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 |
|---|---|---|---|---|---|---|
| December 06, 2022 Filed Dec 7, 2022 23:25 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 4,317 | $1.90 | $8,202.30 |
DisclosureSEC source: 0000899243-22-037907 · 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: 5,220,230 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 $1.88 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. F4 · ownership.nature: Consists of 3,850,246 shares held directly by Long Ball and 1,369,984 shares held directly by ICAM. F5 · ownership.nature: Each of Mr. Reese, ICAM and Long Ball disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. Read SEC document |
| December 05, 2022 Filed Dec 7, 2022 23:25 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon stock, par value $0.01 per share ("Common Stock") | 1,300 | $1.90 | $2,470.00 |
DisclosureSEC source: 0000899243-22-037907 · 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: 5,215,913 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 3,845,929 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. F5 · ownership.nature: Each of Mr. Reese, ICAM and Long Ball disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. Read SEC document |
| November 15, 2022 Filed Nov 18, 2022 01:48 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon stock, par value $0.01 per share ("Common Stock") | 31,748 | $1.91 | $60,638.68 |
DisclosureSEC source: 0000899243-22-036283 · 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: 5,214,613 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 $1.90 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 3,844,629 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 |
| November 14, 2022 Filed Nov 15, 2022 00:38 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 6,458 | $2.00 | $12,916.00 |
DisclosureSEC source: 0000899243-22-035760 · 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: 5,182,865 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 $1.98 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 3,812,881 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 |
| November 09, 2022 Filed Nov 15, 2022 00:38 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon stock, par value $0.01 per share ("Common Stock") | 2,619 | $2.00 | $5,238.00 |
DisclosureSEC source: 0000899243-22-035760 · 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: 5,176,407 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. 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 $1.98 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 3,806,423 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 |
| November 08, 2022 Filed Nov 8, 2022 23:17 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 161,123 | $2.00 | $322,246.00 |
DisclosureSEC source: 0000899243-22-035385 · 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: 5,173,788 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 $1.96 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 3,803,804 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 |
| November 07, 2022 Filed Nov 8, 2022 23:17 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 1,254 | $1.99 | $2,495.46 |
DisclosureSEC source: 0000899243-22-035385 · 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: 5,012,665 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 $1.98 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 3,642,681 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 |
| November 04, 2022 Filed Nov 8, 2022 23:17 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon stock, par value $0.01 per share ("Common Stock") | 5,578 | $2.00 | $11,156.00 |
DisclosureSEC source: 0000899243-22-035385 · 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: 5,011,411 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 $1.98 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 3,641,427 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 |
| October 28, 2022 Filed Oct 28, 2022 22:59 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 4,469 | $2.00 | $8,938.00 |
DisclosureSEC source: 0000899243-22-034482 · 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: 5,005,833 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 $1.98 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 3,635,849 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 |
| October 27, 2022 Filed Oct 28, 2022 22:59 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 3,964 | $1.99 | $7,888.36 |
DisclosureSEC source: 0000899243-22-034482 · 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: 5,001,364 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 $1.98 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 3,631,380 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 |
| October 26, 2022 Filed Oct 28, 2022 22:59 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon stock, par value $0.01 per share ("Common Stock") | 3,168 | $1.99 | $6,304.32 |
DisclosureSEC source: 0000899243-22-034482 · doc4.xml · nonDerivative · entry 1 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,997,400 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 $1.98 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 3,627,416 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 |
| October 21, 2022 Filed Oct 25, 2022 23:13 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon stock, par value $0.01 per share ("Common Stock") | 5,323 | $2.00 | $10,646.00 |
DisclosureSEC source: 0000899243-22-034152 · doc4.xml · nonDerivative · entry 1 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,994,232 F1 · kind: This purchase was affected 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 $1.99 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. F3 · ownership.nature: Consists of 3,624,248 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 |
