0000899243-22-037907.txt : 20221207
0000899243-22-037907.hdr.sgml : 20221207
20221207182550
ACCESSION NUMBER: 0000899243-22-037907
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20221205
FILED AS OF DATE: 20221207
DATE AS OF CHANGE: 20221207
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: LONG BALL PARTNERS LLC
CENTRAL INDEX KEY: 0001308057
STATE OF INCORPORATION: DE
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39832
FILM NUMBER: 221451073
BUSINESS ADDRESS:
STREET 1: 10100 SANTA MONICA BLVD.
STREET 2: SUITE 2400
CITY: LOS ANGELES
STATE: CA
ZIP: 90067
BUSINESS PHONE: 310-246-3700
MAIL ADDRESS:
STREET 1: 10100 SANTA MONICA BLVD.
STREET 2: SUITE 2400
CITY: LOS ANGELES
STATE: CA
ZIP: 90067
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Reese Jason W.
CENTRAL INDEX KEY: 0001479613
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39832
FILM NUMBER: 221451075
MAIL ADDRESS:
STREET 1: C/O IMPERIAL CAPITAL ASSET MANAGEMENT, L
STREET 2: 10100 SANTA MONICA BLVD. SUITE 2400
CITY: LOS ANGELES
STATE: CA
ZIP: 90067
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Imperial Capital Asset Management, LLC
CENTRAL INDEX KEY: 0001805378
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39832
FILM NUMBER: 221451074
BUSINESS ADDRESS:
STREET 1: 10100 SANTA MONICA BLVD.
STREET 2: SUITE 2400
CITY: LOS ANGELES
STATE: CA
ZIP: 90067
BUSINESS PHONE: 310.246.3644
MAIL ADDRESS:
STREET 1: 10100 SANTA MONICA BLVD.
STREET 2: SUITE 2400
CITY: LOS ANGELES
STATE: CA
ZIP: 90067
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Great Elm Group, Inc.
CENTRAL INDEX KEY: 0001831096
STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372]
IRS NUMBER: 853622015
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0630
BUSINESS ADDRESS:
STREET 1: 800 SOUTH STREET, SUITE 230
CITY: WALTHAM
STATE: MA
ZIP: 02453
BUSINESS PHONE: (617) 375-3006
MAIL ADDRESS:
STREET 1: 800 SOUTH STREET, SUITE 230
CITY: WALTHAM
STATE: MA
ZIP: 02453
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2022-12-05
0
0001831096
Great Elm Group, Inc.
GEG
0001479613
Reese Jason W.
C/O IMPERIAL CAPITAL ASSET MANAGEMENT
3801 PGA BOULEVARD, SUITE 603
PALM BEACH GARDENS
FL
33410
1
0
1
0
0001805378
Imperial Capital Asset Management, LLC
3801 PGA BOULEVARD, SUITE 603
PALM BEACH GARDENS
FL
33410
0
0
1
0
0001308057
LONG BALL PARTNERS LLC
C/O IMPERIAL CAPITAL ASSET MANAGEMENT
3801 PGA BOULEVARD, SUITE 603
PALM BEACH GARDENS
FL
33410
0
0
1
0
Common stock, par value $0.01 per share ("Common Stock")
2022-12-05
4
P
0
1300
1.90
A
5215913
I
See Footnotes
Common Stock
2022-12-06
4
P
0
4317
1.90
A
5220230
I
See Footnotes
Common Stock
564902
D
This purchase was effected pursuant to a Rule 10b5-1 Trading Plan established by Long Ball Partners, LLC ("Long Ball") on June 15, 2022.
The price reported in Column 4 is a weighted average price, rounded to the nearest cent. These shares were purchased in multiple transactions at prices ranging from $1.88 to $1.90, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission ("SEC"), upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
Consists of 3,845,929 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.
Consists of 3,850,246 shares held directly by Long Ball and 1,369,984 shares held directly by ICAM.
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.
Reflects shares directly beneficially owned by Mr. Reese.
Mr. Reese is a director and Executive Chairman of the Issuer.
Jason Reese, By: /s/ Jason Reese
2022-12-07
Long Ball Partners, LLC, By: Imperial Capital Asset Management, LLC, its Managing Member, By: /s/ Jason Reese, Chairman & CEO
2022-12-07
Imperial Capital Asset Management, LLC, By: /s/ Jason Reese, Chairman & CEO
2022-12-07