Great Elm Group, Inc. — Director's Dealing 2021

Sep 29, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Great Elm Group, Inc. (GEG)
CIK: 0001831096
Period of Report: 2021-09-24

Reporting Person: Pearson Brent J (N/A)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-09-24	Common Stock	A	5230	—	Acquired	22563	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-09-24	Stock Option (Right to Buy)	$2.87	A	12278	Acquired	2026-09-24	Common Stock (12278)	Direct

Footnotes

F1: Mr. Pearson was awarded 5,230 restricted stock units, 1,308 of which vested on the grant date, September 24, 2021, and the remainder of which vest in equal annual installments on each anniversary of the grant date until September 24, 2024.

F2: Mr. Pearson was awarded 12,278 stock options, 3,070 of which vested on the grant date, September 24, 2021 and the remainder of which vest in equal annual installments on each anniversary of the grant date until September 24, 2024.