organization · Reporting owner
Imperial Capital Asset Management, LLC
Disclosed activity across 2 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Forest Investments, Inc.GEC · Entity 144097 | 10% owner | January 05, 2021 | January 06, 2021 |
| Great Elm Group, Inc.GEG · Entity 7060 | 10% owner | September 20, 2024 | September 24, 2024 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Forest Investments, Inc.
Report date January 05, 2021 · Filed January 06, 2021
Jointly reported with Reese Jason W., LONG BALL PARTNERS LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common stock, par value $0.001 per shareSEC Table I · non-derivative | Direct | 89,740 |
Reported balance
After 2021-01-05 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2021-01-05 · Grant · Acquired 15,909 · Balance 89,740 F1: Jason Reese was awarded 15,909 restricted shares that fully vested on the grant date, January 5, 2021. |
| Common stock, par value $0.001 per shareSEC Table I · non-derivative | IndirectSee Footnote | 2,329,312 |
Reported balance
Holding disclosure · report date 2021-01-05 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 2,329,312 F2: This Common Stock is held directly by Long Ball Partners, LLC ("Long Ball"). Mr. Reese is portfolio manager to Long Ball and is Chairman and Chief Executive Officer of Imperial Capital Asset Management, LLC ("ICAM"), which is the managing member of and investment manager to Long Ball. Each of Mr. Reese and ICAM disclaims beneficial ownership of the securities held by Long Ball except to the extent of that person's pecuniary interest therein. Each of Long Ball and ICAM disclaims beneficial ownership of the securities held by Mr. Reese. |
Filing footnotes · ownership attribution and instrument terms
F1: Jason Reese was awarded 15,909 restricted shares that fully vested on the grant date, January 5, 2021.
F2: This Common Stock is held directly by Long Ball Partners, LLC ("Long Ball"). Mr. Reese is portfolio manager to Long Ball and is Chairman and Chief Executive Officer of Imperial Capital Asset Management, LLC ("ICAM"), which is the managing member of and investment manager to Long Ball. Each of Mr. Reese and ICAM disclaims beneficial ownership of the securities held by Long Ball except to the extent of that person's pecuniary interest therein. Each of Long Ball and ICAM disclaims beneficial ownership of the securities held by Mr. Reese.
Great Elm Group, Inc.
Report date September 20, 2024 · Filed September 24, 2024
Jointly reported with Reese Jason W., LONG BALL PARTNERS LLC, Imperial Capital Group Holdings II, LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 993,119 |
Reported balance
After 2024-09-20 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2024-09-20 · Grant · Acquired 130,208 · Balance 993,119 F4: On September 20, 2024, Jason Reese was awarded 130,208 shares of restricted stock, 25% of which vested on September 20, 2024, with 25% to vest on each of September 20, 2025, September 20, 2026 and September 20, 2027. F5: Reflects shares directly beneficially owned by Mr. Reese. F3: Each of Mr. Reese, ICAM, Long Ball and ICGH2 disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. |
| Common stock, par value $0.01 per share ("Common Stock")SEC Table I · non-derivative | IndirectSee Footnotes | 6,379,646 |
Reported balance
Holding disclosure · report date 2024-09-20 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 6,379,646 F1: This Common Stock is held directly by Long Ball Partners, LLC ("Long Ball"), Imperial Capital Asset Management, LLC ("ICAM") and Imperial Capital Group Holdings II, LLC ("ICGH2"). Mr. Reese is portfolio manager to Long Ball and is Chairman and Chief Executive Officer of ICAM, which is the managing member of and investment manager to Long Ball. Mr. Reese is one of the owners of Imperial Capital Group Holdings, LLC, which is the managing member of ICGH2. Mr. Reese has voting and dispositive power over the shares of Common Stock held directly by each of Long Ball, ICAM and ICGH2. F2: Consists of 5,009,662 shares held directly by Long Ball, 909,084 shares held directly by ICAM, and 460,900 shares held directly by ICGH2. F3: Each of Mr. Reese, ICAM, Long Ball and ICGH2 disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: This Common Stock is held directly by Long Ball Partners, LLC ("Long Ball"), Imperial Capital Asset Management, LLC ("ICAM") and Imperial Capital Group Holdings II, LLC ("ICGH2"). Mr. Reese is portfolio manager to Long Ball and is Chairman and Chief Executive Officer of ICAM, which is the managing member of and investment manager to Long Ball. Mr. Reese is one of the owners of Imperial Capital Group Holdings, LLC, which is the managing member of ICGH2. Mr. Reese has voting and dispositive power over the shares of Common Stock held directly by each of Long Ball, ICAM and ICGH2.
F2: Consists of 5,009,662 shares held directly by Long Ball, 909,084 shares held directly by ICAM, and 460,900 shares held directly by ICGH2.
F3: Each of Mr. Reese, ICAM, Long Ball and ICGH2 disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest.
F4: On September 20, 2024, Jason Reese was awarded 130,208 shares of restricted stock, 25% of which vested on September 20, 2024, with 25% to vest on each of September 20, 2025, September 20, 2026 and September 20, 2027.
F5: Reflects shares directly beneficially owned by Mr. Reese.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| September 20, 2024 Filed Sep 24, 2024 20:28 UTC | Great Elm Group, Inc. GEG · Entity 7060 | GrantCommon Stock | 130,208 | $0.00 | $0.00 |
DisclosureSEC source: 0000950170-24-109094 · ownership.xml · nonDerivative · entry 2 Reese Jason W. · CIK 0001479613 · Director · See remarks · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Imperial Capital Group Holdings II, LLC · CIK 0001961798 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 993,119 F4 · shares: On September 20, 2024, Jason Reese was awarded 130,208 shares of restricted stock, 25% of which vested on September 20, 2024, with 25% to vest on each of September 20, 2025, September 20, 2026 and September 20, 2027. F5 · balance_after: Reflects shares directly beneficially owned by Mr. Reese. F3 · ownership.direct: Each of Mr. Reese, ICAM, Long Ball and ICGH2 disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. Read SEC document |
| May 23, 2024 Filed May 24, 2024 00:43 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 5,015 | $1.75 | $8,776.25 |
DisclosureSEC source: 0000950170-24-064258 · ownership.xml · nonDerivative · entry 3 Reese Jason W. · CIK 0001479613 · Director · See remarks · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Imperial Capital Group Holdings II, LLC · CIK 0001961798 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 6,379,646 F5 · price: The price reported in Column 4 is a weighted average price, rounded to the nearest cent. These shares were purchased in multiple transactions at prices ranging from $1.75 to $1.76, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F2 · ownership.nature: This Common Stock is held directly by Long Ball Partners, LLC ("Long Ball"), Imperial Capital Asset Management, LLC ("ICAM") and Imperial Capital Group Holdings II, LLC ("ICGH2"). Mr. Reese is portfolio manager to Long Ball and is Chairman and Chief Executive Officer of ICAM, which is the managing member of and investment manager to Long Ball. Mr. Reese is one of the owners of Imperial Capital Group Holdings, LLC, which is the managing member of ICGH2. Mr. Reese has voting and dispositive power over the shares of Common Stock held directly by each of Long Ball, ICAM and ICGH2. F3 · ownership.nature: Each of Mr. Reese, ICAM, Long Ball and ICGH2 disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. F6 · ownership.nature: Consists of 5,009,662 shares held directly by Long Ball, 909,084 shares held directly by ICAM, and 460,900 shares held directly by ICGH2. Read SEC document |
| May 22, 2024 Filed May 24, 2024 00:43 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 20,001 | $1.76 | $35,201.76 |
