Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Forest Investments, Inc.GEC · Entity 144097 | Director · 10% owner | September 30, 2020 | October 15, 2020 |
| Great Elm Capital Corp.GECC · Entity 6877 | Director | September 16, 2024 | September 17, 2024 |
| Great Elm Group, Inc.GEG · Entity 7060 | Director | January 08, 2026 | January 13, 2026 |
| INTEVAC INCIVAC · Entity 81388 | Director | May 17, 2016 | May 19, 2017 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Forest Investments, Inc.
Report date September 30, 2020 · Filed October 15, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 86,397 |
Reported balance
After 2020-09-30 transaction · row 1
1 source rowRow 1 · 2020-09-30 · Grant · Acquired 9,004 · Balance 86,397 |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 1,266,000 |
Reported balance
Holding disclosure · report date 2020-09-30 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 1,266,000 F1: Represents shares of common stock purchased by Northern Right Capital Management, L.P., a Texas limited partnership ("Northern Right Management"), on behalf of a separate managed account on behalf of an investment advisory client (the "Managed Account") pursuant to the exercise of a warrant issued by GEC to Northern Right Management on September 18, 2017. F3: As general partner and investment manager of Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the shares of common stock held by Northern Right QP. As the investment manager of the Managed Account, Northern Right Management may also be deemed to be the beneficial owner of the shares of common stock held by the Managed Account. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, Mr. Drapkin may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA. Mr. Drapkin disclaims such beneficial ownership of the 2,402,792 shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 1,136,792 |
Reported balance
Holding disclosure · report date 2020-09-30 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 1,136,792 F2: Represents shares of common stock held directly by Northern Right Capital (QP), L.P., a Texas limited partnership ("Northern Right QP"). F3: As general partner and investment manager of Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the shares of common stock held by Northern Right QP. As the investment manager of the Managed Account, Northern Right Management may also be deemed to be the beneficial owner of the shares of common stock held by the Managed Account. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, Mr. Drapkin may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA. Mr. Drapkin disclaims such beneficial ownership of the 2,402,792 shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares of common stock purchased by Northern Right Capital Management, L.P., a Texas limited partnership ("Northern Right Management"), on behalf of a separate managed account on behalf of an investment advisory client (the "Managed Account") pursuant to the exercise of a warrant issued by GEC to Northern Right Management on September 18, 2017.
F2: Represents shares of common stock held directly by Northern Right Capital (QP), L.P., a Texas limited partnership ("Northern Right QP").
F3: As general partner and investment manager of Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the shares of common stock held by Northern Right QP. As the investment manager of the Managed Account, Northern Right Management may also be deemed to be the beneficial owner of the shares of common stock held by the Managed Account. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, Mr. Drapkin may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA. Mr. Drapkin disclaims such beneficial ownership of the 2,402,792 shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein.
Great Elm Capital Corp.
Report date September 16, 2024 · Filed September 17, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 75,716 |
Reported balance
After 2024-09-16 transaction · row 3
1 source rowRow 3 · 2024-09-16 · Purchase · Acquired 9,600 · Balance 75,716 F3: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.68 to $9.98, 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. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 429,331 |
Reported balance
Holding disclosure · report date 2024-09-16 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 429,331 F1: Represents shares of common stock held directly by Northern Right Capital (QP), L.P., a Texas limited partnership ("Northern Right QP"). F4: As general partner and investment manager of Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the shares of common stock 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 shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA. F5: (continued from footnote 4) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 369,140 |
Reported balance
Holding disclosure · report date 2024-09-16 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 369,140 F2: Represents shares of common stock purchased by Northern Right Capital Management, L.P., a Texas limited partnership ("Northern Right Management"), on behalf of separate managed accounts on behalf of an investment advisory client (the "Managed Accounts"). F4: As general partner and investment manager of Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the shares of common stock 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 shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA. F5: (continued from footnote 4) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares of common stock held directly by Northern Right Capital (QP), L.P., a Texas limited partnership ("Northern Right QP").
F2: Represents shares of common stock purchased by Northern Right Capital Management, L.P., a Texas limited partnership ("Northern Right Management"), on behalf of separate managed accounts on behalf of an investment advisory client (the "Managed Accounts").
F3: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.68 to $9.98, 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: As general partner and investment manager of Northern Right QP, Northern Right Management may be deemed to be the beneficial owner of the shares of common stock 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 shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA.
F5: (continued from footnote 4) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein.
Great Elm Group, Inc.
Report date January 08, 2026 · Filed January 13, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 755,280 |
Reported balance
After 2026-01-08 transaction · row 3
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 3 · 2026-01-08 · Grant · Acquired 26,531 · Balance 755,280 F5: The Reporting Person was awarded 26,531 shares of restricted stock of Great Elm Group, Inc. ("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 GEG. |
| Common StockSEC Table I · non-derivative | Direct | 816,504 |
Reported balance
After 2026-01-08 transaction · row 4
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 4 · 2026-01-08 · Grant · Acquired 61,224 · Balance 816,504 F6: The Reporting Person was awarded 61,224 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 GEG. These shares were awarded at the Reporting Person's election in lieu of a cash retainer. |
| Common StockSEC Table I · non-derivative | Direct | 843,035 |
Reported balance
After 2026-01-08 transaction · row 5
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 5 · 2026-01-08 · Grant · Acquired 26,531 · Balance 843,035 F7: The Reporting Person was awarded 26,531 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. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 2,279,478 |
Reported balance
Holding disclosure · report date 2026-01-08 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 2,279,478 F1: Represents shares of common stock held directly by Northern Right Capital (QP), L.P., a Texas limited partnership ("Northern Right QP"). F3: As general partner and investment manager of Northern Right QP, Northern Right Capital Management, L.P. ("Northern Right Management") may be deemed to be the beneficial owner of the shares of common stock 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 shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA"), may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA. F4: (continued from footnote 3) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 1,963,690 |
Reported balance
Holding disclosure · report date 2026-01-08 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 1,963,690 F2: Represents shares of common stock purchased by managed accounts (the "Managed Accounts") on behalf of certain investment advisory clients of Northern Right Capital Management, L.P. ("Northern Right Management"). F3: As general partner and investment manager of Northern Right QP, Northern Right Capital Management, L.P. ("Northern Right Management") may be deemed to be the beneficial owner of the shares of common stock 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 shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA"), may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA. F4: (continued from footnote 3) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares of common stock held directly by Northern Right Capital (QP), L.P., a Texas limited partnership ("Northern Right QP").
