Jason Reese - Aug 17, 2022 Form 4 Insider Report for Great Elm Group, Inc. (GEG)

Role
Director, 10%+ Owner
Signature
Jason Reese, By: /s/ Jason Reese
Stock symbol
GEG
Transactions as of
Aug 17, 2022
Transactions value $
$4,155
Form type
4
Date filed
8/19/2022, 07:30 PM
Previous filing
Aug 16, 2022
Next filing
Sep 6, 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction GEG Common stock, par value $0.01 per share ("Common Stock") Purchase $4.16K +2.03K +0.04% $2.05 4.79M Aug 17, 2022 See Footnotes F1, F2, F3
holding GEG Common Stock 405K Aug 17, 2022 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 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 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 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.

Remarks:

Mr. Reese is a director and Executive Chairman of the Issuer.