DisclosureSEC source: 0000950170-24-064258 · ownership.xml · nonDerivative · entry 2 Reese Jason W. · CIK 0001479613 · Director · See remarks · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Imperial Capital Group Holdings II, LLC · CIK 0001961798 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 6,374,631 F4 · price: The price reported in Column 4 is a weighted average price, rounded to the nearest cent. These shares were purchased in multiple transactions at prices ranging from $1.76 to $1.77, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F2 · ownership.nature: This Common Stock is held directly by Long Ball Partners, LLC ("Long Ball"), Imperial Capital Asset Management, LLC ("ICAM") and Imperial Capital Group Holdings II, LLC ("ICGH2"). Mr. Reese is portfolio manager to Long Ball and is Chairman and Chief Executive Officer of ICAM, which is the managing member of and investment manager to Long Ball. Mr. Reese is one of the owners of Imperial Capital Group Holdings, LLC, which is the managing member of ICGH2. Mr. Reese has voting and dispositive power over the shares of Common Stock held directly by each of Long Ball, ICAM and ICGH2. F3 · ownership.nature: Each of Mr. Reese, ICAM, Long Ball and ICGH2 disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. Read SEC document |
| May 21, 2024 Filed May 24, 2024 00:43 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon stock, par value $0.01 per share ("Common Stock") | 24,984 | $1.77 | $44,221.68 |
DisclosureSEC source: 0000950170-24-064258 · ownership.xml · nonDerivative · entry 1 Reese Jason W. · CIK 0001479613 · Director · See remarks · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Imperial Capital Group Holdings II, LLC · CIK 0001961798 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 6,354,630 F1 · price: The price reported in Column 4 is a weighted average price, rounded to the nearest cent. These shares were purchased in multiple transactions at prices ranging from $1.76 to $1.78, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F2 · ownership.nature: This Common Stock is held directly by Long Ball Partners, LLC ("Long Ball"), Imperial Capital Asset Management, LLC ("ICAM") and Imperial Capital Group Holdings II, LLC ("ICGH2"). Mr. Reese is portfolio manager to Long Ball and is Chairman and Chief Executive Officer of ICAM, which is the managing member of and investment manager to Long Ball. Mr. Reese is one of the owners of Imperial Capital Group Holdings, LLC, which is the managing member of ICGH2. Mr. Reese has voting and dispositive power over the shares of Common Stock held directly by each of Long Ball, ICAM and ICGH2. F3 · ownership.nature: Each of Mr. Reese, ICAM, Long Ball and ICGH2 disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. Read SEC document |
| March 15, 2024 Filed Mar 18, 2024 21:00 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 7,843 | $2.00 | $15,686.00 |
DisclosureSEC source: 0000950170-24-032902 · ownership.xml · nonDerivative · entry 2 Reese Jason W. · CIK 0001479613 · Director · See remarks · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Imperial Capital Group Holdings II, LLC · CIK 0001961798 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 6,329,646 F4 · price: The price reported in Column 4 is a weighted average price, rounded to the nearest cent. These shares were purchased in multiple transactions at prices ranging from $1.95 to $2.00, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F2 · ownership.nature: This Common Stock is held directly by Long Ball Partners, LLC ("Long Ball"), Imperial Capital Asset Management, LLC ("ICAM") and Imperial Capital Group Holdings II, LLC ("ICGH2"). Mr. Reese is portfolio manager to Long Ball and is Chairman and Chief Executive Officer of ICAM, which is the managing member of and investment manager to Long Ball. Mr. Reese is one of the owners of Imperial Capital Group Holdings, LLC, which is the managing member of ICGH2. Mr. Reese has voting and dispositive power over the shares of Common Stock held directly by each of Long Ball, ICAM and ICGH2. F3 · ownership.nature: Each of Mr. Reese, ICAM, Long Ball and ICGH2 disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. F5 · ownership.nature: Consists of 4,959,662 shares held directly by Long Ball, 909,084 shares held directly by ICAM, and 460,900 shares held directly by ICGH2. Read SEC document |
| March 14, 2024 Filed Mar 18, 2024 21:00 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon stock, par value $0.01 per share ("Common Stock") | 3,254 | $1.98 | $6,442.92 |
DisclosureSEC source: 0000950170-24-032902 · ownership.xml · nonDerivative · entry 1 Reese Jason W. · CIK 0001479613 · Director · See remarks · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Imperial Capital Group Holdings II, LLC · CIK 0001961798 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 6,321,803 F1 · price: The price reported in Column 4 is a weighted average price, rounded to the nearest cent. These shares were purchased in multiple transactions at prices ranging from $1.90 to $1.98, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F2 · ownership.nature: This Common Stock is held directly by Long Ball Partners, LLC ("Long Ball"), Imperial Capital Asset Management, LLC ("ICAM") and Imperial Capital Group Holdings II, LLC ("ICGH2"). Mr. Reese is portfolio manager to Long Ball and is Chairman and Chief Executive Officer of ICAM, which is the managing member of and investment manager to Long Ball. Mr. Reese is one of the owners of Imperial Capital Group Holdings, LLC, which is the managing member of ICGH2. Mr. Reese has voting and dispositive power over the shares of Common Stock held directly by each of Long Ball, ICAM and ICGH2. F3 · ownership.nature: Each of Mr. Reese, ICAM, Long Ball and ICGH2 disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. Read SEC document |
| March 13, 2024 Filed Mar 14, 2024 00:35 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 16,200 | $1.94 | $31,428.00 |
DisclosureSEC source: 0000950170-24-031061 · ownership.xml · nonDerivative · entry 3 Reese Jason W. · CIK 0001479613 · Director · See remarks · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Imperial Capital Group Holdings II, LLC · CIK 0001961798 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 6,318,549 F3 · price: The price reported in Column 4 is a weighted average price, rounded to the nearest cent. These shares were purchased in multiple transactions at prices ranging from $1.90 to $1.97, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F1 · ownership.nature: This Common Stock is held directly by Long Ball Partners, LLC ("Long Ball"), Imperial Capital Asset Management, LLC ("ICAM") and Imperial Capital Group Holdings II, LLC ("ICGH2"). Mr. Reese is portfolio manager to Long Ball and is Chairman and Chief Executive Officer of ICAM, which is the managing member of and investment manager to Long Ball. Mr. Reese is one of the owners of Imperial Capital Group Holdings, LLC, which is the managing member of ICGH2. Mr. Reese has voting and dispositive power over the shares of Common Stock held directly by each of Long Ball, ICAM and ICGH2. F2 · ownership.nature: Each of Mr. Reese, ICAM, Long Ball and ICGH2 disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. F4 · ownership.nature: Consists of 4,948,565 shares held directly by Long Ball, 909,084 shares held directly by ICAM, and 460,900 shares held directly by ICGH2. Read SEC document |
| March 12, 2024 Filed Mar 14, 2024 00:35 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 2,500 | $1.90 | $4,750.00 |
DisclosureSEC source: 0000950170-24-031061 · ownership.xml · nonDerivative · entry 2 Reese Jason W. · CIK 0001479613 · Director · See remarks · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Imperial Capital Group Holdings II, LLC · CIK 0001961798 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 6,302,349 F1 · ownership.nature: This Common Stock is held directly by Long Ball Partners, LLC ("Long Ball"), Imperial Capital Asset Management, LLC ("ICAM") and Imperial Capital Group Holdings II, LLC ("ICGH2"). Mr. Reese is portfolio manager to Long Ball and is Chairman and Chief Executive Officer of ICAM, which is the managing member of and investment manager to Long Ball. Mr. Reese is one of the owners of Imperial Capital Group Holdings, LLC, which is the managing member of ICGH2. Mr. Reese has voting and dispositive power over the shares of Common Stock held directly by each of Long Ball, ICAM and ICGH2. F2 · ownership.nature: Each of Mr. Reese, ICAM, Long Ball and ICGH2 disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. Read SEC document |
