0001140361-24-000771.txt : 20240104 0001140361-24-000771.hdr.sgml : 20240104 20240104193830 ACCESSION NUMBER: 0001140361-24-000771 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240103 FILED AS OF DATE: 20240104 DATE AS OF CHANGE: 20240104 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Drapkin Matthew A CENTRAL INDEX KEY: 0001458693 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39832 FILM NUMBER: 24514046 MAIL ADDRESS: STREET 1: 10 CORBIN DRIVE STREET 2: 3RD FLOOR CITY: DARIEN STATE: CT ZIP: 06820 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Great Elm Group, Inc. CENTRAL INDEX KEY: 0001831096 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] ORGANIZATION NAME: 06 Technology 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 form4.xml FORM 4 X0508 4 2024-01-03 0001831096 Great Elm Group, Inc. GEG 0001458693 Drapkin Matthew A C/O NORTHERN RIGHT CAPITAL MANAGEMENT, L.P., 9 OLD KINGS HWY S., 4TH FLOOR DARIEN CT 06820 true true false Common Stock 2279478 I See Footnote Common Stock 1913690 I See Footnote Common Stock 2024-01-03 4 A 0 34759 0 A 459930 D Common Stock 2024-01-03 4 A 0 80214 0 A 540144 D Common Stock 2024-01-03 4 A 0 34759 0 A 574903 D Represents shares of common stock held directly by Northern Right Capital (QP), L.P., a Texas limited partnership ("Northern Right QP"). Represents shares of common stock purchased by managed accounts (the "Managed Accounts") on behalf of certain investment advisory clients of Northern Right Capital Management, L.P. ("Northern Right Management"). As general partner and investment manager of Northern Right QP, Northern Right Capital Management, L.P. ("Northern Right Management") may be deemed to be the beneficial owner of the shares of common stock held by Northern Right QP. As the investment manager of the Managed Accounts, Northern Right Management may also be deemed to be the beneficial owner of the shares of common stock held by the Managed Accounts. As general partner of Northern Right Management, BC Advisors, LLC, a Texas limited liability company ("BCA"), may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by Northern Right Management. As the managing member of BCA, the Reporting Person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by BCA. (continued from footnote 3) The Reporting Person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with BCA, except to the extent of his pecuniary interest therein. The Reporting Person was awarded 34,759 shares of restricted stock, which vest in equal monthly installments on the end of each month beginning on January 31, 2024 through December 31, 2024, contingent upon continued service as a member of the board of directors of Great Elm Group, Inc. ("GEG"). The Reporting Person was awarded 80,214 shares of restricted stock, which vest in equal quarterly installments on the end of each quarter beginning on March 31, 2024 through December 31, 2024, contingent upon continued service as a member of the board of directors of GEG. The Reporting Person was awarded 34,759 shares of restricted stock, which vest in equal quarterly installments on the end of each quarter beginning on March 31, 2024 through December 31, 2024, contingent upon continued service as a member of the board of directors of Great Elm Capital Corp. /s/ Adam M. Kleinman, attorney-in-fact 2024-01-04