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Great Elm Group, Inc. — Director's Dealing 2021
Apr 2, 2021
34312_dirs_2021-04-02_29f740ed-d893-4542-bdd9-5dcf7cdc9cea.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Great Elm Group, Inc. (GEG)
CIK: 0001831096
Period of Report: 2021-03-31
Reporting Person: Reese Jason W. (Director, 10% Owner)
Reporting Person: Imperial Capital Asset Management, LLC (10% Owner)
Reporting Person: LONG BALL PARTNERS LLC (10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-03-31 | Common stock, par value $0.001 per share | A | 17930 | $0.00 | Acquired | 127615 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common stock, par value $0.001 per share | 2329312 | Indirect |
Footnotes
F1: 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.