| March 11, 2024 Filed Mar 14, 2024 00:35 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon stock, par value $0.01 per share ("Common Stock") | 806 | $1.90 | $1,531.40 |
DisclosureSEC source: 0000950170-24-031061 · ownership.xml · nonDerivative · entry 1 Reese Jason W. · CIK 0001479613 · Director · See remarks · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Imperial Capital Group Holdings II, LLC · CIK 0001961798 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 6,299,849 F1 · ownership.nature: This Common Stock is held directly by Long Ball Partners, LLC ("Long Ball"), Imperial Capital Asset Management, LLC ("ICAM") and Imperial Capital Group Holdings II, LLC ("ICGH2"). Mr. Reese is portfolio manager to Long Ball and is Chairman and Chief Executive Officer of ICAM, which is the managing member of and investment manager to Long Ball. Mr. Reese is one of the owners of Imperial Capital Group Holdings, LLC, which is the managing member of ICGH2. Mr. Reese has voting and dispositive power over the shares of Common Stock held directly by each of Long Ball, ICAM and ICGH2. F2 · ownership.nature: Each of Mr. Reese, ICAM, Long Ball and ICGH2 disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. Read SEC document |
| March 07, 2024 Filed Mar 8, 2024 02:35 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 5,081 | $1.96 | $9,958.76 |
DisclosureSEC source: 0000950170-24-028325 · ownership.xml · nonDerivative · entry 3 Reese Jason W. · CIK 0001479613 · Director · See remarks · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Imperial Capital Group Holdings II, LLC · CIK 0001961798 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 6,299,043 F5 · price: The price reported in Column 4 is a weighted average price, rounded to the nearest cent. These shares were purchased in multiple transactions at prices ranging from $1.90 to $1.98, 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. F2 · ownership.nature: This Common Stock is held directly by Long Ball Partners, LLC ("Long Ball"), Imperial Capital Asset Management, LLC ("ICAM") and Imperial Capital Group Holdings II, LLC ("ICGH2"). Mr. Reese is portfolio manager to Long Ball and is Chairman and Chief Executive Officer of ICAM, which is the managing member of and investment manager to Long Ball. Mr. Reese is one of the owners of Imperial Capital Group Holdings, LLC, which is the managing member of ICGH2. Mr. Reese has voting and dispositive power over the shares of Common Stock held directly by each of Long Ball, ICAM and ICGH2. F3 · ownership.nature: Each of Mr. Reese, ICAM, Long Ball and ICGH2 disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. F6 · ownership.nature: Consists of 4,929,059 shares held directly by Long Ball, 909,084 shares held directly by ICAM, and 460,900 shares held directly by ICGH2. Read SEC document |
| March 06, 2024 Filed Mar 8, 2024 02:35 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 4,389 | $1.96 | $8,602.44 |
DisclosureSEC source: 0000950170-24-028325 · ownership.xml · nonDerivative · entry 2 Reese Jason W. · CIK 0001479613 · Director · See remarks · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Imperial Capital Group Holdings II, LLC · CIK 0001961798 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 6,293,962 F4 · price: The price reported in Column 4 is a weighted average price, rounded to the nearest cent. These shares were purchased in multiple transactions at prices ranging from $1.90 to $1.97, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F2 · ownership.nature: This Common Stock is held directly by Long Ball Partners, LLC ("Long Ball"), Imperial Capital Asset Management, LLC ("ICAM") and Imperial Capital Group Holdings II, LLC ("ICGH2"). Mr. Reese is portfolio manager to Long Ball and is Chairman and Chief Executive Officer of ICAM, which is the managing member of and investment manager to Long Ball. Mr. Reese is one of the owners of Imperial Capital Group Holdings, LLC, which is the managing member of ICGH2. Mr. Reese has voting and dispositive power over the shares of Common Stock held directly by each of Long Ball, ICAM and ICGH2. F3 · ownership.nature: Each of Mr. Reese, ICAM, Long Ball and ICGH2 disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. Read SEC document |
| March 05, 2024 Filed Mar 8, 2024 02:35 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon stock, par value $0.01 per share ("Common Stock") | 5,137 | $1.93 | $9,914.41 |
DisclosureSEC source: 0000950170-24-028325 · ownership.xml · nonDerivative · entry 1 Reese Jason W. · CIK 0001479613 · Director · See remarks · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Imperial Capital Group Holdings II, LLC · CIK 0001961798 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 6,289,573 F1 · price: The price reported in Column 4 is a weighted average price, rounded to the nearest cent. These shares were purchased in multiple transactions at prices ranging from $1.90 to $1.94, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F2 · ownership.nature: This Common Stock is held directly by Long Ball Partners, LLC ("Long Ball"), Imperial Capital Asset Management, LLC ("ICAM") and Imperial Capital Group Holdings II, LLC ("ICGH2"). Mr. Reese is portfolio manager to Long Ball and is Chairman and Chief Executive Officer of ICAM, which is the managing member of and investment manager to Long Ball. Mr. Reese is one of the owners of Imperial Capital Group Holdings, LLC, which is the managing member of ICGH2. Mr. Reese has voting and dispositive power over the shares of Common Stock held directly by each of Long Ball, ICAM and ICGH2. F3 · ownership.nature: Each of Mr. Reese, ICAM, Long Ball and ICGH2 disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. Read SEC document |
| February 29, 2024 Filed Mar 1, 2024 01:36 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 4,090 | $1.99 | $8,139.10 |
DisclosureSEC source: 0000950170-24-023479 · ownership.xml · nonDerivative · entry 2 Reese Jason W. · CIK 0001479613 · Director · See remarks · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Imperial Capital Group Holdings II, LLC · CIK 0001961798 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 6,284,436 F3 · price: The price reported in Column 4 is a weighted average price, rounded to the nearest cent. These shares were purchased in multiple transactions at prices ranging from $1.95 to $2.00, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F1 · ownership.nature: This Common Stock is held directly by Long Ball Partners, LLC ("Long Ball"), Imperial Capital Asset Management, LLC ("ICAM") and Imperial Capital Group Holdings II, LLC ("ICGH2"). Mr. Reese is portfolio manager to Long Ball and is Chairman and Chief Executive Officer of ICAM, which is the managing member of and investment manager to Long Ball. Mr. Reese is one of the owners of Imperial Capital Group Holdings, LLC, which is the managing member of ICGH2. Mr. Reese has voting and dispositive power over the shares of Common Stock held directly by each of Long Ball, ICAM and ICGH2. F2 · ownership.nature: Each of Mr. Reese, ICAM, Long Ball and ICGH2 disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. F4 · ownership.nature: Consists of 4,914,452 shares held directly by Long Ball, 909,084 shares held directly by ICAM, and 460,900 shares held directly by ICGH2. Read SEC document |
| February 27, 2024 Filed Mar 1, 2024 01:36 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon stock, par value $0.01 per share ("Common Stock") | 120,000 | $1.92 | $230,400.00 |
DisclosureSEC source: 0000950170-24-023479 · ownership.xml · nonDerivative · entry 1 Reese Jason W. · CIK 0001479613 · Director · See remarks · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Imperial Capital Group Holdings II, LLC · CIK 0001961798 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 6,280,346 F1 · ownership.nature: This Common Stock is held directly by Long Ball Partners, LLC ("Long Ball"), Imperial Capital Asset Management, LLC ("ICAM") and Imperial Capital Group Holdings II, LLC ("ICGH2"). Mr. Reese is portfolio manager to Long Ball and is Chairman and Chief Executive Officer of ICAM, which is the managing member of and investment manager to Long Ball. Mr. Reese is one of the owners of Imperial Capital Group Holdings, LLC, which is the managing member of ICGH2. Mr. Reese has voting and dispositive power over the shares of Common Stock held directly by each of Long Ball, ICAM and ICGH2. F2 · ownership.nature: Each of Mr. Reese, ICAM, Long Ball and ICGH2 disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. Read SEC document |
