Form 4 for GEG Great Elm Group, Inc.
Accepted 2022-05-20 00:00:00 ET · period of report 2022-05-18 · accession 0000899243-22-019086 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| MI | 2022-05-20 | 2022-05-18+ | GEG | Reese Jason W. | Dir, 10% | P - Purchase | $2.14 | +45.0K | 4.22M | +1% | +$96.2K |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common stock, par value $0.01 per share ("Common Stock") | 2022-05-18 | P | A | 5,000 | $2.04 | 4,184,482 | I See Footnotes | — | — | (F1) The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.01 to $2.10, 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. (F5) 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) Consists of 2,814,498 shares held directly 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. |
| 2 | Common | Common Stock | 2022-05-19 | P | A | 40,000 | $2.15 | 4,224,482 | I See Footnotes | — | — | (F2) The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.00 to $2.19, 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. (F5) 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. (F4) Consists of 2,854,498 shares held directly Long Ball, and 1,369,984 shares held directly by ICAM. |