| October 18, 2022 Filed Oct 18, 2022 22:43 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 21,494 | $2.00 | $42,988.00 |
DisclosureSEC source: 0000899243-22-033768 · doc4.xml · nonDerivative · entry 2 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,988,909 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 $1.97 to $2.00, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the 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 3,618,925 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 |
| October 14, 2022 Filed Oct 18, 2022 22:43 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon stock, par value $0.01 per share ("Common Stock") | 5,277 | $2.00 | $10,554.00 |
DisclosureSEC source: 0000899243-22-033768 · doc4.xml · nonDerivative · entry 1 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,967,415 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 $1.98 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. F3 · ownership.nature: Consists of 3,597,431 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 |
| October 13, 2022 Filed Oct 14, 2022 00:15 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 6,593 | $2.00 | $13,186.00 |
DisclosureSEC source: 0000899243-22-033588 · doc4.xml · nonDerivative · entry 3 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,962,138 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 $1.98 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 3,592,154 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 |
| October 12, 2022 Filed Oct 14, 2022 00:15 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 1,579 | $2.00 | $3,158.00 |
DisclosureSEC source: 0000899243-22-033588 · doc4.xml · nonDerivative · entry 2 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,955,545 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 $1.98 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 3,585,561 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 |
| October 11, 2022 Filed Oct 14, 2022 00:15 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon stock, par value $0.01 per share ("Common Stock") | 6,002 | $2.00 | $12,004.00 |
DisclosureSEC source: 0000899243-22-033588 · doc4.xml · nonDerivative · entry 1 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,953,966 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 $1.98 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. F3 · ownership.nature: Consists of 3,583,982 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 |
| October 10, 2022 Filed Oct 11, 2022 13:39 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 3,347 | $2.00 | $6,694.00 |
DisclosureSEC source: 0000899243-22-033356 · doc4.xml · nonDerivative · entry 3 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,947,964 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. F5 · ownership.nature: Consists of 3,577,980 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 |
| October 07, 2022 Filed Oct 11, 2022 13:39 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 1,223 | $2.00 | $2,446.00 |
DisclosureSEC source: 0000899243-22-033356 · doc4.xml · nonDerivative · entry 2 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,944,617 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 · 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 $1.98 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. F4 · ownership.nature: Consists of 3,574,633 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 |
| October 06, 2022 Filed Oct 11, 2022 13:39 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon stock, par value $0.01 per share ("Common Stock") | 2,213 | $2.00 | $4,426.00 |
DisclosureSEC source: 0000899243-22-033356 · doc4.xml · nonDerivative · entry 1 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,943,394 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 · ownership.nature: Consists of 3,573,410 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 |
| September 28, 2022 Filed Sep 30, 2022 21:29 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon stock, par value $0.01 per share ("Common Stock") | 5,562 | $2.00 | $11,124.00 |
DisclosureSEC source: 0000899243-22-032311 · doc4.xml · nonDerivative · entry 1 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,941,181 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 · ownership.nature: Consists of 3,571,197 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. F3 · ownership.nature: Each of Mr. Reese, ICAM and Long Ball disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. Read SEC document |
| September 27, 2022 Filed Sep 27, 2022 23:08 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 13,463 | $1.99 | $26,791.37 |
DisclosureSEC source: 0000899243-22-032166 · doc4.xml · nonDerivative · entry 3 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,935,619 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. F7 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.98 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. 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. F8 · ownership.nature: Consists of 3,565,635 shares held directly by Long Ball and 1,369,984 shares held directly by ICAM. Read SEC document |
| September 26, 2022 Filed Sep 27, 2022 23:08 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 92,310 | $1.99 | $183,696.90 |
DisclosureSEC source: 0000899243-22-032166 · doc4.xml · nonDerivative · entry 2 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,922,156 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. F5 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.95 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. 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. F6 · ownership.nature: Consists of 3,552,172 shares held directly by Long Ball and 1,369,984 shares held directly by ICAM. Read SEC document |