| February 21, 2024 Filed Feb 22, 2024 01:50 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 2,989 | $1.95 | $5,828.55 |
DisclosureSEC source: 0000950170-24-018314 · ownership.xml · nonDerivative · entry 3 Reese Jason W. · CIK 0001479613 · Director · See remarks · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Imperial Capital Group Holdings II, LLC · CIK 0001961798 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 6,160,346 F5 · price: The price reported in Column 4 is a weighted average price, rounded to the nearest cent. These shares were purchased in multiple transactions at prices ranging from $1.92 to $1.99, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F2 · ownership.nature: This Common Stock is held directly by Long Ball Partners, LLC ("Long Ball"), Imperial Capital Asset Management, LLC ("ICAM") and Imperial Capital Group Holdings II, LLC ("ICGH2"). Mr. Reese is portfolio manager to Long Ball and is Chairman and Chief Executive Officer of ICAM, which is the managing member of and investment manager to Long Ball. Mr. Reese is one of the owners of Imperial Capital Group Holdings, LLC, which is the managing member of ICGH2. Mr. Reese has voting and dispositive power over the shares of Common Stock held directly by each of Long Ball, ICAM and ICGH2. F3 · ownership.nature: Each of Mr. Reese, ICAM, Long Ball and ICGH2 disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. F6 · ownership.nature: Consists of 4,790,362 shares held directly by Long Ball, 909,084 shares held directly by ICAM, and 460,900 shares held directly by ICGH2. Read SEC document |
| February 20, 2024 Filed Feb 22, 2024 01:50 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 6,307 | $1.98 | $12,487.86 |
DisclosureSEC source: 0000950170-24-018314 · ownership.xml · nonDerivative · entry 2 Reese Jason W. · CIK 0001479613 · Director · See remarks · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Imperial Capital Group Holdings II, LLC · CIK 0001961798 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 6,157,357 F4 · price: The price reported in Column 4 is a weighted average price, rounded to the nearest cent. These shares were purchased in multiple transactions at prices ranging from $1.90 to $1.99, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F2 · ownership.nature: This Common Stock is held directly by Long Ball Partners, LLC ("Long Ball"), Imperial Capital Asset Management, LLC ("ICAM") and Imperial Capital Group Holdings II, LLC ("ICGH2"). Mr. Reese is portfolio manager to Long Ball and is Chairman and Chief Executive Officer of ICAM, which is the managing member of and investment manager to Long Ball. Mr. Reese is one of the owners of Imperial Capital Group Holdings, LLC, which is the managing member of ICGH2. Mr. Reese has voting and dispositive power over the shares of Common Stock held directly by each of Long Ball, ICAM and ICGH2. F3 · ownership.nature: Each of Mr. Reese, ICAM, Long Ball and ICGH2 disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. Read SEC document |
| February 16, 2024 Filed Feb 22, 2024 01:50 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon stock, par value $0.01 per share ("Common Stock") | 4,237 | $1.92 | $8,135.04 |
DisclosureSEC source: 0000950170-24-018314 · ownership.xml · nonDerivative · entry 1 Reese Jason W. · CIK 0001479613 · Director · See remarks · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Imperial Capital Group Holdings II, LLC · CIK 0001961798 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 6,151,050 F1 · price: The price reported in Column 4 is a weighted average price, rounded to the nearest cent. These shares were purchased in multiple transactions at prices ranging from $1.91 to $1.97, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F2 · ownership.nature: This Common Stock is held directly by Long Ball Partners, LLC ("Long Ball"), Imperial Capital Asset Management, LLC ("ICAM") and Imperial Capital Group Holdings II, LLC ("ICGH2"). Mr. Reese is portfolio manager to Long Ball and is Chairman and Chief Executive Officer of ICAM, which is the managing member of and investment manager to Long Ball. Mr. Reese is one of the owners of Imperial Capital Group Holdings, LLC, which is the managing member of ICGH2. Mr. Reese has voting and dispositive power over the shares of Common Stock held directly by each of Long Ball, ICAM and ICGH2. F3 · ownership.nature: Each of Mr. Reese, ICAM, Long Ball and ICGH2 disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. Read SEC document |
| November 28, 2023 Filed Dec 1, 2023 02:08 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 40,571 | $2.04 | $82,764.84 |
DisclosureSEC source: 0000950170-23-067129 · ownership.xml · nonDerivative · entry 2 Reese Jason W. · CIK 0001479613 · Director · See remarks · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Imperial Capital Group Holdings II, LLC · CIK 0001961798 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 6,146,813 F4 · price: The price reported in Column 4 is a weighted average price, rounded to the nearest cent. These shares were purchased in multiple transactions at prices ranging from $2.00 to $2.06, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F2 · ownership.nature: This Common Stock is held directly by Long Ball Partners, LLC ("Long Ball"), Imperial Capital Asset Management, LLC ("ICAM") and Imperial Capital Group Holdings II, LLC ("ICGH2"). Mr. Reese is portfolio manager to Long Ball and is Chairman and Chief Executive Officer of ICAM, which is the managing member of and investment manager to Long Ball. Mr. Reese is one of the owners of Imperial Capital Group Holdings, LLC, which is the managing member of ICGH2. Mr. Reese has voting and dispositive power over the shares of Common Stock held directly by each of Long Ball, ICAM and ICGH2. F3 · ownership.nature: Each of Mr. Reese, ICAM, Long Ball and ICGH2 disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. F5 · ownership.nature: Consists of 4,776,829 shares held directly by Long Ball, 909,084 shares held directly by ICAM, and 460,900 shares held directly by ICGH2. Read SEC document |
| November 28, 2023 Filed Dec 1, 2023 02:08 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon stock, par value $0.01 per share ("Common Stock") | 29,244 | $2.00 | $58,488.00 |
DisclosureSEC source: 0000950170-23-067129 · ownership.xml · nonDerivative · entry 1 Reese Jason W. · CIK 0001479613 · Director · See remarks · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Imperial Capital Group Holdings II, LLC · CIK 0001961798 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 6,106,242 F1 · price: The price reported in Column 4 is a weighted average price, rounded to the nearest cent. These shares were purchased in multiple transactions at prices ranging from $1.97 to $2.00, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F2 · ownership.nature: This Common Stock is held directly by Long Ball Partners, LLC ("Long Ball"), Imperial Capital Asset Management, LLC ("ICAM") and Imperial Capital Group Holdings II, LLC ("ICGH2"). Mr. Reese is portfolio manager to Long Ball and is Chairman and Chief Executive Officer of ICAM, which is the managing member of and investment manager to Long Ball. Mr. Reese is one of the owners of Imperial Capital Group Holdings, LLC, which is the managing member of ICGH2. Mr. Reese has voting and dispositive power over the shares of Common Stock held directly by each of Long Ball, ICAM and ICGH2. F3 · ownership.nature: Each of Mr. Reese, ICAM, Long Ball and ICGH2 disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. Read SEC document |
| November 24, 2023 Filed Nov 24, 2023 23:27 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 2,558 | $2.05 | $5,243.90 |