F2: Represents shares of common stock purchased by managed accounts (the "Managed Accounts") on behalf of certain investment advisory clients of Northern Right Capital Management, L.P. ("Northern Right Management").
F3: As general partner and investment manager of Northern Right QP, Northern Right Capital Management, L.P. ("Northern Right Management") may be deemed to be the beneficial owner of the shares of common stock 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 shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA"), may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA.
F4: (continued from footnote 3) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein.
F5: The Reporting Person was awarded 26,531 shares of restricted stock of Great Elm Group, Inc. ("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 GEG.
F6: The Reporting Person was awarded 61,224 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 GEG. These shares were awarded at the Reporting Person's election in lieu of a cash retainer.
F7: The Reporting Person was awarded 26,531 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.
INTEVAC INC
Report date May 17, 2016 · Filed May 19, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Non-Qualified Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $13.10 · Expires 2024-05-17 | Direct | 13,000 |
Reported balance
After 2017-05-17 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2017-05-17 · Grant · Acquired 13,000 · Balance 13,000 |
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
PRGX GLOBAL, INC.
Report date March 03, 2021 · Filed March 04, 2021
Section 16 reporting ended · disclosed 2021-03-04. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, no par valueSEC Table I · non-derivative | Direct | 2,028,068 |
Reported balance
After 2021-03-03 transaction · row 1
1 source rowRow 1 · 2021-03-03 · Disposition to issuer · Disposed 7,480 · Balance 2,028,068 F1: Disposed of pursuant to the Agreement and Plan of Merger dated as of December 24, 2020 (the "Merger Agreement"), by and among PRGX Global, Inc., a Georgia Corporation (the "Company"), Pluto Acquisitionco Inc., a Delaware corporation ("Parent"), and Pluto Merger Sub Inc., a Georgia corporation and wholly owned subsidiary of Parent ("Merger Sub"). |
| Common Stock, no par valueSEC Table I · non-derivative | IndirectBy Northern Right Capital Management, L.P. | 0 |
Reported balance
After 2021-03-03 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2021-03-03 · Disposition to issuer · Disposed 2,028,068 · Balance 0 F1: Disposed of pursuant to the Agreement and Plan of Merger dated as of December 24, 2020 (the "Merger Agreement"), by and among PRGX Global, Inc., a Georgia Corporation (the "Company"), Pluto Acquisitionco Inc., a Delaware corporation ("Parent"), and Pluto Merger Sub Inc., a Georgia corporation and wholly owned subsidiary of Parent ("Merger Sub"). F2: Shares beneficially owned by Mr. Drapkin include shares deemed beneficially owned indirectly by Mr. Drapkin who is a managing member of BC Advisors, LLC, which is the general partner of Northern Right Capital Management, L.P. (of which Mr. Drapkin is a limited partner). Northern Right Capital Management, L.P. is the general partner of, and investment manager for, Northern Right Capital (QP), L.P. |
| Restricted Stock Units subject to deferral electionSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2021-03-03 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2021-03-03 · Disposition to issuer · Disposed 30,769 · Balance 0 F3: Pursuant to the Merger Agreement, at the effective time, and in accordance with the terms of the PRGX Global, Inc. Deferred Compensation Plan for Non-Employee Directors (the "Plan"), each Company RSU which is subject to a deferral election under the Plan was deemed contributed to the Plan and then cancelled and converted into the right to receive a cash payment, without interest, equal to (i) $7.71 multiplied by (ii) the total number of shares of Company common stock subject to such Company RSU, less any required withholding taxes. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.80 · Expires 2023-11-09 | Direct | 0 |
Reported balance
After 2021-03-03 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2021-03-03 · Disposition to issuer · Disposed 35,000 · Balance 0 F4: Pursuant to the Merger Agreement, at the effective time of the Merger, each outstanding option to purchase Company common stock (each, a "Company Stock Option"), whether vested or unvested, was cancelled and converted into the right to receive a cash payment, without interest, equal to (i) $7.71, less the exercise price per share attributable to such Company Stock Option multiplied by (ii) the total number of shares of Company common stock then issuable upon exercise in full of such Company Stock Options, less any required withholding taxes. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.80 · Expires 2023-11-09 | Direct | 0 |
Reported balance
After 2021-03-03 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2021-03-03 · Disposition to issuer · Disposed 20,417 · Balance 0 F4: Pursuant to the Merger Agreement, at the effective time of the Merger, each outstanding option to purchase Company common stock (each, a "Company Stock Option"), whether vested or unvested, was cancelled and converted into the right to receive a cash payment, without interest, equal to (i) $7.71, less the exercise price per share attributable to such Company Stock Option multiplied by (ii) the total number of shares of Company common stock then issuable upon exercise in full of such Company Stock Options, less any required withholding taxes. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $6.35 · Expires 2023-11-09 | Direct | 0 |
Reported balance
After 2021-03-03 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2021-03-03 · Disposition to issuer · Disposed 13,636 · Balance 0 F4: Pursuant to the Merger Agreement, at the effective time of the Merger, each outstanding option to purchase Company common stock (each, a "Company Stock Option"), whether vested or unvested, was cancelled and converted into the right to receive a cash payment, without interest, equal to (i) $7.71, less the exercise price per share attributable to such Company Stock Option multiplied by (ii) the total number of shares of Company common stock then issuable upon exercise in full of such Company Stock Options, less any required withholding taxes. |
| Deferred Compensation Plan Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2021-03-03 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2021-03-03 · Disposition to issuer · Disposed 10,052 · Balance 0 F5: Pursuant to the Merger Agreement, at the effective time, and in accordance with the terms of the Plan, each Stock Unit (as defined in the Plan) was cancelled and converted into the right of the holder of such Stock Unit to receive a cash payment, without interest, equal to (i) $7.71 multiplied by (ii) the number of shares of Company common stock subject to each Stock Unit. |
| Deferred Compensation Plan Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2021-03-03 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2021-03-03 · Disposition to issuer · Disposed 18,547 · Balance 0 F5: Pursuant to the Merger Agreement, at the effective time, and in accordance with the terms of the Plan, each Stock Unit (as defined in the Plan) was cancelled and converted into the right of the holder of such Stock Unit to receive a cash payment, without interest, equal to (i) $7.71 multiplied by (ii) the number of shares of Company common stock subject to each Stock Unit. |
Filing footnotes · ownership attribution and instrument terms
F1: Disposed of pursuant to the Agreement and Plan of Merger dated as of December 24, 2020 (the "Merger Agreement"), by and among PRGX Global, Inc., a Georgia Corporation (the "Company"), Pluto Acquisitionco Inc., a Delaware corporation ("Parent"), and Pluto Merger Sub Inc., a Georgia corporation and wholly owned subsidiary of Parent ("Merger Sub").
