	Great Elm Group, Inc. GEG · Entity 7060	GrantCommon Stock	137,501	$0.00	$0.00	Disclosure SEC source: 0001193125-26-399423 · ownership.xml · nonDerivative · entry 2 Reese Jason W. · CIK 0001479613 · Director · See remarks · 10% owner Imperial Capital Asset Management, LLC · CIK 0002047704 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Imperial Capital Group Holdings II, LLC · CIK 0001961798 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,141,828 F4 · kind: Mr. Reese was awarded 137,501 shares of restricted stock of Great Elm Capital Corp. (the "Issuer") on September 21, 2026 (the "Grant Date"). The restricted stock vests in four equal annual installments, with the first installment vesting on the Grant Date, and the remaining installments vesting on each of September 20, 2027, September 20, 2028 and September 20, 2029, contingent upon Mr. Reese's continued service as a member of the board of directors of the Issuer. Read SEC document
May 28, 2026 Filed Jun 2, 2026 01:30 UTC	Great Elm Group, Inc. GEG · Entity 7060	GiftCommon Stock	99,637	$0.00	$0.00	Disclosure SEC source: 0001193125-26-252179 · ownership.xml · nonDerivative · entry 2 Reese Jason W. · CIK 0001479613 · Director · See remarks · 10% owner Imperial Capital Asset Management, LLC · CIK 0002047704 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Imperial Capital Group Holdings II, LLC · CIK 0001961798 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,004,327 F4 · kind: Reflects an exempt gift made by Mr. Reese to a charitable giving fund. Read SEC document
March 03, 2026 Filed Mar 5, 2026 21:20 UTC	Great Elm Group, Inc. GEG · Entity 7060	GrantCommon Stock	27,022	$0.00	$0.00	Disclosure SEC source: 0001193125-26-094011 · ownership.xml · nonDerivative · entry 2 Reese Jason W. · CIK 0001479613 · Director · See remarks · 10% owner Imperial Capital Asset Management, LLC · CIK 0002047704 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Imperial Capital Group Holdings II, LLC · CIK 0001961798 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,103,964 F4 · kind: The Reporting Person was awarded 27,022 shares of restricted stock of GEG, which vest in equal quarterly installments on the end of each quarter beginning on March 31, 2026 through December 31, 2026, contingent upon continued service as a member of the board of directors of Great Elm Capital Corp. Read SEC document
November 11, 2025 Filed Nov 13, 2025 21:15 UTC	Great Elm Group, Inc. GEG · Entity 7060	GiftCommon Stock	100,000	$0.00	$0.00	Disclosure SEC source: 0001193125-25-280194 · ownership.xml · nonDerivative · entry 2 Reese Jason W. · CIK 0001479613 · Director · See remarks · 10% owner Imperial Capital Asset Management, LLC · CIK 0002047704 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Imperial Capital Group Holdings II, LLC · CIK 0001961798 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,076,942 F4 · kind: Reflects an exempt gift made by Mr. Reese to a charitable giving fund. F5 · balance_after: Reflects shares directly beneficially owned by Mr. Reese. Read SEC document
September 20, 2025 Filed Sep 23, 2025 22:31 UTC	Great Elm Group, Inc. GEG · Entity 7060	GrantCommon Stock	183,823	$0.00	$0.00	Disclosure SEC source: 0001193125-25-213703 · ownership.xml · nonDerivative · entry 2 Reese Jason W. · CIK 0001479613 · Director · See remarks · 10% owner Imperial Capital Asset Management, LLC · CIK 0002047704 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Imperial Capital Group Holdings II, LLC · CIK 0001961798 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,176,942 F4 · shares: On September 20, 2025, Jason Reese was awarded 183,823 shares of restricted stock, 25% of which vested on September 20, 2025, with 25% to vest on each of September 20, 2026, September 20, 2027 and September 20, 2028. F5 · balance_after: Reflects shares directly beneficially owned by Mr. Reese. F3 · ownership.direct: Each of Mr. Reese, ICAM, Long Ball and ICGH2 disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. 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.