DisclosureSEC source: 0000950170-23-066010 · ownership.xml · nonDerivative · entry 3 Reese Jason W. · CIK 0001479613 · Director · See remarks · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Imperial Capital Group Holdings II, LLC · CIK 0001961798 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 6,076,998 F6 · price: The price reported in Column 4 is a weighted average price, rounded to the nearest cent. These shares were purchased in multiple transactions at prices ranging from $1.99 to $2.05, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F3 · ownership.nature: Each of Mr. Reese, ICAM, Long Ball and ICGH2 disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. F7 · ownership.nature: Consists of 4,707,014 shares held directly by Long Ball, 909,084 shares held directly by ICAM, and 460,900 shares held directly by ICGH2. Read SEC document |
| November 22, 2023 Filed Nov 24, 2023 23:27 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 36,233 | $2.01 | $72,828.33 |
DisclosureSEC source: 0000950170-23-066010 · ownership.xml · nonDerivative · entry 2 Reese Jason W. · CIK 0001479613 · Director · See remarks · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Imperial Capital Group Holdings II, LLC · CIK 0001961798 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 6,074,440 F4 · price: The price reported in Column 4 is a weighted average price, rounded to the nearest cent. These shares were purchased in multiple transactions at prices ranging from $1.94 to $2.05, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F3 · ownership.nature: Each of Mr. Reese, ICAM, Long Ball and ICGH2 disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. F5 · ownership.nature: Consists of 4,704,456 shares held directly by Long Ball, 909,084 shares held directly by ICAM, and 460,900 shares held directly by ICGH2. Read SEC document |
| November 21, 2023 Filed Nov 24, 2023 23:27 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon stock, par value $0.01 per share ("Common Stock") | 100 | $1.90 | $190.00 |
DisclosureSEC source: 0000950170-23-066010 · ownership.xml · nonDerivative · entry 1 Reese Jason W. · CIK 0001479613 · Director · See remarks · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Imperial Capital Group Holdings II, LLC · CIK 0001961798 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 6,038,207 F1 · balance_after: Includes 20 shares acquired on July 22, 2022 which were inadvertently omitted from the Form 4 filed with the Securities and Exchange Commission (the "SEC") on July 26, 2022, and in subsequent filings. F2 · ownership.nature: Consists of 4,668,223 shares held directly by Long Ball Partners, LLC ("Long Ball"), 909,084 shares held directly by Imperial Capital Asset Management, LLC ("ICAM"), and 460,900 shares held directly by Imperial Capital Group Holdings II, LLC ("ICGH2"). Mr. Reese is portfolio manager to Long Ball and is Chairman and Chief Executive Officer of ICAM, which is the managing member of and investment manager to Long Ball. Mr. Reese is one of the owners of Imperial Capital Group Holdings, LLC, which is the managing member of ICGH2. Mr. Reese has voting and dispositive power over the shares of Common Stock held directly by each of Long Ball, ICAM and ICGH2. F3 · ownership.nature: Each of Mr. Reese, ICAM, Long Ball and ICGH2 disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. Read SEC document |
| September 25, 2023 Filed Sep 27, 2023 21:54 UTC | Great Elm Group, Inc. GEG · Entity 7060 | GrantCommon Stock | 132,850 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-23-019577 · doc4.xml · nonDerivative · entry 2 Reese Jason W. · CIK 0001479613 · Director · Chief Executive Officer · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Imperial Capital Group Holdings II, LLC · CIK 0001961798 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 862,911 F3 · shares: On September 25, 2023, Jason Reese was awarded 132,850 shares of restricted stock, 25% of which vested on September 25, 2023, with 25% to vest on each of September 20, 2024, September 20, 2025 and September 20, 2026. F2 · ownership.direct: Each of Mr. Reese, ICAM, Long Ball and ICGH2 disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. F4 · ownership.direct: Reflects shares directly beneficially owned by Mr. Reese. Read SEC document |
| June 06, 2023 Filed Jun 6, 2023 23:34 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 2,970 | $2.10 | $6,237.00 |
DisclosureSEC source: 0000899243-23-014612 · doc4.xml · nonDerivative · entry 3 Reese Jason W. · CIK 0001479613 · Director · Chief Executive Officer · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Imperial Capital Group Holdings II, LLC · CIK 0001961798 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 6,038,087 F5 · ownership.nature: Consists of 4,668,103 shares held directly by Long Ball, 909,084 shares held directly by ICAM, and 460,900 shares held directly by ICGH2. F6 · ownership.nature: Each of Mr. Reese, ICAM, Long Ball and ICGH2 disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. Read SEC document |
| June 05, 2023 Filed Jun 6, 2023 23:34 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 8,851 | $2.08 | $18,410.08 |
DisclosureSEC source: 0000899243-23-014612 · doc4.xml · nonDerivative · entry 2 Reese Jason W. · CIK 0001479613 · Director · Chief Executive Officer · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Imperial Capital Group Holdings II, LLC · CIK 0001961798 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 6,035,117 F2 · price: The price reported in Column 4 is a weighted average price, rounded to the nearest cent. These shares were purchased in multiple transactions at prices ranging from $2.04 to $2.10, 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. F4 · ownership.nature: Consists of 4,665,133 shares held directly by Long Ball, 909,084 shares held directly by ICAM, and 460,900 shares held directly by ICGH2. F6 · ownership.nature: Each of Mr. Reese, ICAM, Long Ball and ICGH2 disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. Read SEC document |
| June 02, 2023 Filed Jun 6, 2023 23:34 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon stock, par value $0.01 per share ("Common Stock") | 3,005 | $2.10 | $6,310.50 |
DisclosureSEC source: 0000899243-23-014612 · doc4.xml · nonDerivative · entry 1 Reese Jason W. · CIK 0001479613 · Director · Chief Executive Officer · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Imperial Capital Group Holdings II, LLC · CIK 0001961798 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 6,026,266 F1 · price: The price reported in Column 4 is a weighted average price, rounded to the nearest cent. These shares were purchased in multiple transactions at prices ranging from $2.075 to $2.12, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission ("SEC"), upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F3 · ownership.nature: Consists of 4,656,282 shares held directly by Long Ball, 909,084 shares held directly by Imperial Capital Asset Management, LLC ("ICAM"), and 460,900 shares held directly by Imperial Capital Group Holdings II, LLC ("ICGH2"). Mr. Reese is portfolio manager to Long Ball and is Chairman and Chief Executive Officer of ICAM, which is the managing member of and investment manager to Long Ball. Mr. Reese is one of the owners of Imperial Capital Group Holdings, LLC, which is the managing member of ICGH2. Mr. Reese has voting and dispositive power over the shares of Common Stock held directly by ICGH2. F6 · ownership.nature: Each of Mr. Reese, ICAM, Long Ball and ICGH2 disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. Read SEC document |
| May 31, 2023 Filed Jun 1, 2023 00:52 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 4,678 | $2.06 | $9,636.68 |
DisclosureSEC source: 0000899243-23-014191 · doc4.xml · nonDerivative · entry 2 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Imperial Capital Group Holdings II, LLC · CIK 0001961798 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 6,023,261 F2 · price: The price reported in Column 4 is a weighted average price, rounded to the nearest cent. These shares were purchased in multiple transactions at prices ranging from $2.00 to $2.06, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F4 · ownership.nature: Consists of 4,653,277 shares held directly by Long Ball, 909,084 shares held directly by ICAM, and 460,900 shares held directly by ICGH2. F5 · ownership.nature: Each of Mr. Reese, ICAM, Long Ball and ICGH2 disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. Read SEC document |
| May 26, 2023 Filed Jun 1, 2023 00:52 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon stock, par value $0.01 per share ("Common Stock") | 4,491 | $2.05 | $9,206.55 |
