organization · Reporting owner
LONG BALL PARTNERS LLC
Disclosed activity across 2 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 | January 05, 2021 | January 06, 2021 |
| 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.
Forest Investments, Inc.
Report date January 05, 2021 · Filed January 06, 2021
Jointly reported with Reese Jason W., Imperial Capital Asset Management, LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common stock, par value $0.001 per shareSEC Table I · non-derivative | Direct | 89,740 |
Reported balance
After 2021-01-05 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2021-01-05 · Grant · Acquired 15,909 · Balance 89,740 F1: Jason Reese was awarded 15,909 restricted shares that fully vested on the grant date, January 5, 2021. |
| Common stock, par value $0.001 per shareSEC Table I · non-derivative | IndirectSee Footnote | 2,329,312 |
Reported balance
Holding disclosure · report date 2021-01-05 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 2,329,312 F2: This Common Stock is held directly by Long Ball Partners, LLC ("Long Ball"). Mr. Reese is portfolio manager to Long Ball and is Chairman and Chief Executive Officer of Imperial Capital Asset Management, LLC ("ICAM"), which is the managing member of and investment manager to Long Ball. Each of Mr. Reese and ICAM disclaims beneficial ownership of the securities held by Long Ball except to the extent of that person's pecuniary interest therein. Each of Long Ball and ICAM disclaims beneficial ownership of the securities held by Mr. Reese. |
Filing footnotes · ownership attribution and instrument terms
F1: Jason Reese was awarded 15,909 restricted shares that fully vested on the grant date, January 5, 2021.
F2: This Common Stock is held directly by Long Ball Partners, LLC ("Long Ball"). Mr. Reese is portfolio manager to Long Ball and is Chairman and Chief Executive Officer of Imperial Capital Asset Management, LLC ("ICAM"), which is the managing member of and investment manager to Long Ball. Each of Mr. Reese and ICAM disclaims beneficial ownership of the securities held by Long Ball except to the extent of that person's pecuniary interest therein. Each of Long Ball and ICAM disclaims beneficial ownership of the securities held by Mr. Reese.
Great Elm Group, Inc.
Report date September 21, 2026 · Filed September 23, 2026
Jointly reported with Reese Jason W., Imperial Capital Asset Management, 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 rowRow 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 rowRow 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 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 |
|---|---|---|---|---|---|---|
| June 09, 2022 Filed Jun 13, 2022 22:49 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon stock, par value $0.01 per share ("Common Stock") | 237,366 | $2.38 | $564,931.08 |
DisclosureSEC source: 0000899243-22-022260 · doc4.xml · nonDerivative · entry 1 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,553,547 F1 · ownership.nature: Consists of 3,183,563 shares held directly Long Ball Partners, LLC ("Long Ball") and 1,369,984 shares held directly by Imperial Capital Asset Management, LLC ("ICAM"). 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. F2 · ownership.nature: Each of Mr. Reese, ICAM and Long Ball disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. Read SEC document |
| June 02, 2022 Filed Jun 2, 2022 22:34 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 6,291 | $2.41 | $15,161.31 |
DisclosureSEC source: 0000899243-22-020736 · doc4.xml · nonDerivative · entry 3 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,316,181 F5 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.39 to $2.43, 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. F6 · ownership.nature: Consists of 2,946,197 shares held directly by Long Ball and 1,369,984 shares held directly by ICAM. F7 · ownership.nature: Each of Mr. Reese, ICAM and Long Ball disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. Read SEC document |
| June 01, 2022 Filed Jun 2, 2022 22:34 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 24,925 | $2.38 | $59,321.50 |
DisclosureSEC source: 0000899243-22-020736 · doc4.xml · nonDerivative · entry 2 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,309,890 F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.33 to $2.41, 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. F4 · ownership.nature: Consists of 2,939,906 shares held directly by Long Ball and 1,369,984 shares held directly by ICAM. F7 · ownership.nature: Each of Mr. Reese, ICAM and Long Ball disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. Read SEC document |
