Form 4 for GEG Great Elm Group, Inc.
Accepted 2022-09-22 00:00:00 ET · period of report 2022-09-20 · accession 0000899243-22-031714 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2022-09-22 | 2022-09-20 | GEG | Reese Jason W. | Dir, 10% | A - Grant | $0.00 | +159.8K | 564.9K | +39% | $0 | |
| I | 2022-09-22 | 2022-09-21 | GEG | Reese Jason W. | Dir, 10% | P - Purchase | $2.05 | +6,089 | 4.82M | +0.1% | +$12.5K |
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") | 2022-09-20 | A | A | 159,817 | $0.00 | 564,902 | D See Footnote | — | — | (F1) On September 20, 2022, Jason Reese was awarded 159,817 restricted stock units, 25% of which vested on the date of grant, and 25% of the units will vest on each of the next three anniversaries thereof. (F2) Reflects shares directly beneficially owned by Mr. Reese. (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 3,452,488 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. |
| 2 | Common | Common Stock | 2022-09-21 | P | A | 6,089 | $2.05 | 4,822,472 | I | — | — |