DisclosureSEC source: 0000899243-23-014191 · doc4.xml · nonDerivative · entry 1 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Imperial Capital Group Holdings II, LLC · CIK 0001961798 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 6,018,583 F1 · price: The price reported in Column 4 is a weighted average price, rounded to the nearest cent. These shares were purchased in multiple transactions at prices ranging from $2.045 to $2.05, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission ("SEC"), upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F3 · ownership.nature: Consists of 4,648,599 shares held directly by Long Ball, 909,084 shares held directly by Imperial Capital Asset Management, LLC ("ICAM"), and 460,900 shares held directly by Imperial Capital Group Holdings II, LLC ("ICGH2"). Mr. Reese is portfolio manager to Long Ball and is Chairman and Chief Executive Officer of ICAM, which is the managing member of and investment manager to Long Ball. Mr. Reese is one of the owners of Imperial Capital Group Holdings, LLC, which is the managing member of ICGH2. Mr. Reese has voting and dispositive power over the shares of Common Stock held directly by ICGH2. F5 · ownership.nature: Each of Mr. Reese, ICAM, Long Ball and ICGH2 disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. Read SEC document |
| May 22, 2023 Filed May 23, 2023 00:27 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 2,613 | $2.06 | $5,382.78 |
DisclosureSEC source: 0000899243-23-013639 · doc4.xml · nonDerivative · entry 3 Reese Jason W. · CIK 0001479613 · Director · Chief Executive Officer · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Imperial Capital Group Holdings II, LLC · CIK 0001961798 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 6,014,092 F2 · ownership.nature: Each of Mr. Reese, ICAM, Long Ball and ICGH2 disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. F5 · ownership.nature: Consists of 4,644,108 shares held directly by Long Ball, 909,084 shares held directly by ICAM, and 460,900 shares held directly by ICGH2. Read SEC document |
| May 19, 2023 Filed May 23, 2023 00:27 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 243,990 | $2.00 | $487,980.00 |
DisclosureSEC source: 0000899243-23-013639 · doc4.xml · nonDerivative · entry 2 Reese Jason W. · CIK 0001479613 · Director · Chief Executive Officer · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Imperial Capital Group Holdings II, LLC · CIK 0001961798 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 6,011,479 F3 · price: The price reported in Column 4 is a weighted average price, rounded to the nearest cent. These shares were purchased in multiple transactions at prices ranging from $1.96 to $2.05, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F2 · ownership.nature: Each of Mr. Reese, ICAM, Long Ball and ICGH2 disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. F4 · ownership.nature: Consists of 4,641,495 shares held directly by Long Ball, 909,084 shares held directly by ICAM, and 460,900 shares held directly by ICGH2. Read SEC document |
| May 18, 2023 Filed May 23, 2023 00:27 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon stock, par value $0.01 per share ("Common Stock") | 50,000 | $1.97 | $98,500.00 |
DisclosureSEC source: 0000899243-23-013639 · doc4.xml · nonDerivative · entry 1 Reese Jason W. · CIK 0001479613 · Director · Chief Executive Officer · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Imperial Capital Group Holdings II, LLC · CIK 0001961798 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 5,767,489 F1 · ownership.nature: Consists of 4,397,505 shares held directly by Long Ball, 909,084 shares held directly by Imperial Capital Asset Management, LLC ("ICAM"), and 460,900 shares held directly by Imperial Capital Group Holdings II, LLC ("ICGH2"). Mr. Reese is portfolio manager to Long Ball and is Chairman and Chief Executive Officer of ICAM, which is the managing member of and investment manager to Long Ball. Mr. Reese is one of the owners of Imperial Capital Group Holdings, LLC, which is the managing member of ICGH2. Mr. Reese has voting and dispositive power over the shares of Common Stock held directly by ICGH2. F2 · ownership.nature: Each of Mr. Reese, ICAM, Long Ball and ICGH2 disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. Read SEC document |
| May 11, 2023 Filed May 15, 2023 20:15 UTC | Great Elm Group, Inc. GEG · Entity 7060 | GrantStock Option (Right to Buy) · Derivative | 2,000,000 | $0.00 Strike: $2.05 | $0.00 |
DisclosureSEC source: 0000899243-23-012958 · doc4.xml · derivative · entry 1 Reese Jason W. · CIK 0001479613 · Director · Chief Executive Officer · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Imperial Capital Group Holdings II, LLC · CIK 0001961798 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,000,000 Underlying: Common Stock · 2,000,000 shares Expires 2033-05-11 F1 · derivative.exercise_date: On May 11, 2023, the reporting person was granted an option (the "Option") to purchase up to 2,000,000 shares of common stock of the Issuer (the "Common Stock") as compensation for the reporting person's role as Chief Executive Officer of the Issuer. The Option will vest and become exercisable in five equal installments on the first, second, third, fourth and fifth anniversaries of May 5, 2023, subject to continued employment and subject to certain Stock Price Vesting Triggers (each, a "Stock Price Vesting Trigger") as set forth below. For each of the five annual vesting tranches, the Stock Price Vesting Trigger will be deemed achieved as of the first date following May 11, 2023 that the 30 calendar-day trailing average of the trading price of the Common Stock (as measured by the volume-weighted average price) equals or exceeds: F2 · derivative.exercise_date: (Continued from footnote 1) (i) $4.07 for the first tranche, (ii) $6.00 for the second tranche, (iii) $8.00 for the third tranche, (iv) $10.00 for the fourth tranche and (v) $12.00 for the fifth tranche. Read SEC document |
| March 16, 2023 Filed Mar 20, 2023 21:07 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon stock, par value $0.01 per share ("Common Stock") | 23,638 | $2.37 | $56,022.06 |
DisclosureSEC source: 0000899243-23-009123 · doc4.xml · nonDerivative · entry 1 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Imperial Capital Group Holdings II, LLC · CIK 0001961798 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 5,717,489 F1 · price: The price reported in Column 4 is a weighted average price, rounded to the nearest cent. These shares were purchased in multiple transactions at prices ranging from $2.30 to $2.40, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission ("SEC"), upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F2 · ownership.nature: Consists of 4,347,505 shares held directly by Long Ball, 909,084 shares held directly by Imperial Capital Asset Management, LLC ("ICAM"), and 460,900 shares held directly by Imperial Capital Group Holdings II, LLC ("ICGH2"). Mr. Reese is portfolio manager to Long Ball and is Chairman and Chief Executive Officer of ICAM, which is the managing member of and investment manager to Long Ball. Mr. Reese is one of the owners of Imperial Capital Group Holdings, LLC, which is the managing member of ICGH2. Mr. Reese has voting and dispositive power over the shares of Common Stock held directly by ICGH2. F3 · ownership.nature: Each of Mr. Reese, ICAM, Long Ball and ICGH2 disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. Read SEC document |
| March 10, 2023 Filed Mar 13, 2023 22:17 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 16,820 | $2.24 | $37,676.80 |
DisclosureSEC source: 0000899243-23-008258 · doc4.xml · nonDerivative · entry 2 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Imperial Capital Group Holdings II, LLC · CIK 0001961798 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 5,693,851 F4 · price: The price reported in Column 4 is a weighted average price, rounded to the nearest cent. These shares were purchased in multiple transactions at prices ranging from $2.20 to $2.25, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F3 · ownership.nature: Each of Mr. Reese, ICAM, Long Ball and ICGH2 disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. F5 · ownership.nature: Consists of 4,323,867 shares held directly by Long Ball, 909,084 shares held directly by ICAM, and 460,900 shares held directly by ICGH2. Read SEC document |