| September 23, 2022 Filed Sep 27, 2022 23:08 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon stock, par value $0.01 per share ("Common Stock") | 7,374 | $2.05 | $15,116.70 |
DisclosureSEC source: 0000899243-22-032166 · doc4.xml · nonDerivative · entry 1 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,829,846 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. These shares were purchased in multiple transactions at prices ranging from $2.03 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 3,459,862 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 |
| September 21, 2022 Filed Sep 22, 2022 21:42 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 6,089 | $2.05 | $12,482.45 |
DisclosureSEC source: 0000899243-22-031714 · doc4.xml · nonDerivative · entry 2 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,822,472 F3 · 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 3,452,488 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. F5 · ownership.nature: Each of Mr. Reese, ICAM and Long Ball disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. Read SEC document |
| September 20, 2022 Filed Sep 22, 2022 21:42 UTC | Great Elm Group, Inc. GEG · Entity 7060 | GrantCommon stock, par value $0.01 per share ("Common Stock") | 159,817 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-22-031714 · doc4.xml · nonDerivative · entry 1 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 564,902 F1 · shares: On September 20, 2022, Jason Reese was awarded 159,817 restricted stock units, 25% of which vested on the date of grant, and 25% of the units will vest on each of the next three anniversaries thereof. F2 · balance_after: Reflects shares directly beneficially owned by Mr. Reese. F5 · ownership.direct: 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 |
| September 12, 2022 Filed Sep 12, 2022 23:53 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 6,364 | $2.05 | $13,046.20 |
DisclosureSEC source: 0000899243-22-030829 · doc4.xml · nonDerivative · entry 3 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,816,383 F1 · kind: The purchases reported in this Form 4 were 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. F6 · ownership.nature: Consists of 3,446,399 shares held directly by Long Ball and 1,369,984 shares held directly by ICAM. Read SEC document |
| September 09, 2022 Filed Sep 12, 2022 23:53 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 8,153 | $2.05 | $16,713.65 |
DisclosureSEC source: 0000899243-22-030829 · doc4.xml · nonDerivative · entry 2 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,810,019 F1 · kind: The purchases reported in this Form 4 were 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 3,440,035 shares held directly by Long Ball and 1,369,984 shares held directly by ICAM. Read SEC document |
| September 08, 2022 Filed Sep 12, 2022 23:53 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon stock, par value $0.01 per share ("Common Stock") | 4,361 | $2.05 | $8,940.05 |
DisclosureSEC source: 0000899243-22-030829 · doc4.xml · nonDerivative · entry 1 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,801,866 F1 · kind: The purchases reported in this Form 4 were 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. These shares were purchased in multiple transactions at prices ranging from $2.03 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. F3 · ownership.nature: Consists of 3,431,882 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 |
| September 06, 2022 Filed Sep 7, 2022 00:46 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 1,247 | $2.05 | $2,556.35 |
DisclosureSEC source: 0000899243-22-030512 · doc4.xml · nonDerivative · entry 2 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,797,505 F1 · kind: The purchases reported in this Form 4 were 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 3,427,521 shares held directly by Long Ball and 1,369,984 shares held directly by ICAM. F5 · ownership.nature: Each of Mr. Reese, ICAM and Long Ball disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. Read SEC document |
| September 01, 2022 Filed Sep 7, 2022 00:46 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon stock, par value $0.01 per share ("Common Stock") | 2,421 | $2.05 | $4,963.05 |
DisclosureSEC source: 0000899243-22-030512 · doc4.xml · nonDerivative · entry 1 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,796,258 F1 · kind: The purchases reported in this Form 4 were 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. These shares were purchased in multiple transactions at prices ranging from $2.04 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 3,426,274 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. F5 · ownership.nature: Each of Mr. Reese, ICAM and Long Ball disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. Read SEC document |
| August 17, 2022 Filed Aug 19, 2022 23:30 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon stock, par value $0.01 per share ("Common Stock") | 2,027 | $2.05 | $4,155.35 |
DisclosureSEC source: 0000899243-22-029366 · doc4.xml · nonDerivative · entry 1 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,793,837 F1 · kind: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan established by Long Ball Partners, LLC ("Long Ball") on June 15, 2022. F2 · ownership.nature: Consists of 3,423,853 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. F3 · ownership.nature: Each of Mr. Reese, ICAM and Long Ball disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. Read SEC document |
| August 16, 2022 Filed Aug 17, 2022 00:12 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 15,878 | $2.02 | $32,073.56 |
DisclosureSEC source: 0000899243-22-028879 · doc4.xml · nonDerivative · entry 3 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,791,810 F1 · kind: The purchases reported in this Form 4 were 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. These shares were purchased in multiple transactions at prices ranging from $2.00 to $2.05, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F7 · ownership.nature: Consists of 3,421,826 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 |