| May 31, 2022 Filed Jun 2, 2022 22:34 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon stock, par value $0.01 per share ("Common Stock") | 10,483 | $2.31 | $24,215.73 |
DisclosureSEC source: 0000899243-22-020736 · doc4.xml · nonDerivative · entry 1 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,284,965 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.29 to $2.37, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission ("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: Consists of 2,914,981 shares held directly Long Ball Partners, LLC ("Long Ball") and 1,369,984 shares held directly by Imperial Capital Asset Management, LLC ("ICAM"). 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. F7 · ownership.nature: Each of Mr. Reese, ICAM and Long Ball disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. Read SEC document |
| May 23, 2022 Filed May 25, 2022 23:02 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon stock, par value $0.01 per share ("Common Stock") | 50,000 | $2.19 | $109,500.00 |
DisclosureSEC source: 0000899243-22-019504 · doc4.xml · nonDerivative · entry 1 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,274,482 F1 · ownership.nature: Consists of 2,904,498 shares held directly Long Ball Partners, LLC ("Long Ball") and 1,369,984 shares held directly by Imperial Capital Asset Management, LLC ("ICAM"). 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. Read SEC document |
| May 19, 2022 Filed May 20, 2022 21:30 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 40,000 | $2.15 | $86,000.00 |
DisclosureSEC source: 0000899243-22-019086 · doc4.xml · nonDerivative · entry 2 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,224,482 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.00 to $2.19, 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. F4 · ownership.nature: Consists of 2,854,498 shares held directly Long Ball, and 1,369,984 shares held directly by ICAM. F5 · ownership.nature: Each of Mr. Reese, ICAM and Long Ball disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. Read SEC document |
| May 18, 2022 Filed May 20, 2022 21:30 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon stock, par value $0.01 per share ("Common Stock") | 5,000 | $2.04 | $10,200.00 |
DisclosureSEC source: 0000899243-22-019086 · doc4.xml · nonDerivative · entry 1 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,184,482 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.01 to $2.10, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission ("SEC"), upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F3 · ownership.nature: Consists of 2,814,498 shares held directly Long Ball Partners, LLC ("Long Ball") and 1,369,984 shares held directly by Imperial Capital Asset Management, LLC ("ICAM"). 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. F5 · ownership.nature: Each of Mr. Reese, ICAM and Long Ball disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. Read SEC document |
| May 16, 2022 Filed May 16, 2022 23:48 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 8,000 | $2.11 | $16,880.00 |
DisclosureSEC source: 0000899243-22-018238 · doc4.xml · nonDerivative · entry 3 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,179,482 F6 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.06 to $2.16, 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. F3 · ownership.nature: Each of Mr. Reese, ICAM and Long Ball disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. F7 · ownership.nature: Consists of 2,809,498 shares held directly by Long Ball and 1,369,984 shares held directly by ICAM. Read SEC document |
| May 13, 2022 Filed May 16, 2022 23:48 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 25,000 | $2.05 | $51,250.00 |
DisclosureSEC source: 0000899243-22-018238 · doc4.xml · nonDerivative · entry 2 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,171,482 F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.00 to $2.05, 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. F3 · ownership.nature: Each of Mr. Reese, ICAM and Long Ball disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. F5 · ownership.nature: Consists of 2,801,498 shares held directly Long Ball and 1,369,984 shares held directly by ICAM. Read SEC document |
| May 12, 2022 Filed May 16, 2022 23:48 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon stock, par value $0.01 per share ("Common Stock") | 21,000 | $1.97 | $41,370.00 |
DisclosureSEC source: 0000899243-22-018238 · doc4.xml · nonDerivative · entry 1 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,146,482 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.94 to $2.00, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission ("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: Consists of 2,776,498 shares held directly Long Ball Partners, LLC ("Long Ball") and 1,369,984 shares held directly by Imperial Capital Asset Management, LLC ("ICAM"). 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. F3 · ownership.nature: Each of Mr. Reese, ICAM and Long Ball disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. Read SEC document |