| March 09, 2023 Filed Mar 13, 2023 22:17 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon stock, par value $0.01 per share ("Common Stock") | 28,616 | $2.31 | $66,102.96 |
DisclosureSEC source: 0000899243-23-008258 · doc4.xml · nonDerivative · entry 1 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Imperial Capital Group Holdings II, LLC · CIK 0001961798 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 5,677,031 F1 · price: The price reported in Column 4 is a weighted average price, rounded to the nearest cent. These shares were purchased in multiple transactions at prices ranging from $2.24 to $2.35, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission ("SEC"), upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F2 · ownership.nature: Consists of 4,307,047 shares held directly by Long Ball, 909,084 shares held directly by Imperial Capital Asset Management, LLC ("ICAM"), and 460,900 shares held directly by Imperial Capital Group Holdings II, LLC ("ICGH2"). Mr. Reese is portfolio manager to Long Ball and is Chairman and Chief Executive Officer of ICAM, which is the managing member of and investment manager to Long Ball. Mr. Reese is one of the owners of Imperial Capital Group Holdings, LLC, which is the managing member of ICGH2. Mr. Reese has voting and dispositive power over the shares of Common Stock held directly by ICGH2. F3 · ownership.nature: Each of Mr. Reese, ICAM, Long Ball and ICGH2 disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. Read SEC document |
| February 24, 2023 Filed Feb 25, 2023 00:10 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 13,277 | $2.14 | $28,412.78 |
DisclosureSEC source: 0000899243-23-006156 · doc4.xml · nonDerivative · entry 2 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Imperial Capital Group Holdings II, LLC · CIK 0001961798 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 5,648,415 F4 · price: The price reported in Column 4 is a weighted average price, rounded to the nearest cent. These shares were purchased in multiple transactions at prices ranging from $2.11 to $2.18, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F3 · ownership.nature: Each of Mr. Reese, ICAM, Long Ball and ICGH2 disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. F5 · ownership.nature: Consists of 4,278,431 shares held directly by Long Ball, 909,084 shares held directly by ICAM, and 460,900 shares held directly by ICGH2. Read SEC document |
| February 22, 2023 Filed Feb 25, 2023 00:10 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon stock, par value $0.01 per share ("Common Stock") | 15,138 | $2.15 | $32,546.70 |
DisclosureSEC source: 0000899243-23-006156 · doc4.xml · nonDerivative · entry 1 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Imperial Capital Group Holdings II, LLC · CIK 0001961798 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 5,635,138 F1 · price: The price reported in Column 4 is a weighted average price, rounded to the nearest cent. These shares were purchased in multiple transactions at prices ranging from $2.11 to $2.17, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission ("SEC"), upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F2 · ownership.nature: Consists of 4,265,154 shares held directly by Long Ball, 909,084 shares held directly by Imperial Capital Asset Management, LLC ("ICAM"), and 460,900 shares held directly by Imperial Capital Group Holdings II, LLC ("ICGH2"). Mr. Reese is portfolio manager to Long Ball and is Chairman and Chief Executive Officer of ICAM, which is the managing member of and investment manager to Long Ball. Mr. Reese is one of the owners of Imperial Capital Group Holdings, LLC, which is the managing member of ICGH2. Mr. Reese has voting and dispositive power over the shares of Common Stock held directly by ICGH2. F3 · ownership.nature: Each of Mr. Reese, ICAM, Long Ball and ICGH2 disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. Read SEC document |
| January 06, 2023 Filed Jan 11, 2023 02:26 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 460,900 | $2.17 | $1,000,153.00 |
DisclosureSEC source: 0000899243-23-001535 · doc4.xml · nonDerivative · entry 2 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Imperial Capital Group Holdings II, LLC · CIK 0001961798 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 5,620,000 F1 · shares: Represents a transfer of 460,900 shares (the "Transfer") from Imperial Capital Asset Management, LLC ("ICAM") to Imperial Capital Group Holdings II, LLC ("ICGH2"). The Transfer is a change in form of ownership exempt from Section 16(b) of the Securities Exchange Act of 1934, as amended, except with respect to 27,097 shares of Common Stock. The Section 16(b) profits that result from the Transfer will be disgorged to the Issuer. F3 · ownership.nature: Each of Mr. Reese, ICAM, Long Ball and ICGH2 disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. F4 · ownership.nature: Consists of 4,250,016 shares held directly by Long Ball, 909,084 shares held directly by ICAM and 460,900 shares held directly by ICGH2. Mr. Reese is portfolio manager to Long Ball and is Chairman and Chief Executive Officer of ICAM, which is the managing member of and investment manager to Long Ball. Mr. Reese is one of the owners of Imperial Capital Group Holdings, LLC ("ICGH"), which is the managing member of ICGH2. Mr. Reese has voting and dispositive power over the shares of Common Stock held directly by ICGH2. Read SEC document |
| January 06, 2023 Filed Jan 11, 2023 02:26 UTC | Great Elm Group, Inc. GEG · Entity 7060 | SaleCommon stock, par value $0.01 per share ("Common Stock") | 460,900 | $2.17 | $1,000,153.00 |
DisclosureSEC source: 0000899243-23-001535 · doc4.xml · nonDerivative · entry 1 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Imperial Capital Group Holdings II, LLC · CIK 0001961798 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 5,159,100 F1 · shares: Represents a transfer of 460,900 shares (the "Transfer") from Imperial Capital Asset Management, LLC ("ICAM") to Imperial Capital Group Holdings II, LLC ("ICGH2"). The Transfer is a change in form of ownership exempt from Section 16(b) of the Securities Exchange Act of 1934, as amended, except with respect to 27,097 shares of Common Stock. The Section 16(b) profits that result from the Transfer will be disgorged to the Issuer. F2 · ownership.nature: Consists of 4,250,016 shares held directly by Long Ball Partners, LLC ("Long Ball") and 909,084 shares held directly by ICAM. Mr. Reese is portfolio manager to Long Ball and is Chairman and Chief Executive Officer of ICAM, which is the managing member of and investment manager to Long Ball. F3 · ownership.nature: Each of Mr. Reese, ICAM, Long Ball and ICGH2 disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. Read SEC document |
| January 05, 2023 Filed Jan 10, 2023 00:24 UTC | Great Elm Group, Inc. GEG · Entity 7060 | GrantCommon Stock | 135,747 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-23-001106 · form4.xml · nonDerivative · entry 3 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 730,061 F4 · ownership.direct: Mr. Reese was awarded 135,747 shares of restricted stock, which vest in equal quarterly installments on the end of each quarter beginning on March 31, 2023 through December 31, 2023, contingent upon continued service as a member of the board of directors of GEG. Read SEC document |
| January 05, 2023 Filed Jan 10, 2023 00:24 UTC | Great Elm Group, Inc. GEG · Entity 7060 | GrantCommon Stock | 29,412 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-23-001106 · form4.xml · nonDerivative · entry 2 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 594,314 F3 · ownership.direct: Mr. Reese was awarded 29,412 shares of restricted stock, which vest in equal monthly installments on the end of each month beginning on January 31, 2023 through December 31, 2023, contingent upon continued service as a member of the board of directors of Great Elm Group, Inc. ("GEG"). Read SEC document |
| December 30, 2022 Filed Dec 31, 2022 00:36 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 309,593 | $2.01 | $622,281.93 |
