0000950170-24-031061.txt : 20240313 0000950170-24-031061.hdr.sgml : 20240313 20240313203557 ACCESSION NUMBER: 0000950170-24-031061 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240311 FILED AS OF DATE: 20240313 DATE AS OF CHANGE: 20240313 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LONG BALL PARTNERS LLC CENTRAL INDEX KEY: 0001308057 ORGANIZATION NAME: STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39832 FILM NUMBER: 24747625 BUSINESS ADDRESS: STREET 1: 10100 SANTA MONICA BLVD. STREET 2: SUITE 2400 CITY: LOS ANGELES STATE: CA ZIP: 90067 BUSINESS PHONE: 310-246-3700 MAIL ADDRESS: STREET 1: 10100 SANTA MONICA BLVD. STREET 2: SUITE 2400 CITY: LOS ANGELES STATE: CA ZIP: 90067 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Reese Jason W. CENTRAL INDEX KEY: 0001479613 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39832 FILM NUMBER: 24747627 MAIL ADDRESS: STREET 1: C/O IMPERIAL CAPITAL ASSET MANAGEMENT, L STREET 2: 10100 SANTA MONICA BLVD. SUITE 2400 CITY: LOS ANGELES STATE: CA ZIP: 90067 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Imperial Capital Group Holdings II, LLC CENTRAL INDEX KEY: 0001961798 ORGANIZATION NAME: STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39832 FILM NUMBER: 24747624 BUSINESS ADDRESS: STREET 1: 3801 PGA BOULEVARD STREET 2: SUITE 603 CITY: PALM BEACH GARDENS STATE: FL ZIP: 33410 BUSINESS PHONE: 5612147901 MAIL ADDRESS: STREET 1: 3801 PGA BOULEVARD STREET 2: SUITE 603 CITY: PALM BEACH GARDENS STATE: FL ZIP: 33410 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Imperial Capital Asset Management, LLC CENTRAL INDEX KEY: 0001805378 ORGANIZATION NAME: STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39832 FILM NUMBER: 24747626 BUSINESS ADDRESS: STREET 1: 10100 SANTA MONICA BLVD. STREET 2: SUITE 2400 CITY: LOS ANGELES STATE: CA ZIP: 90067 BUSINESS PHONE: 310.246.3644 MAIL ADDRESS: STREET 1: 10100 SANTA MONICA BLVD. STREET 2: SUITE 2400 CITY: LOS ANGELES STATE: CA ZIP: 90067 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Great Elm Group, Inc. CENTRAL INDEX KEY: 0001831096 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] ORGANIZATION NAME: 06 Technology IRS NUMBER: 853622015 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 BUSINESS ADDRESS: STREET 1: 800 SOUTH STREET, SUITE 230 CITY: WALTHAM STATE: MA ZIP: 02453 BUSINESS PHONE: (617) 375-3006 MAIL ADDRESS: STREET 1: 800 SOUTH STREET, SUITE 230 CITY: WALTHAM STATE: MA ZIP: 02453 4 1 ownership.xml 4 X0508 4 2024-03-11 0001831096 Great Elm Group, Inc. GEG 0001479613 Reese Jason W. C/O IMPERIAL CAPITAL ASSET MANAGEMENT 3801 PGA BOULEVARD, SUITE 603 PALM BEACH GARDENS FL 33410 true true true false See remarks 0001805378 Imperial Capital Asset Management, LLC 3801 PGA BOULEVARD, SUITE 603 PALM BEACH GARDENS FL 33410 false false true false 0001308057 LONG BALL PARTNERS LLC C/O IMPERIAL CAPITAL ASSET MANAGEMENT 3801 PGA BOULEVARD, SUITE 603 PALM BEACH GARDENS FL 33410 false false true false 0001961798 Imperial Capital Group Holdings II, LLC 3801 PGA BOULEVARD, SUITE 603 PALM BEACH GARDENS FL 33410 false false true false false Common stock, par value $0.01 per share ("Common Stock") 2024-03-11 4 P false 806 1.90 A 6299849 I See Footnotes Common Stock 2024-03-12 4 P false 2500 1.90 A 6302349 I See Footnotes Common Stock 2024-03-13 4 P false 16200 1.94 A 6318549 I See Footnotes Common Stock 862911 D This Common Stock is held directly by Long Ball Partners, LLC ("Long Ball"), Imperial Capital Asset Management, LLC ("ICAM") and Imperial Capital Group Holdings II, LLC ("ICGH2"). 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. Mr. Reese is one of the owners of Imperial Capital Group Holdings, LLC, which is the managing member of ICGH2. Mr. Reese has voting and dispositive power over the shares of Common Stock held directly by each of Long Ball, ICAM and ICGH2. Each of Mr. Reese, ICAM, Long Ball and ICGH2 disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest. The price reported in Column 4 is a weighted average price, rounded to the nearest cent. These shares were purchased in multiple transactions at prices ranging from $1.90 to $1.97, 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, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. Consists of 4,948,565 shares held directly by Long Ball, 909,084 shares held directly by ICAM, and 460,900 shares held directly by ICGH2. Reflects shares directly beneficially owned by Mr. Reese. Mr. Reese is the Chairman and Chief Executive Officer of the Issuer. Jason Reese, By: /s/ Jason Reese 2024-03-13 Long Ball Partners, LLC, By: Imperial Capital Asset Management, LLC, its Managing Member, By: /s/ Jason Reese, Chairman & CEO 2024-03-13 Imperial Capital Asset Management, LLC, By: /s/ Jason Reese, Chairman & CEO 2024-03-13 Imperial Capital Group Holdings II, LLC, By: /s/ Jason Reese, its Authorized Signatory 2024-03-13