F2: Shares beneficially owned by Mr. Drapkin include shares deemed beneficially owned indirectly by Mr. Drapkin who is a managing member of BC Advisors, LLC, which is the general partner of Northern Right Capital Management, L.P. (of which Mr. Drapkin is a limited partner). Northern Right Capital Management, L.P. is the general partner of, and investment manager for, Northern Right Capital (QP), L.P.
F3: Pursuant to the Merger Agreement, at the effective time, and in accordance with the terms of the PRGX Global, Inc. Deferred Compensation Plan for Non-Employee Directors (the "Plan"), each Company RSU which is subject to a deferral election under the Plan was deemed contributed to the Plan and then cancelled and converted into the right to receive a cash payment, without interest, equal to (i) $7.71 multiplied by (ii) the total number of shares of Company common stock subject to such Company RSU, less any required withholding taxes.
F4: Pursuant to the Merger Agreement, at the effective time of the Merger, each outstanding option to purchase Company common stock (each, a "Company Stock Option"), whether vested or unvested, was cancelled and converted into the right to receive a cash payment, without interest, equal to (i) $7.71, less the exercise price per share attributable to such Company Stock Option multiplied by (ii) the total number of shares of Company common stock then issuable upon exercise in full of such Company Stock Options, less any required withholding taxes.
F5: Pursuant to the Merger Agreement, at the effective time, and in accordance with the terms of the Plan, each Stock Unit (as defined in the Plan) was cancelled and converted into the right of the holder of such Stock Unit to receive a cash payment, without interest, equal to (i) $7.71 multiplied by (ii) the number of shares of Company common stock subject to each Stock Unit.
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 |
|---|---|---|---|---|---|---|
| January 08, 2026 Filed Jan 13, 2026 02:11 UTC | Great Elm Group, Inc. GEG · Entity 7060 | GrantCommon Stock | 26,531 | $0.00 | $0.00 |
DisclosureSEC source: 0000950103-26-000406 · dp239876_4-drapkin.xml · nonDerivative · entry 5 Drapkin Matthew A · CIK 0001458693 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 843,035 F7 · ownership.direct: The Reporting Person was awarded 26,531 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 |
| January 08, 2026 Filed Jan 13, 2026 02:11 UTC | Great Elm Group, Inc. GEG · Entity 7060 | GrantCommon Stock | 61,224 | $0.00 | $0.00 |
DisclosureSEC source: 0000950103-26-000406 · dp239876_4-drapkin.xml · nonDerivative · entry 4 Drapkin Matthew A · CIK 0001458693 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 816,504 F6 · ownership.direct: The Reporting Person was awarded 61,224 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 GEG. These shares were awarded at the Reporting Person's election in lieu of a cash retainer. Read SEC document |
| January 08, 2026 Filed Jan 13, 2026 02:11 UTC | Great Elm Group, Inc. GEG · Entity 7060 | GrantCommon Stock | 26,531 | $0.00 | $0.00 |
DisclosureSEC source: 0000950103-26-000406 · dp239876_4-drapkin.xml · nonDerivative · entry 3 Drapkin Matthew A · CIK 0001458693 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 755,280 F5 · ownership.direct: The Reporting Person was awarded 26,531 shares of restricted stock of Great Elm Group, Inc. ("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 GEG. Read SEC document |
| January 03, 2025 Filed Jan 7, 2025 21:36 UTC | Great Elm Group, Inc. GEG · Entity 7060 | GrantCommon Stock | 35,714 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-25-000455 · form4.xml · nonDerivative · entry 5 Drapkin Matthew A · CIK 0001458693 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 728,749 F7 · ownership.direct: The Reporting Person was awarded 35,714 shares of restricted stock, which vest in equal quarterly installments on the end of each quarter beginning on March 31, 2025 through December 31, 2025, contingent upon continued service as a member of the board of directors of Great Elm Capital Corp. Read SEC document |
| January 03, 2025 Filed Jan 7, 2025 21:36 UTC | Great Elm Group, Inc. GEG · Entity 7060 | GrantCommon Stock | 82,418 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-25-000455 · form4.xml · nonDerivative · entry 4 Drapkin Matthew A · CIK 0001458693 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 693,035 F6 · ownership.direct: The Reporting Person was awarded 82,418 shares of restricted stock, which vest in equal quarterly installments on the end of each quarter beginning on March 31, 2025 through December 31, 2025, contingent upon continued service as a member of the board of directors of GEG. Read SEC document |
| January 03, 2025 Filed Jan 7, 2025 21:36 UTC | Great Elm Group, Inc. GEG · Entity 7060 | GrantCommon Stock | 35,714 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-25-000455 · form4.xml · nonDerivative · entry 3 Drapkin Matthew A · CIK 0001458693 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 610,617 F5 · ownership.direct: The Reporting Person was awarded 35,714 shares of restricted stock, which vest in equal monthly installments on the end of each month beginning on January 31, 2025 through December 31, 2025, contingent upon continued service as a member of the board of directors of Great Elm Group, Inc. ("GEG"). Read SEC document |
| September 16, 2024 Filed Sep 17, 2024 13:15 UTC | Great Elm Capital Corp. GECC · Entity 6877 | PurchaseCommon Stock | 9,600 | $9.92 | $95,235.84 |
DisclosureSEC source: 0001140361-24-041281 · form4.xml · nonDerivative · entry 3 Drapkin Matthew A · CIK 0001458693 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 75,716 F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.68 to $9.98, 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. Read SEC document |
| August 21, 2024 Filed Aug 22, 2024 00:15 UTC | Great Elm Capital Corp. GECC · Entity 6877 | PurchaseCommon Stock | 1,310 | $10.12 | $13,257.20 |
DisclosureSEC source: 0001140361-24-038131 · form4.xml · nonDerivative · entry 4 Drapkin Matthew A · CIK 0001458693 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 66,116 Read SEC document |
| August 20, 2024 Filed Aug 22, 2024 00:15 UTC | Great Elm Capital Corp. GECC · Entity 6877 | PurchaseCommon Stock | 3,189 | $10.01 | $31,921.89 |
DisclosureSEC source: 0001140361-24-038131 · form4.xml · nonDerivative · entry 3 Drapkin Matthew A · CIK 0001458693 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 64,806 F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.95 to $10.10, 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. Read SEC document |
| May 23, 2024 Filed May 23, 2024 23:34 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 5,015 | $1.75 | $8,794.30 |
DisclosureSEC source: 0001140361-24-027327 · form4.xml · nonDerivative · entry 4 Drapkin Matthew A · CIK 0001458693 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 1,963,690 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.direct: Represents shares of common stock purchased by managed accounts (the "Managed Accounts") on behalf of certain investment advisory clients of Northern Right Capital Management, L.P. ("Northern Right Management"). F3 · ownership.nature: As general partner and investment manager of Northern Right QP, Northern Right Capital Management, L.P. ("Northern Right Management") may be deemed to be the beneficial owner of the shares of common stock 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 shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA"), may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA. F4 · ownership.nature: (continued from footnote 3) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein. Read SEC document |
