Form 4 for GEG Great Elm Group, Inc.

Accepted 2026-09-23 16:28:56 ET · period of report 2026-09-21 · accession 0000950103-26-014392 · 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 16:28	2026-09-21	GEG	Davis Keri	CFO	A - Grant	$0.00	+20.1K	63.5K	+46%	$0
D	2026-09-23 16:28	2026-09-21	GEG	Davis Keri	CFO	F - Tax	$2.15	-7,642	55.8K	-12%	-$16.4K
D	2026-09-23 16:28	2026-09-21	GEG	Davis Keri	CFO	A - Grant	$0.00	+20.0K	20.0K	New	$0

Purchase Sale Sale after option exercise All abbreviations

#	Table	Security	Date	Code	A/D	Shares	Price	Owned after	Own	Exercise / expiry	Underlying	Footnotes
1	Common	Common Stock	2026-09-21	A	A	20,052	$0.00	63,488	D	—	—	(F1) Ms. Davis was awarded 20,052 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	7,642	$2.15	55,846	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	20,000	$0.00	20,000	D	$3.00 · — to 2031-09-20	20,000 Common Stock	(F3) Mr. Davis was awarded options to purchase 20,000 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. Davis was awarded options to purchase 20,000 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.