Reese Jason W.'s Form 4 filing
Great Elm Group, Inc. (GEG) · filed May 6, 2022
- Accession no.
- 0000899243-22-017109
- Filed
- May 6, 2022, 5:54 PM ET
- Trade date
- May 4, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 1 non-derivative transaction. Open-market purchases total $2.48M. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Reese Jason W.CIK 0001479613 | Director, 10% Owner |
| Long Ball Partners LLCCIK 0001308057 | 10% Owner |
| Imperial Capital Asset Management, LLCCIK 0001805378 | 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| May 4, 2022 | Common stock, par value $0.01 per share ("Common Stock") | PPurchaseAcquired | +1,369,984 | $1.81F1 | +$2,479,671.04 | 4,027,982 | Indirect |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
Price determined pursuant to the terms of an Asset Purchase Agreement (the "Agreement") between the Issuer and Imperial Capital Asset Management, LLC ("ICAM"), dated May 4, 2022.
Referenced by the price of 1 transaction in Table I.
Remarks
Mr. Reese is a director and Executive Chairman of the Issuer.