| May 22, 2024 Filed May 23, 2024 23:34 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 20,001 | $1.76 | $35,267.76 |
DisclosureSEC source: 0001140361-24-027327 · form4.xml · nonDerivative · entry 3 Drapkin Matthew A · CIK 0001458693 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 1,958,675 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.direct: Represents shares of common stock purchased by managed accounts (the "Managed Accounts") on behalf of certain investment advisory clients of Northern Right Capital Management, L.P. ("Northern Right Management"). F3 · ownership.nature: As general partner and investment manager of Northern Right QP, Northern Right Capital Management, L.P. ("Northern Right Management") may be deemed to be the beneficial owner of the shares of common stock 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 shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA"), may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA. F4 · ownership.nature: (continued from footnote 3) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein. Read SEC document |
| May 21, 2024 Filed May 23, 2024 23:34 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 24,984 | $1.77 | $44,264.15 |
DisclosureSEC source: 0001140361-24-027327 · form4.xml · nonDerivative · entry 2 Drapkin Matthew A · CIK 0001458693 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 1,938,674 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.direct: Represents shares of common stock purchased by managed accounts (the "Managed Accounts") on behalf of certain investment advisory clients of Northern Right Capital Management, L.P. ("Northern Right Management"). F3 · ownership.nature: As general partner and investment manager of Northern Right QP, Northern Right Capital Management, L.P. ("Northern Right Management") may be deemed to be the beneficial owner of the shares of common stock 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 shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA"), may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA. F4 · ownership.nature: (continued from footnote 3) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein. Read SEC document |
| January 03, 2024 Filed Jan 5, 2024 00:38 UTC | Great Elm Group, Inc. GEG · Entity 7060 | GrantCommon Stock | 34,759 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-24-000771 · form4.xml · nonDerivative · entry 5 Drapkin Matthew A · CIK 0001458693 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 574,903 F7 · ownership.direct: The Reporting Person was awarded 34,759 shares of restricted stock, which vest in equal quarterly installments on the end of each quarter beginning on March 31, 2024 through December 31, 2024, contingent upon continued service as a member of the board of directors of Great Elm Capital Corp. Read SEC document |
| January 03, 2024 Filed Jan 5, 2024 00:38 UTC | Great Elm Group, Inc. GEG · Entity 7060 | GrantCommon Stock | 80,214 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-24-000771 · form4.xml · nonDerivative · entry 4 Drapkin Matthew A · CIK 0001458693 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 540,144 F6 · ownership.direct: The Reporting Person was awarded 80,214 shares of restricted stock, which vest in equal quarterly installments on the end of each quarter beginning on March 31, 2024 through December 31, 2024, contingent upon continued service as a member of the board of directors of GEG. Read SEC document |
| January 03, 2024 Filed Jan 5, 2024 00:38 UTC | Great Elm Group, Inc. GEG · Entity 7060 | GrantCommon Stock | 34,759 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-24-000771 · form4.xml · nonDerivative · entry 3 Drapkin Matthew A · CIK 0001458693 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 459,930 F5 · ownership.direct: The Reporting Person was awarded 34,759 shares of restricted stock, which vest in equal monthly installments on the end of each month beginning on January 31, 2024 through December 31, 2024, contingent upon continued service as a member of the board of directors of Great Elm Group, Inc. ("GEG"). Read SEC document |
| November 15, 2023 Filed Nov 16, 2023 01:47 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 3,506 | $1.99 | $6,974.84 |
DisclosureSEC source: 0001140361-23-053530 · form4.xml · nonDerivative · entry 6 Drapkin Matthew A · CIK 0001458693 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 1,913,690 F2 · ownership.direct: Represents shares of common stock purchased by managed accounts (the "Managed Accounts") on behalf of certain investment advisory clients of Northern Right Capital Management, L.P. ("Northern Right Management"). F3 · ownership.nature: As general partner and investment manager of Northern Right QP, Northern Right Capital Management, L.P. ("Northern Right Management") may be deemed to be the beneficial owner of the shares of common stock 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 shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA"), may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA. F4 · ownership.nature: (continued from footnote 3) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein. Read SEC document |
| November 15, 2023 Filed Nov 16, 2023 01:47 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 19,878 | $1.99 | $39,545.29 |
DisclosureSEC source: 0001140361-23-053530 · form4.xml · nonDerivative · entry 5 Drapkin Matthew A · CIK 0001458693 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 2,279,478 F1 · ownership.direct: Represents shares of common stock held directly by Northern Right Capital (QP), L.P., a Texas limited partnership ("Northern Right QP"). F3 · ownership.nature: As general partner and investment manager of Northern Right QP, Northern Right Capital Management, L.P. ("Northern Right Management") may be deemed to be the beneficial owner of the shares of common stock 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 shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA"), may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA. F4 · ownership.nature: (continued from footnote 3) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein. Read SEC document |
| November 14, 2023 Filed Nov 16, 2023 01:47 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 27,851 | $1.99 | $55,370.57 |
DisclosureSEC source: 0001140361-23-053530 · form4.xml · nonDerivative · entry 4 Drapkin Matthew A · CIK 0001458693 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 1,910,184 F2 · ownership.direct: Represents shares of common stock purchased by managed accounts (the "Managed Accounts") on behalf of certain investment advisory clients of Northern Right Capital Management, L.P. ("Northern Right Management"). F3 · ownership.nature: As general partner and investment manager of Northern Right QP, Northern Right Capital Management, L.P. ("Northern Right Management") may be deemed to be the beneficial owner of the shares of common stock 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 shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA"), may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA. F4 · ownership.nature: (continued from footnote 3) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein. Read SEC document |
| November 14, 2023 Filed Nov 16, 2023 01:47 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 157,711 | $1.99 | $313,545.24 |
