Form 4 for GEG Great Elm Group, Inc.
Accepted 2026-09-23 16:26:00 ET · period of report 2026-09-21 · accession 0000950103-26-014389 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2026-09-23 16:26 | 2026-09-21 | GEG | Kleinman Adam M | Pres | A - Grant | $0.00 | +40.1K | 625.5K | +7% | $0 |
| D | 2026-09-23 16:26 | 2026-09-21 | GEG | Kleinman Adam M | Pres | F - Tax | $2.15 | -17.4K | 608.1K | -3% | -$37.3K |
| D | 2026-09-23 16:26 | 2026-09-21 | GEG | Kleinman Adam M | Pres | A - Grant | $0.00 | +40.0K | 40.0K | New | $0 |
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2026-09-21 | A | A | 40,104 | $0.00 | 625,498 | D | — | — | (F1) Mr. Kleinman was awarded 40,104 shares of restricted stock, one-quarter of which vested on the grant date, September 21, 2026, and the remainder of which vest in equal annual installments on September 20th of each year until September 20, 2029, contingent on continued employment by Great Elm Group, Inc. |
| 2 | Common | Common Stock | 2026-09-21 | F | D | 17,367 | $2.15 | 608,131 | D | — | — | (F2) Reflects the net share settlement of awards of restricted stock in connection with vesting thereof that is exempt pursuant to Rule 16b-3. |
| 3 | Derivative | Stock Options (right to buy) | 2026-09-21 | A | A | 40,000 | $0.00 | 40,000 | D | $3.00 · — to 2031-09-20 | 40,000 Common Stock | (F3) Mr. Kleinman was awarded options to purchase 40,000 shares of common stock of Great Elm Group, Inc., 50% of which vested on the grant date, September 21, 2026, and the remainder of which will vest on September 20, 2027, contingent on continued employment by Great Elm Group, Inc. (F3) Mr. Kleinman was awarded options to purchase 40,000 shares of common stock of Great Elm Group, Inc., 50% of which vested on the grant date, September 21, 2026, and the remainder of which will vest on September 20, 2027, contingent on continued employment by Great Elm Group, Inc. |