DisclosureSEC source: 0000899243-22-039602 · doc4.xml · nonDerivative · entry 3 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 5,620,000 F1 · kind: This purchase was effected pursuant to a Rule 10b5-1 Trading Plan established by Long Ball Partners, LLC ("Long Ball") on June 15, 2022. F6 · price: The price reported in Column 4 is a weighted average price, rounded to the nearest cent. These shares were purchased in multiple transactions at prices ranging from $1.92 to $2.02, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F4 · ownership.nature: Each of Mr. Reese, ICAM and Long Ball disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. F7 · ownership.nature: Consists of 4,250,016 shares held directly by Long Ball and 1,369,984 share held directly by ICAM. Read SEC document |
| December 29, 2022 Filed Dec 31, 2022 00:36 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 1,370 | $1.95 | $2,671.50 |
DisclosureSEC source: 0000899243-22-039602 · doc4.xml · nonDerivative · entry 2 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 5,310,407 F1 · kind: This purchase was effected pursuant to a Rule 10b5-1 Trading Plan established by Long Ball Partners, LLC ("Long Ball") on June 15, 2022. F4 · ownership.nature: Each of Mr. Reese, ICAM and Long Ball disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. F5 · ownership.nature: Consists of 3,940,423 shares held directly by Long Ball and 1,369,984 share held directly by ICAM. Read SEC document |
| December 28, 2022 Filed Dec 31, 2022 00:36 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon stock, par value $0.01 per share ("Common Stock") | 75,538 | $1.95 | $147,299.10 |
DisclosureSEC source: 0000899243-22-039602 · doc4.xml · nonDerivative · entry 1 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 5,309,037 F1 · kind: This purchase was effected pursuant to a Rule 10b5-1 Trading Plan established by Long Ball Partners, LLC ("Long Ball") on June 15, 2022. F2 · price: The price reported in Column 4 is a weighted average price, rounded to the nearest cent. These shares were purchased in multiple transactions at prices ranging from $1.85 to $2.00, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission ("SEC"), upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F3 · ownership.nature: Consists of 3,939,053 shares held directly by Long Ball and 1,369,984 shares held directly by Imperial Capital Asset Management, LLC ("ICAM"). Mr. Reese is portfolio manager to Long Ball and is Chairman and Chief Executive Officer of ICAM, which is the managing member of and investment manager to Long Ball. F4 · ownership.nature: Each of Mr. Reese, ICAM and Long Ball disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. Read SEC document |
| December 27, 2022 Filed Dec 27, 2022 23:19 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 4,454 | $2.00 | $8,908.00 |
DisclosureSEC source: 0000899243-22-039394 · doc4.xml · nonDerivative · entry 3 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 5,233,499 F1 · kind: This purchase was effected pursuant to a Rule 10b5-1 Trading Plan established by Long Ball Partners, LLC ("Long Ball") on June 15, 2022. F6 · price: The price reported in Column 4 is a weighted average price, rounded to the nearest cent. These shares were purchased in multiple transactions at prices ranging from $1.99 to $2.00, 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. F7 · ownership.nature: Consists of 3,863,515 shares held directly by Long Ball and 1,369,984 shares held directly by ICAM. F8 · ownership.nature: Each of Mr. Reese, ICAM and Long Ball disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. Read SEC document |
| December 23, 2022 Filed Dec 27, 2022 23:19 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 1,600 | $1.99 | $3,184.00 |
DisclosureSEC source: 0000899243-22-039394 · doc4.xml · nonDerivative · entry 2 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 5,229,045 F1 · kind: This purchase was effected pursuant to a Rule 10b5-1 Trading Plan established by Long Ball Partners, LLC ("Long Ball") on June 15, 2022. F4 · price: The price reported in Column 4 is a weighted average price, rounded to the nearest cent. These shares were purchased in multiple transactions at prices ranging from $1.95 to $2.00, 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. F5 · ownership.nature: Consists of 3,859,061 shares held directly by Long Ball and 1,369,984 shares held directly by ICAM. F8 · ownership.nature: Each of Mr. Reese, ICAM and Long Ball disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. Read SEC document |
| December 22, 2022 Filed Dec 27, 2022 23:19 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon stock, par value $0.01 per share ("Common Stock") | 3,440 | $1.99 | $6,845.60 |
DisclosureSEC source: 0000899243-22-039394 · doc4.xml · nonDerivative · entry 1 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 5,227,445 F1 · kind: This purchase was effected pursuant to a Rule 10b5-1 Trading Plan established by Long Ball Partners, LLC ("Long Ball") on June 15, 2022. F2 · price: The price reported in Column 4 is a weighted average price, rounded to the nearest cent. These shares were purchased in multiple transactions at prices ranging from $1.97 to $2.00, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission ("SEC"), upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F3 · ownership.nature: Consists of 3,857,461 shares held directly by Long Ball and 1,369,984 shares held directly by Imperial Capital Asset Management, LLC ("ICAM"). Mr. Reese is portfolio manager to Long Ball and is Chairman and Chief Executive Officer of ICAM, which is the managing member of and investment manager to Long Ball. F8 · ownership.nature: Each of Mr. Reese, ICAM and Long Ball disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. Read SEC document |
| December 12, 2022 Filed Dec 13, 2022 01:11 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 1,743 | $1.87 | $3,259.41 |
DisclosureSEC source: 0000899243-22-038269 · doc4.xml · nonDerivative · entry 3 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 5,224,005 F1 · kind: This purchase was effected pursuant to a Rule 10b5-1 Trading Plan established by Long Ball Partners, LLC ("Long Ball") on June 15, 2022. F2 · price: The price reported in Column 4 is a weighted average price, rounded to the nearest cent. These shares were purchased in multiple transactions at prices ranging from $1.85 to $1.90, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission ("SEC"), upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F5 · ownership.nature: Consists of 3,854,021 shares held directly by Long Ball and 1,369,984 shares held directly by ICAM. F6 · ownership.nature: Each of Mr. Reese, ICAM and Long Ball disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. Read SEC document |
| December 09, 2022 Filed Dec 13, 2022 01:11 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 824 | $1.90 | $1,565.60 |
DisclosureSEC source: 0000899243-22-038269 · doc4.xml · nonDerivative · entry 2 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 5,222,262 F1 · kind: This purchase was effected pursuant to a Rule 10b5-1 Trading Plan established by Long Ball Partners, LLC ("Long Ball") on June 15, 2022. F4 · ownership.nature: Consists of 3,852,278 shares held directly by Long Ball and 1,369,984 shares held directly by ICAM. F6 · ownership.nature: Each of Mr. Reese, ICAM and Long Ball disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. Read SEC document |
| December 08, 2022 Filed Dec 13, 2022 01:11 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon stock, par value $0.01 per share ("Common Stock") | 1,208 | $1.90 | $2,295.20 |
DisclosureSEC source: 0000899243-22-038269 · doc4.xml · nonDerivative · entry 1 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 5,221,438 F1 · kind: This purchase was effected pursuant to a Rule 10b5-1 Trading Plan established by Long Ball Partners, LLC ("Long Ball") on June 15, 2022. F3 · ownership.nature: Consists of 3,851,454 shares held directly by Long Ball and 1,369,984 shares held directly by Imperial Capital Asset Management, LLC ("ICAM"). Mr. Reese is portfolio manager to Long Ball and is Chairman and Chief Executive Officer of ICAM, which is the managing member of and investment manager to Long Ball. F6 · ownership.nature: Each of Mr. Reese, ICAM and Long Ball disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.