| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | GEG | Common Stock | Award | $0 | +29.4K | +5.21% | $0.00 | 594K | 05 Jan 2023 | Direct | F3 |
| transaction | GEG | Common Stock | Award | $0 | +136K | +22.84% | $0.00 | 730K | 05 Jan 2023 | Direct | F4 |
| holding | GEG | Common Stock | 5.62M | 05 Jan 2023 | See Footnotes | F1, F2 |
| Id | Content |
|---|---|
| F1 | Consists of 4,250,016 shares held directly by 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 | 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. |
| F3 | 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"). |
| F4 | 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. |
Mr. Reese is a director and Executive Chairman of the Issuer.