| May 10, 2022 Filed May 11, 2022 00:58 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 17,500 | $1.84 | $32,200.00 |
DisclosureSEC source: 0000899243-22-017521 · doc4.xml · nonDerivative · entry 2 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,125,839 F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.73 to $1.96, 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. F3 · ownership.nature: Each of Mr. Reese, ICAM and Long Ball disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. F5 · ownership.nature: Consists of 2,755,855 shares held directly Long Ball and 1,369,984 shares held directly by ICAM. Read SEC document |
| May 09, 2022 Filed May 11, 2022 00:58 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon stock, par value $0.01 per share ("Common Stock") | 80,000 | $1.61 | $128,800.00 |
DisclosureSEC source: 0000899243-22-017521 · doc4.xml · nonDerivative · entry 1 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,107,982 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.58 to $1.78, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission ("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: Consists of 2,737,998 shares held directly Long Ball Partners, LLC ("Long Ball") and 1,369,984 shares held directly by ICAM. 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. F3 · ownership.nature: Each of Mr. Reese, ICAM and Long Ball disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. Read SEC document |
| May 04, 2022 Filed May 6, 2022 21:54 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon stock, par value $0.01 per share ("Common Stock") | 1,369,984 | $1.81 | $2,479,671.04 |
DisclosureSEC source: 0000899243-22-017109 · doc4.xml · nonDerivative · entry 1 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,027,982 F1 · price: Price determined pursuant to the terms of an Asset Purchase Agreement (the "Agreement") between the Issuer and Imperial Capital Asset Management, LLC ("ICAM"), dated May 4, 2022. F2 · ownership.nature: Consists of 2,657,998 shares held directly by Long Ball Partners, LLC ("Long Ball") and 1,369,984 shares held directly by ICAM. 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. F3 · ownership.nature: Each of Mr. Reese, ICAM and Long Ball disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. Read SEC document |
| January 03, 2022 Filed Jan 5, 2022 21:31 UTC | Great Elm Group, Inc. GEG · Entity 7060 | GrantCommon Stock | 84,951 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-22-000901 · doc4.xml · nonDerivative · entry 2 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 405,085 F2 · ownership.direct: On January 3, 2022, Jason Reese was awarded 84,951 shares of restricted stock, which vest in four even installments at the end of each calendar quarter in 2022. Read SEC document |
| January 03, 2022 Filed Jan 5, 2022 21:31 UTC | Great Elm Group, Inc. GEG · Entity 7060 | GrantCommon stock, par value $0.01 per share ("Common Stock") | 31,553 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-22-000901 · doc4.xml · nonDerivative · entry 1 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 320,134 F1 · ownership.direct: On January 3, 2022, Jason Reese was awarded 31,553 shares of restricted stock, which vest monthly in twelve equal installments on month end. Read SEC document |
| September 24, 2021 Filed Sep 28, 2021 23:36 UTC | Great Elm Group, Inc. GEG · Entity 7060 | GrantCommon stock, par value $0.01 per share ("Common Stock") | 104,602 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-038106 · doc4.xml · nonDerivative · entry 1 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 288,581 F1 · ownership.direct: On September 24, 2021, Jason Reese was awarded 104,602 restricted stock units, 25% of which vested on the date of grant, and 25% of the units will vest on each of the next three anniversaries thereof. Read SEC document |
| July 01, 2021 Filed Jul 2, 2021 21:57 UTC | Great Elm Group, Inc. GEG · Entity 7060 | GrantCommon Stock | 36,920 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-027306 · doc4.xml · nonDerivative · entry 2 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 183,979 F2 · ownership.direct: On July 1, 2021, Jason Reese was awarded 36,920 restricted stock units, 50% of which will vest on September 30, 2021, and the remainder of the units will vest on December 31, 2021. Read SEC document |