DisclosureSEC source: 0001140361-23-053530 · form4.xml · nonDerivative · entry 3 Drapkin Matthew A · CIK 0001458693 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 2,259,600 F1 · ownership.direct: Represents shares of common stock held directly by Northern Right Capital (QP), L.P., a Texas limited partnership ("Northern Right QP"). F3 · ownership.nature: As general partner and investment manager of Northern Right QP, Northern Right Capital Management, L.P. ("Northern Right Management") may be deemed to be the beneficial owner of the shares of common stock 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 shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA"), may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA. F4 · ownership.nature: (continued from footnote 3) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein. Read SEC document |
| November 13, 2023 Filed Nov 16, 2023 01:47 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 2,132 | $1.95 | $4,151.22 |
DisclosureSEC source: 0001140361-23-053530 · form4.xml · nonDerivative · entry 2 Drapkin Matthew A · CIK 0001458693 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 1,882,333 F2 · ownership.direct: Represents shares of common stock purchased by managed accounts (the "Managed Accounts") on behalf of certain investment advisory clients of Northern Right Capital Management, L.P. ("Northern Right Management"). F3 · ownership.nature: As general partner and investment manager of Northern Right QP, Northern Right Capital Management, L.P. ("Northern Right Management") may be deemed to be the beneficial owner of the shares of common stock 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 shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA"), may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA. F4 · ownership.nature: (continued from footnote 3) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein. Read SEC document |
| November 13, 2023 Filed Nov 16, 2023 01:47 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 12,306 | $1.95 | $23,961.01 |
DisclosureSEC source: 0001140361-23-053530 · form4.xml · nonDerivative · entry 1 Drapkin Matthew A · CIK 0001458693 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 2,101,889 F1 · ownership.direct: Represents shares of common stock held directly by Northern Right Capital (QP), L.P., a Texas limited partnership ("Northern Right QP"). F3 · ownership.nature: As general partner and investment manager of Northern Right QP, Northern Right Capital Management, L.P. ("Northern Right Management") may be deemed to be the beneficial owner of the shares of common stock 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 shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA"), may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA. F4 · ownership.nature: (continued from footnote 3) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein. Read SEC document |
| June 06, 2023 Filed Jun 7, 2023 00:45 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 423 | $2.10 | $888.30 |
DisclosureSEC source: 0001140361-23-028622 · form4.xml · nonDerivative · entry 6 Drapkin Matthew A · CIK 0001458693 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 1,880,201 F2 · ownership.direct: Represents shares of common stock purchased by managed accounts (the "Managed Accounts") on behalf of certain investment advisory clients of Northern Right Capital Management, L.P. ("Northern Right Management"). F3 · ownership.nature: As general partner and investment manager of Northern Right QP, Northern Right Capital Management, L.P. ("Northern Right Management") may be deemed to be the beneficial owner of the shares of common stock 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 shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA. F4 · ownership.nature: (continued from footnote 3) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein. Read SEC document |
| June 06, 2023 Filed Jun 7, 2023 00:45 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 2,547 | $2.10 | $5,348.70 |
DisclosureSEC source: 0001140361-23-028622 · form4.xml · nonDerivative · entry 5 Drapkin Matthew A · CIK 0001458693 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 2,089,583 F1 · ownership.direct: Represents shares of common stock held directly by Northern Right Capital (QP), L.P., a Texas limited partnership ("Northern Right QP"). F3 · ownership.nature: As general partner and investment manager of Northern Right QP, Northern Right Capital Management, L.P. ("Northern Right Management") may be deemed to be the beneficial owner of the shares of common stock 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 shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA. F4 · ownership.nature: (continued from footnote 3) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein. Read SEC document |
| June 05, 2023 Filed Jun 7, 2023 00:45 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 1,259 | $2.08 | $2,616.58 |
DisclosureSEC source: 0001140361-23-028622 · form4.xml · nonDerivative · entry 4 Drapkin Matthew A · CIK 0001458693 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 1,879,778 F2 · ownership.direct: Represents shares of common stock purchased by managed accounts (the "Managed Accounts") on behalf of certain investment advisory clients of Northern Right Capital Management, L.P. ("Northern Right Management"). F3 · ownership.nature: As general partner and investment manager of Northern Right QP, Northern Right Capital Management, L.P. ("Northern Right Management") may be deemed to be the beneficial owner of the shares of common stock 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 shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA. F4 · ownership.nature: (continued from footnote 3) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein. Read SEC document |
| June 05, 2023 Filed Jun 7, 2023 00:45 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 7,591 | $2.08 | $15,776.38 |
DisclosureSEC source: 0001140361-23-028622 · form4.xml · nonDerivative · entry 3 Drapkin Matthew A · CIK 0001458693 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 2,087,036 F1 · ownership.direct: Represents shares of common stock held directly by Northern Right Capital (QP), L.P., a Texas limited partnership ("Northern Right QP"). F3 · ownership.nature: As general partner and investment manager of Northern Right QP, Northern Right Capital Management, L.P. ("Northern Right Management") may be deemed to be the beneficial owner of the shares of common stock 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 shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA. F4 · ownership.nature: (continued from footnote 3) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein. Read SEC document |
| June 02, 2023 Filed Jun 7, 2023 00:45 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 427 | $2.10 | $898.15 |
DisclosureSEC source: 0001140361-23-028622 · form4.xml · nonDerivative · entry 2 Drapkin Matthew A · CIK 0001458693 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 1,878,519 F2 · ownership.direct: Represents shares of common stock purchased by managed accounts (the "Managed Accounts") on behalf of certain investment advisory clients of Northern Right Capital Management, L.P. ("Northern Right Management"). F3 · ownership.nature: As general partner and investment manager of Northern Right QP, Northern Right Capital Management, L.P. ("Northern Right Management") may be deemed to be the beneficial owner of the shares of common stock 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 shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA. F4 · ownership.nature: (continued from footnote 3) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein. Read SEC document |
| June 02, 2023 Filed Jun 7, 2023 00:45 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 2,578 | $2.10 | $5,422.57 |
