Keri Davis - 15 May 2023 Form 3 Insider Report for Great Elm Group, Inc. (GEG)

Role
Chief Financial Officer
Signature
/s/ Adam M. Kleinman, attorney-in-fact
Issuer symbol
GEG
Transactions as of
15 May 2023
Transactions value $
$0
Form type
3
Filing time
22 May 2023, 16:51:53 UTC
Previous filing
31 Mar 2023
Next filing
22 Sep 2023
SEC
View on sec.gov

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding GEG Option (right to buy) 15 May 2023 Common Stock 20,000 $3.43 Direct
holding GEG Option (right to buy) 15 May 2023 Common Stock 10,000 $4.12 Direct F1
holding GEG Option (right to buy) 15 May 2023 Common Stock 10,000 $3.35 Direct F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 20% of the option vested on May 14, 2020, with 5.00% of the option vesting per quarter thereafter, until fully vested on May 14, 2024.
F2 20% of the option vested on November 8, 2020, with 5.00% of the option vesting per quarter thereafter, until fully vested on November 8, 2024.