| August 15, 2022 Filed Aug 17, 2022 00:12 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 26,150 | $2.02 | $52,823.00 |
DisclosureSEC source: 0000899243-22-028879 · doc4.xml · nonDerivative · entry 2 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,775,932 F1 · kind: The purchases reported in this Form 4 were 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. These shares were purchased in multiple transactions at prices ranging from $2.00 to $2.05, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F5 · ownership.nature: Consists of 3,405,948 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 |
| August 12, 2022 Filed Aug 17, 2022 00:12 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon stock, par value $0.01 per share ("Common Stock") | 41,119 | $2.00 | $82,238.00 |
DisclosureSEC source: 0000899243-22-028879 · doc4.xml · nonDerivative · entry 1 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,749,782 F1 · kind: The purchases reported in this Form 4 were 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. These shares were purchased in multiple transactions at prices ranging from $1.97 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 3,379,798 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 |
| August 10, 2022 Filed Aug 11, 2022 00:49 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 4,144 | $2.04 | $8,453.76 |
DisclosureSEC source: 0000899243-22-028305 · doc4.xml · nonDerivative · entry 3 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,708,663 F1 · kind: The purchases reported in this Form 4 were 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. These shares were purchased in multiple transactions at prices ranging from $2.03 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. F7 · ownership.nature: Consists of 3,338,679 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 |
| August 09, 2022 Filed Aug 11, 2022 00:49 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 8,769 | $2.05 | $17,976.45 |
DisclosureSEC source: 0000899243-22-028305 · doc4.xml · nonDerivative · entry 2 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,704,519 F1 · kind: The purchases reported in this Form 4 were 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. These shares were purchased in multiple transactions at prices ranging from $2.02 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. F5 · ownership.nature: Consists of 3,334,535 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 |
| August 08, 2022 Filed Aug 11, 2022 00:49 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon stock, par value $0.01 per share ("Common Stock") | 7,234 | $2.02 | $14,612.68 |
DisclosureSEC source: 0000899243-22-028305 · doc4.xml · nonDerivative · entry 1 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,695,750 F1 · kind: The purchases reported in this Form 4 were 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. 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 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 3,325,766 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 |
| July 26, 2022 Filed Jul 27, 2022 00:12 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 410 | $1.98 | $813.15 |
DisclosureSEC source: 0000899243-22-026764 · doc4.xml · nonDerivative · entry 2 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,688,516 F1 · kind: The purchases reported in this Form 4 were 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. 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 ("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 3,318,532 shares held directly by Long Ball and 1,369,984 shares held directly by ICAM. F5 · ownership.nature: Each of Mr. Reese, ICAM and Long Ball disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. Read SEC document |
| July 22, 2022 Filed Jul 27, 2022 00:12 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon stock, par value $0.01 per share ("Common Stock") | 26,244 | $1.98 | $51,921.13 |
DisclosureSEC source: 0000899243-22-026764 · doc4.xml · nonDerivative · entry 1 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,688,106 F1 · kind: The purchases reported in this Form 4 were 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. 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 ("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 3,318,122 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. F5 · ownership.nature: Each of Mr. Reese, ICAM and Long Ball disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. Read SEC document |
| July 20, 2022 Filed Jul 20, 2022 23:59 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 3,661 | $1.98 | $7,263.42 |
DisclosureSEC source: 0000899243-22-026423 · doc4.xml · nonDerivative · entry 2 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,661,882 F1 · kind: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan established by Long Ball Partners, LLC ("Long Ball") on June 15, 2022. F3 · price: The price reported in Column 4 is a weighted average price. 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 3,291,898 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 |
| July 18, 2022 Filed Jul 20, 2022 23:59 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon stock, par value $0.01 per share ("Common Stock") | 3,290 | $2.00 | $6,574.74 |
DisclosureSEC source: 0000899243-22-026423 · doc4.xml · nonDerivative · entry 1 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,658,221 F1 · kind: The purchases reported in this Form 4 were 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. 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 ("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 3,288,237 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 |