DisclosureSEC source: 0001140361-23-028622 · form4.xml · nonDerivative · entry 1 Drapkin Matthew A · CIK 0001458693 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 2,079,445 F1 · ownership.direct: Represents shares of common stock held directly by Northern Right Capital (QP), L.P., a Texas limited partnership ("Northern Right QP"). F3 · ownership.nature: As general partner and investment manager of Northern Right QP, Northern Right Capital Management, L.P. ("Northern Right Management") may be deemed to be the beneficial owner of the shares of common stock 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 shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA. F4 · ownership.nature: (continued from footnote 3) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein. Read SEC document |
| May 31, 2023 Filed Jun 1, 2023 00:41 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 666 | $2.06 | $1,370.49 |
DisclosureSEC source: 0001140361-23-027601 · form4.xml · nonDerivative · entry 4 Drapkin Matthew A · CIK 0001458693 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 1,878,092 F2 · ownership.direct: Represents shares of common stock purchased by managed accounts (the "Managed Accounts") on behalf of certain investment advisory clients of Northern Right Capital Management, L.P. ("Northern Right Management"). F3 · ownership.nature: As general partner and investment manager of Northern Right QP, Northern Right Capital Management, L.P. ("Northern Right Management") may be deemed to be the beneficial owner of the shares of common stock 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 shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA. F4 · ownership.nature: (continued from footnote 3) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein. Read SEC document |
| May 31, 2023 Filed Jun 1, 2023 00:41 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 4,012 | $2.06 | $8,255.89 |
DisclosureSEC source: 0001140361-23-027601 · form4.xml · nonDerivative · entry 3 Drapkin Matthew A · CIK 0001458693 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 2,076,867 F1 · ownership.direct: Represents shares of common stock held directly by Northern Right Capital (QP), L.P., a Texas limited partnership ("Northern Right QP"). F3 · ownership.nature: As general partner and investment manager of Northern Right QP, Northern Right Capital Management, L.P. ("Northern Right Management") may be deemed to be the beneficial owner of the shares of common stock 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 shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA. F4 · ownership.nature: (continued from footnote 3) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein. Read SEC document |
| May 26, 2023 Filed Jun 1, 2023 00:41 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 639 | $2.05 | $1,309.89 |
DisclosureSEC source: 0001140361-23-027601 · form4.xml · nonDerivative · entry 2 Drapkin Matthew A · CIK 0001458693 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 1,877,426 F2 · ownership.direct: Represents shares of common stock purchased by managed accounts (the "Managed Accounts") on behalf of certain investment advisory clients of Northern Right Capital Management, L.P. ("Northern Right Management"). F3 · ownership.nature: As general partner and investment manager of Northern Right QP, Northern Right Capital Management, L.P. ("Northern Right Management") may be deemed to be the beneficial owner of the shares of common stock 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 shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA. F4 · ownership.nature: (continued from footnote 3) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein. Read SEC document |
| May 26, 2023 Filed Jun 1, 2023 00:41 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 3,852 | $2.05 | $7,896.21 |
DisclosureSEC source: 0001140361-23-027601 · form4.xml · nonDerivative · entry 1 Drapkin Matthew A · CIK 0001458693 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 2,072,855 F1 · ownership.direct: Represents shares of common stock held directly by Northern Right Capital (QP), L.P., a Texas limited partnership ("Northern Right QP"). F3 · ownership.nature: As general partner and investment manager of Northern Right QP, Northern Right Capital Management, L.P. ("Northern Right Management") may be deemed to be the beneficial owner of the shares of common stock 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 shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA. F4 · ownership.nature: (continued from footnote 3) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein. Read SEC document |
| May 22, 2023 Filed May 23, 2023 01:21 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 372 | $2.06 | $766.32 |
DisclosureSEC source: 0001140361-23-026105 · form4.xml · nonDerivative · entry 6 Drapkin Matthew A · CIK 0001458693 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 1,876,787 F2 · ownership.direct: Represents shares of common stock purchased by managed accounts (the "Managed Accounts") on behalf of certain investment advisory clients of Northern Right Capital Management, L.P. ("Northern Right Management"). F3 · ownership.nature: As general partner and investment manager of Northern Right QP, Northern Right Capital Management, L.P. ("Northern Right Management") may be deemed to be the beneficial owner of the shares of common stock 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 shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA. F4 · ownership.nature: (continued from footnote 3) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein. Read SEC document |
| May 22, 2023 Filed May 23, 2023 01:21 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 2,240 | $2.06 | $4,614.40 |
DisclosureSEC source: 0001140361-23-026105 · form4.xml · nonDerivative · entry 5 Drapkin Matthew A · CIK 0001458693 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 2,069,003 F1 · ownership.direct: Represents shares of common stock held directly by Northern Right Capital (QP), L.P., a Texas limited partnership ("Northern Right QP"). F3 · ownership.nature: As general partner and investment manager of Northern Right QP, Northern Right Capital Management, L.P. ("Northern Right Management") may be deemed to be the beneficial owner of the shares of common stock 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 shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA. F4 · ownership.nature: (continued from footnote 3) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein. Read SEC document |
| May 19, 2023 Filed May 23, 2023 01:21 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 34,711 | $2.00 | $69,484.48 |
DisclosureSEC source: 0001140361-23-026105 · form4.xml · nonDerivative · entry 4 Drapkin Matthew A · CIK 0001458693 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 1,876,415 F2 · ownership.direct: Represents shares of common stock purchased by managed accounts (the "Managed Accounts") on behalf of certain investment advisory clients of Northern Right Capital Management, L.P. ("Northern Right Management"). F3 · ownership.nature: As general partner and investment manager of Northern Right QP, Northern Right Capital Management, L.P. ("Northern Right Management") may be deemed to be the beneficial owner of the shares of common stock 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 shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA. F4 · ownership.nature: (continued from footnote 3) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein. Read SEC document |
| May 19, 2023 Filed May 23, 2023 01:21 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 209,280 | $2.00 | $418,936.70 |
