0000899243-23-014612.txt : 20230606
0000899243-23-014612.hdr.sgml : 20230606
20230606193401
ACCESSION NUMBER: 0000899243-23-014612
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230602
FILED AS OF DATE: 20230606
DATE AS OF CHANGE: 20230606
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: 23997406
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: 23997408
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 Group Holdings II, LLC
CENTRAL INDEX KEY: 0001961798
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39832
FILM NUMBER: 23997405
BUSINESS ADDRESS:
STREET 1: 3801 PGA BOULEVARD
STREET 2: SUITE 603
CITY: PALM BEACH GARDENS
STATE: FL
ZIP: 33410
BUSINESS PHONE: 5612147901
MAIL ADDRESS:
STREET 1: 3801 PGA BOULEVARD
STREET 2: SUITE 603
CITY: PALM BEACH GARDENS
STATE: FL
ZIP: 33410
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: 23997407
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
X0407
4
2023-06-02
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
1
1
0
Chief Executive Officer
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
0001961798
Imperial Capital Group Holdings II, LLC
3801 PGA BOULEVARD, SUITE 603
PALM BEACH GARDENS
FL
33410
0
0
1
0
0
Common stock, par value $0.01 per share ("Common Stock")
2023-06-02
4
P
0
3005
2.10
A
6026266
I
See Footnotes
Common Stock
2023-06-05
4
P
0
8851
2.08
A
6035117
I
See Footnotes
Common Stock
2023-06-06
4
P
0
2970
2.10
A
6038087
I
See Footnotes
Common Stock
730061
D
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 $2.075 to $2.12, 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.
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 $2.04 to $2.10, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the 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 4,656,282 shares held directly by Long Ball, 909,084 shares held directly by Imperial Capital Asset Management, LLC ("ICAM"), and 460,900 shares held directly by Imperial Capital Group Holdings II, LLC ("ICGH2"). 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. Mr. Reese is one of the owners of Imperial Capital Group Holdings, LLC, which is the managing member of ICGH2. Mr. Reese has voting and dispositive power over the shares of Common Stock held directly by ICGH2.
Consists of 4,665,133 shares held directly by Long Ball, 909,084 shares held directly by ICAM, and 460,900 shares held directly by ICGH2.
Consists of 4,668,103 shares held directly by Long Ball, 909,084 shares held directly by ICAM, and 460,900 shares held directly by ICGH2.
Each of Mr. Reese, ICAM, Long Ball and ICGH2 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.
Jason Reese By: /s/ Jason Reese
2023-06-06
Long Ball Partners, LLC, By: Imperial Capital Asset Management, LLC, its Managing Member, By: /s/ Jason Reese, Chairman & CEO
2023-06-06
Imperial Capital Asset Management, LLC, By: /s/ Jason Reese, Chairman & CEO
2023-06-06
Imperial Capital Group Holdings II, LLC, By: /s/ Jason Reese, its Authorized Signatory
2023-06-06