| June 16, 2022 Filed Jun 16, 2022 23:34 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 21,612 | $2.48 | $53,597.76 |
DisclosureSEC source: 0000899243-22-022921 · doc4.xml · nonDerivative · entry 3 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,654,931 F5 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.40 to $2.50, 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. F6 · ownership.nature: Consists of 3,284,947 shares held directly by Long Ball and 1,369,984 shares held directly by ICAM. Read SEC document |
| June 15, 2022 Filed Jun 16, 2022 23:34 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 4,772 | $2.41 | $11,500.52 |
DisclosureSEC source: 0000899243-22-022921 · doc4.xml · nonDerivative · entry 2 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,633,319 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.37 to $2.48, 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 3,263,335 shares held directly by Long Ball and 1,369,984 shares held directly by ICAM. 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 |
| June 14, 2022 Filed Jun 16, 2022 23:34 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon stock, par value $0.01 per share ("Common Stock") | 75,000 | $2.42 | $181,500.00 |
DisclosureSEC source: 0000899243-22-022921 · doc4.xml · nonDerivative · entry 1 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,628,547 F1 · ownership.nature: Consists of 3,258,563 shares held directly Long Ball Partners, LLC ("Long Ball") and 1,369,984 shares held directly by Imperial Capital Asset Management, LLC ("ICAM"). Mr. Reese is portfolio manager to Long Ball and is Chairman and Chief Executive Officer of ICAM, which is the managing member of and investment manager to Long Ball. 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 |
| June 09, 2022 Filed Jun 13, 2022 22:49 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon stock, par value $0.01 per share ("Common Stock") | 237,366 | $2.38 | $564,931.08 |
DisclosureSEC source: 0000899243-22-022260 · doc4.xml · nonDerivative · entry 1 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,553,547 F1 · ownership.nature: Consists of 3,183,563 shares held directly Long Ball Partners, LLC ("Long Ball") and 1,369,984 shares held directly by Imperial Capital Asset Management, LLC ("ICAM"). Mr. Reese is portfolio manager to Long Ball and is Chairman and Chief Executive Officer of ICAM, which is the managing member of and investment manager to Long Ball. F2 · ownership.nature: Each of Mr. Reese, ICAM and Long Ball disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. Read SEC document |
| June 02, 2022 Filed Jun 2, 2022 22:34 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 6,291 | $2.41 | $15,161.31 |
DisclosureSEC source: 0000899243-22-020736 · doc4.xml · nonDerivative · entry 3 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,316,181 F5 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.39 to $2.43, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F6 · ownership.nature: Consists of 2,946,197 shares held directly by Long Ball and 1,369,984 shares held directly by ICAM. F7 · ownership.nature: Each of Mr. Reese, ICAM and Long Ball disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. Read SEC document |
| June 01, 2022 Filed Jun 2, 2022 22:34 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon Stock | 24,925 | $2.38 | $59,321.50 |
DisclosureSEC source: 0000899243-22-020736 · doc4.xml · nonDerivative · entry 2 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,309,890 F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.33 to $2.41, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F4 · ownership.nature: Consists of 2,939,906 shares held directly by Long Ball and 1,369,984 shares held directly by ICAM. F7 · ownership.nature: Each of Mr. Reese, ICAM and Long Ball disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. Read SEC document |
| May 31, 2022 Filed Jun 2, 2022 22:34 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon stock, par value $0.01 per share ("Common Stock") | 10,483 | $2.31 | $24,215.73 |
DisclosureSEC source: 0000899243-22-020736 · doc4.xml · nonDerivative · entry 1 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,284,965 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.29 to $2.37, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission ("SEC"), upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F2 · ownership.nature: Consists of 2,914,981 shares held directly Long Ball Partners, LLC ("Long Ball") and 1,369,984 shares held directly by Imperial Capital Asset Management, LLC ("ICAM"). Mr. Reese is portfolio manager to Long Ball and is Chairman and Chief Executive Officer of ICAM, which is the managing member of and investment manager to Long Ball. F7 · ownership.nature: Each of Mr. Reese, ICAM and Long Ball disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. Read SEC document |
| May 23, 2022 Filed May 25, 2022 23:02 UTC | Great Elm Group, Inc. GEG · Entity 7060 | PurchaseCommon stock, par value $0.01 per share ("Common Stock") | 50,000 | $2.19 | $109,500.00 |
DisclosureSEC source: 0000899243-22-019504 · doc4.xml · nonDerivative · entry 1 Reese Jason W. · CIK 0001479613 · Director · 10% owner Imperial Capital Asset Management, LLC · CIK 0001805378 · 10% owner LONG BALL PARTNERS LLC · CIK 0001308057 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,274,482 F1 · ownership.nature: Consists of 2,904,498 shares held directly Long Ball Partners, LLC ("Long Ball") and 1,369,984 shares held directly by Imperial Capital Asset Management, LLC ("ICAM"). Mr. Reese is portfolio manager to Long Ball and is Chairman and Chief Executive Officer of ICAM, which is the managing member of and investment manager to Long Ball. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.