DisclosureSEC source: 0001140361-23-026105 · form4.xml · nonDerivative · entry 3 Drapkin Matthew A · CIK 0001458693 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 2,066,763 F1 · ownership.direct: Represents shares of common stock held directly by Northern Right Capital (QP), L.P., a Texas limited partnership ("Northern Right QP"). F3 · ownership.nature: As general partner and investment manager of Northern Right QP, Northern Right Capital Management, L.P. ("Northern Right Management") may be deemed to be the beneficial owner of the shares of common stock 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 shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA. F4 · ownership.nature: (continued from footnote 3) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein. Read SEC document |
| May 18, 2023 Filed May 23, 2023 01:21 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 7,113 | $1.97 | $14,012.61 |
DisclosureSEC source: 0001140361-23-026105 · form4.xml · nonDerivative · entry 2 Drapkin Matthew A · CIK 0001458693 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 1,841,704 F2 · ownership.direct: Represents shares of common stock purchased by managed accounts (the "Managed Accounts") on behalf of certain investment advisory clients of Northern Right Capital Management, L.P. ("Northern Right Management"). F3 · ownership.nature: As general partner and investment manager of Northern Right QP, Northern Right Capital Management, L.P. ("Northern Right Management") may be deemed to be the beneficial owner of the shares of common stock 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 shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA. F4 · ownership.nature: (continued from footnote 3) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein. Read SEC document |
| May 18, 2023 Filed May 23, 2023 01:21 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 42,887 | $1.97 | $84,487.39 |
DisclosureSEC source: 0001140361-23-026105 · form4.xml · nonDerivative · entry 1 Drapkin Matthew A · CIK 0001458693 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 1,857,483 F1 · ownership.direct: Represents shares of common stock held directly by Northern Right Capital (QP), L.P., a Texas limited partnership ("Northern Right QP"). F3 · ownership.nature: As general partner and investment manager of Northern Right QP, Northern Right Capital Management, L.P. ("Northern Right Management") may be deemed to be the beneficial owner of the shares of common stock 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 shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA. F4 · ownership.nature: (continued from footnote 3) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein. Read SEC document |
| April 03, 2023 Filed Apr 5, 2023 16:59 UTC | Great Elm Group, Inc. GEG · Entity 7060 | OtherCommon Stock | 21,763 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-23-016649 · form4.xml · nonDerivative · entry 3 Drapkin Matthew A · CIK 0001458693 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 425,171 F5 · kind: The Reporting Person was awarded 21,763 shares of restricted stock, which vest in three equal installments on the end of each quarter beginning on June 30, 2023 through December 31, 2023, contingent upon continued service as a member of the board of directors of Great Elm Capital Corp. Read SEC document |
| March 16, 2023 Filed Mar 20, 2023 22:13 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 3,266 | $2.37 | $7,738.46 |
DisclosureSEC source: 0001140361-23-012602 · form4.xml · nonDerivative · entry 2 Drapkin Matthew A · CIK 0001458693 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 1,834,591 F2 · ownership.direct: Represents shares of common stock purchased by managed accounts (the "Managed Accounts") on behalf of certain investment advisory clients of Northern Right Capital Management, L.P. ("Northern Right Management"). F3 · ownership.nature: As general partner and investment manager of Northern Right QP, Northern Right Capital Management, L.P. ("Northern Right Management") may be deemed to be the beneficial owner of the shares of common stock 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 shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA. F4 · ownership.nature: (continued from footnote 3) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein. Read SEC document |
| March 16, 2023 Filed Mar 20, 2023 22:13 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 20,364 | $2.37 | $48,250.46 |
DisclosureSEC source: 0001140361-23-012602 · form4.xml · nonDerivative · entry 1 Drapkin Matthew A · CIK 0001458693 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 1,814,596 F1 · ownership.direct: Represents shares of common stock held directly by Northern Right Capital (QP), L.P., a Texas limited partnership ("Northern Right QP"). F3 · ownership.nature: As general partner and investment manager of Northern Right QP, Northern Right Capital Management, L.P. ("Northern Right Management") may be deemed to be the beneficial owner of the shares of common stock 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 shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA. F4 · ownership.nature: (continued from footnote 3) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein. Read SEC document |
| March 10, 2023 Filed Mar 14, 2023 00:43 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 2,379 | $2.24 | $5,321.59 |
DisclosureSEC source: 0001140361-23-011462 · form4.xml · nonDerivative · entry 4 Drapkin Matthew A · CIK 0001458693 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,831,325 F2 · ownership.direct: Represents shares of common stock purchased managed accounts (the "Managed Accounts") on behalf of certain investment advisory clients of Northern Right Capital Management, L.P. ("Northern Right Management"). F3 · ownership.nature: As general partner and investment manager of NRC Partners and Northern Right QP, Northern Right Capital Management, L.P. ("Northern Right Management") may be deemed to be the beneficial owner of the shares of common stock held by NRC Partners 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 shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA. F4 · ownership.nature: (continued from footnote 3) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein. Read SEC document |
| March 10, 2023 Filed Mar 14, 2023 00:43 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 14,437 | $2.24 | $32,294.13 |
DisclosureSEC source: 0001140361-23-011462 · form4.xml · nonDerivative · entry 3 Drapkin Matthew A · CIK 0001458693 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,794,232 F1 · ownership.direct: Represents shares of common stock held directly by Northern Right Capital (QP), L.P., a Texas limited partnership ("Northern Right QP"). Includes 152,315 shares of common stock that were previously owned by NRC Partners I, L.P. ("NRC Partners") and were transferred to Northern Right QP on March 1, 2023. F3 · ownership.nature: As general partner and investment manager of NRC Partners and Northern Right QP, Northern Right Capital Management, L.P. ("Northern Right Management") may be deemed to be the beneficial owner of the shares of common stock held by NRC Partners 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 shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA. F4 · ownership.nature: (continued from footnote 3) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein. Read SEC document |
| March 09, 2023 Filed Mar 14, 2023 00:43 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 4,049 | $2.31 | $9,356.02 |