| June 30, 2021 Filed Jul 2, 2021 21:57 UTC | Great Elm Group, Inc. GEG · Entity 7060 | GrantCommon stock, par value $0.01 per share ("Common Stock") | 19,444 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-027306 · doc4.xml · nonDerivative · entry 1 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 147,059 F1 · ownership.direct: On June 30, 2021, Jason Reese was awarded 19,444 restricted stock units, 100% of which vested on the date of grant. Read SEC document |
| May 20, 2021 Filed May 21, 2021 00:56 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 58,575 | $2.32 | $135,694.85 |
DisclosureSEC source: 0000899243-21-020291 · doc4.xml · nonDerivative · entry 3 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 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: 2,657,998 F3 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.15 to $2.40, inclusive. The reporting persons undertake 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. F4 · ownership.nature: This Common Stock is held directly by Long Ball Partners, LLC ("Long Ball"). Mr. Reese is Portfolio manager to Long Ball and is Chairman and Chief Executive Officer of Imperial Capital Asset Management, LLC ("ICAM"), which is the managing member of and investment manager to Long Ball. Each of Mr. Reese and ICAM disclaims beneficial ownership of the securities held by Long Ball except to the extent of that person's pecuniary interest therein. Each of Long Ball and ICAM disclaims beneficial ownership of the securities held directly by Mr. Reese. Read SEC document |
| May 19, 2021 Filed May 21, 2021 00:56 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 259,882 | $2.40 | $623,300.99 |
DisclosureSEC source: 0000899243-21-020291 · doc4.xml · nonDerivative · entry 2 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 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: 2,599,423 F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.245 to $2.40, inclusive. The reporting persons undertake 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. F4 · ownership.nature: This Common Stock is held directly by Long Ball Partners, LLC ("Long Ball"). Mr. Reese is Portfolio manager to Long Ball and is Chairman and Chief Executive Officer of Imperial Capital Asset Management, LLC ("ICAM"), which is the managing member of and investment manager to Long Ball. Each of Mr. Reese and ICAM disclaims beneficial ownership of the securities held by Long Ball except to the extent of that person's pecuniary interest therein. Each of Long Ball and ICAM disclaims beneficial ownership of the securities held directly by Mr. Reese. Read SEC document |
| May 18, 2021 Filed May 21, 2021 00:56 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon stock, par value $0.01 per share ("Common Stock") | 10,229 | $2.18 | $22,300.24 |
DisclosureSEC source: 0000899243-21-020291 · doc4.xml · nonDerivative · entry 1 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 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: 2,339,541 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.03 to $2.25, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission ("SEC"), upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F4 · ownership.nature: This Common Stock is held directly by Long Ball Partners, LLC ("Long Ball"). Mr. Reese is Portfolio manager to Long Ball and is Chairman and Chief Executive Officer of Imperial Capital Asset Management, LLC ("ICAM"), which is the managing member of and investment manager to Long Ball. Each of Mr. Reese and ICAM disclaims beneficial ownership of the securities held by Long Ball except to the extent of that person's pecuniary interest therein. Each of Long Ball and ICAM disclaims beneficial ownership of the securities held directly by Mr. Reese. Read SEC document |
| March 31, 2021 Filed Apr 2, 2021 18:41 UTC | Great Elm Group, Inc. GEG · Entity 7060 | GrantCommon stock, par value $0.001 per share | 17,930 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-014539 · doc4.xml · nonDerivative · entry 1 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 127,615 Read SEC document |
| March 19, 2021 Filed Mar 23, 2021 19:50 UTC | Great Elm Group, Inc. GEG · Entity 7060 | GrantCommon stock, par value $0.001 per share | 19,945 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-013122 · doc4.xml · nonDerivative · entry 1 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 109,685 F1 · ownership.direct: On March 19, 2021, Jason Reese was awarded 19,945 restricted stock units, 10% of which vested on the date of grant, with the remainder vesting in equal installments on the first business day of each month beginning April 1, 2021 and ending December 1, 2021. Read SEC document |
