Reese Jason W.'s Form 4/A amendment
AmendedGreat Elm Group, Inc. (GEG) · filed May 16, 2022
- Accession no.
- 0000899243-22-018240
- Filed
- May 16, 2022, 7:49 PM ET
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- May 10, 2022
This filing lists no transactions. It carries over 2 transactions from the original filing that it did not restate. Open-market purchases total $161.0K.
This amendment restates part of 0000899243-22-017521 (filed May 10, 2022). The transactions it did not restate still count and are listed below.
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.
This filing has no transactions of this kind.
Carried over from the original filing
This amendment restates only part of the original filing. The original's other transactions still stand, and the trade tables on Livermore count them under this amendment.
From 0000899243-22-017521 (filed May 10, 2022).
Non-derivative securities (Table I)
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| May 9, 2022 | Common stock, par value $0.01 per share ("Common Stock") | PPurchaseAcquired | +80,000 | $1.61F1 | +$128,800 | 4,107,982 | Indirect | |
| May 10, 2022 | Common Stock | PPurchaseAcquired | +17,500 | $1.84F4 | +$32,200 | 4,125,839 | Indirect |
Footnotes on the original
The footnotes that the prices of these transactions refer to on the original filing.
- F1
The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.58 to $1.78, 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.
Referenced by the price of 1 transaction in Table I.
- F4
The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.73 to $1.96, 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.
Referenced by the price of 1 transaction in Table I.
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
On May 10, 2022, the reporting persons filed a Form 4, which inadvertently reported in Column 5 indirect beneficial ownership following the transaction occurring on May 10, 2022 of 4,125,839 shares, consisting of 2,755,855 shares held directly by Long Ball Partners, LLC ("Long Ball") and 1,369,984 shares held directly by Imperial Capital Asset Management, LLC ("ICAM"). In fact, as reported in this amendment, the reporting persons indirectly beneficially owned 4,125,482 shares, consisting of 2,755,498 shares held directly by Long Ball and 1,369,984 shares held directly by ICAM.
- F2
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.
Remarks
Mr. Reese is a director and Executive Chairman of the Issuer.