DisclosureSEC source: 0001140361-23-011462 · form4.xml · nonDerivative · entry 2 Drapkin Matthew A · CIK 0001458693 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,828,946 F2 · ownership.direct: Represents shares of common stock purchased managed accounts (the "Managed Accounts") on behalf of certain investment advisory clients of Northern Right Capital Management, L.P. ("Northern Right Management"). F3 · ownership.nature: As general partner and investment manager of NRC Partners and Northern Right QP, Northern Right Capital Management, L.P. ("Northern Right Management") may be deemed to be the beneficial owner of the shares of common stock held by NRC Partners 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 shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA. F4 · ownership.nature: (continued from footnote 3) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein. Read SEC document |
| March 09, 2023 Filed Mar 14, 2023 00:43 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 24,564 | $2.31 | $56,760.03 |
DisclosureSEC source: 0001140361-23-011462 · form4.xml · nonDerivative · entry 1 Drapkin Matthew A · CIK 0001458693 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,779,795 F1 · ownership.direct: Represents shares of common stock held directly by Northern Right Capital (QP), L.P., a Texas limited partnership ("Northern Right QP"). Includes 152,315 shares of common stock that were previously owned by NRC Partners I, L.P. ("NRC Partners") and were transferred to Northern Right QP on March 1, 2023. F3 · ownership.nature: As general partner and investment manager of NRC Partners and Northern Right QP, Northern Right Capital Management, L.P. ("Northern Right Management") may be deemed to be the beneficial owner of the shares of common stock held by NRC Partners 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 shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA. F4 · ownership.nature: (continued from footnote 3) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein. Read SEC document |
| February 24, 2023 Filed Feb 25, 2023 02:36 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 1,876 | $2.14 | $4,016.52 |
DisclosureSEC source: 0001140361-23-008679 · form4.xml · nonDerivative · entry 6 Drapkin Matthew A · CIK 0001458693 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,824,897 F3 · ownership.direct: Represents shares of common stock purchased managed accounts (the "Managed Accounts") on behalf of certain investment advisory clients of Northern Right Capital Management, L.P. ("Northern Right Management"). F4 · ownership.nature: As general partner and investment manager of NRC Partners and Northern Right QP, Northern Right Capital Management, L.P. ("Northern Right Management") may be deemed to be the beneficial owner of the shares of common stock held by NRC Partners 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 shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA. F5 · ownership.nature: (continued from footnote 4) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein. Read SEC document |
| February 24, 2023 Filed Feb 25, 2023 02:36 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 2,795 | $2.14 | $5,984.10 |
DisclosureSEC source: 0001140361-23-008679 · form4.xml · nonDerivative · entry 5 Drapkin Matthew A · CIK 0001458693 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 152,315 F2 · ownership.direct: Represents shares of common stock held directly by NRC Partners I, L.P. ("NRC Partners"). F4 · ownership.nature: As general partner and investment manager of NRC Partners and Northern Right QP, Northern Right Capital Management, L.P. ("Northern Right Management") may be deemed to be the beneficial owner of the shares of common stock held by NRC Partners 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 shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA. F5 · ownership.nature: (continued from footnote 4) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein. Read SEC document |
| February 24, 2023 Filed Feb 25, 2023 02:36 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 8,605 | $2.14 | $18,423.31 |
DisclosureSEC source: 0001140361-23-008679 · form4.xml · nonDerivative · entry 4 Drapkin Matthew A · CIK 0001458693 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,602,916 F1 · ownership.direct: Represents shares of common stock held directly by Northern Right Capital (QP), L.P., a Texas limited partnership ("Northern Right QP"). F4 · ownership.nature: As general partner and investment manager of NRC Partners and Northern Right QP, Northern Right Capital Management, L.P. ("Northern Right Management") may be deemed to be the beneficial owner of the shares of common stock held by NRC Partners 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 shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA. F5 · ownership.nature: (continued from footnote 4) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein. Read SEC document |
| February 22, 2023 Filed Feb 25, 2023 02:36 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 2,134 | $2.15 | $4,587.89 |
DisclosureSEC source: 0001140361-23-008679 · form4.xml · nonDerivative · entry 3 Drapkin Matthew A · CIK 0001458693 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,823,021 F3 · ownership.direct: Represents shares of common stock purchased managed accounts (the "Managed Accounts") on behalf of certain investment advisory clients of Northern Right Capital Management, L.P. ("Northern Right Management"). F4 · ownership.nature: As general partner and investment manager of NRC Partners and Northern Right QP, Northern Right Capital Management, L.P. ("Northern Right Management") may be deemed to be the beneficial owner of the shares of common stock held by NRC Partners 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 shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA. F5 · ownership.nature: (continued from footnote 4) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein. Read SEC document |
| February 22, 2023 Filed Feb 25, 2023 02:36 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 3,172 | $2.15 | $6,819.48 |
DisclosureSEC source: 0001140361-23-008679 · form4.xml · nonDerivative · entry 2 Drapkin Matthew A · CIK 0001458693 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 149,520 F2 · ownership.direct: Represents shares of common stock held directly by NRC Partners I, L.P. ("NRC Partners"). F4 · ownership.nature: As general partner and investment manager of NRC Partners and Northern Right QP, Northern Right Capital Management, L.P. ("Northern Right Management") may be deemed to be the beneficial owner of the shares of common stock held by NRC Partners 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 shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA. F5 · ownership.nature: (continued from footnote 4) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein. Read SEC document |
| February 22, 2023 Filed Feb 25, 2023 02:36 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 9,756 | $2.15 | $20,974.42 |
DisclosureSEC source: 0001140361-23-008679 · form4.xml · nonDerivative · entry 1 Drapkin Matthew A · CIK 0001458693 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,594,311 F1 · ownership.direct: Represents shares of common stock held directly by Northern Right Capital (QP), L.P., a Texas limited partnership ("Northern Right QP"). F4 · ownership.nature: As general partner and investment manager of NRC Partners and Northern Right QP, Northern Right Capital Management, L.P. ("Northern Right Management") may be deemed to be the beneficial owner of the shares of common stock held by NRC Partners 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 shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA. F5 · ownership.nature: (continued from footnote 4) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein. 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.