| January 05, 2021 Filed Jan 6, 2021 16:15 UTC | Forest Investments, Inc. GEC · Entity 144097 | GrantCommon stock, par value $0.001 per share | 15,909 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-000684 · doc4.xml · nonDerivative · entry 1 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,740 F1 · ownership.direct: Jason Reese was awarded 15,909 restricted shares that fully vested on the grant date, January 5, 2021. Read SEC document |
| January 05, 2021 Filed Jan 29, 2021 23:36 UTC Amendment | Great Elm Group, Inc. GEG · Entity 7060 | GrantCommon stock, par value $0.001 per share | 15,909 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-003750 · doc4a.xml · nonDerivative · entry 1 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,740 F1 · ownership.direct: Jason Reese was awarded 15,909 restricted shares that fully vested on the grant date, January 5, 2021. Read SEC document |
| September 30, 2020 Filed Oct 15, 2020 17:06 UTC | Forest Investments, Inc. GEC · Entity 144097 | GrantCommon stock, par value $0.001 per share | 18,538 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-20-028337 · doc4.xml · nonDerivative · entry 1 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,831 F1 · ownership.direct: Jason Reese was awarded 18,538 restricted shares that fully vested on the grant date, September 30, 2020. Read SEC document |
| June 30, 2020 Filed Jul 2, 2020 16:12 UTC | Forest Investments, Inc. GEC · Entity 144097 | GrantCommon stock, par value $0.001 per share | 18,776 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-20-018270 · doc4.xml · nonDerivative · entry 1 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,293 F1 · ownership.direct: Jason Reese was awarded 18,776 restricted shares that fully vested on the grant date, June 30, 2020. Read SEC document |
| May 29, 2020 Filed Jun 1, 2020 21:31 UTC | Forest Investments, Inc. GEC · Entity 144097 | PurchaseCommon stock, par value $0.001 per share | 5,000 | $2.35 | $11,739.00 |
DisclosureSEC source: 0000899243-20-014801 · doc4.xml · nonDerivative · entry 1 Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Reese Jason W. · CIK 0001479613 · Director · 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: 2,329,312 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.25 to $2.38, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, 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: The Common Stock is held directly by Long Ball Partners, LLC ("Long Ball"). Jason Reese is portfolio manager to Long Ball and is Chairman and Chief Executive Officer of Imperial Capital Asset Management, LLC ("ICAM"), which is the managing member and investment manager to Long Ball. Each of Mr. Reese and ICAM disclaims beneficial ownership of the securities held by Long Ball except to the extent of that person's pecuniary interest therein. Read SEC document |
| May 22, 2020 Filed May 26, 2020 21:10 UTC | Forest Investments, Inc. GEC · Entity 144097 | PurchaseCommon stock, par value $0.001 per share | 4,425 | $1.96 | $8,669.90 |
DisclosureSEC source: 0000899243-20-014276 · doc4.xml · nonDerivative · entry 1 Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Reese Jason W. · CIK 0001479613 · Director · 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: 2,324,312 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.9200 to $1.9800, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, 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: The Common Stock is held directly by Long Ball Partners, LLC ("Long Ball"). Jason Reese is portfolio manager to Long Ball and is Chairman and Chief Executive Officer of Imperial Capital Asset Management, LLC ("ICAM"), which is the managing member and investment manager to Long Ball. Each of Mr. Reese and ICAM disclaims beneficial ownership of the securities held by Long Ball except to the extent of that person's pecuniary interest therein. Read SEC document |
| April 10, 2020 Filed Apr 28, 2020 21:18 UTC | Forest Investments, Inc. GEC · Entity 144097 | GrantCommon stock, par value $0.001 per share | 36,517 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-20-011451 · doc4.xml · nonDerivative · entry 1 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,517 F1 · shares: Jason Reese was awarded 36,517 restricted shares that vest commencing April 10, 2020, with one-twelfth vesting each monthly anniversary of such date, contingent upon continued service as a member of the board of directors of Great Elm Capital Group, Inc. F1 · ownership.direct: Jason Reese was awarded 36,517 restricted shares that vest commencing April 10, 2020, with one-twelfth vesting each monthly anniversary of such date, contingent upon continued service as a member of the board of directors of Great Elm Capital Group, Inc. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.