0000899243-20-014801.txt : 20200601
0000899243-20-014801.hdr.sgml : 20200601
20200601213125
ACCESSION NUMBER: 0000899243-20-014801
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200529
FILED AS OF DATE: 20200601
DATE AS OF CHANGE: 20200601
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Reese Jason W.
CENTRAL INDEX KEY: 0001479613
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-16073
FILM NUMBER: 20935454
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: LONG BALL PARTNERS LLC
CENTRAL INDEX KEY: 0001308057
STATE OF INCORPORATION: DE
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-16073
FILM NUMBER: 20935455
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: Imperial Capital Asset Management, LLC
CENTRAL INDEX KEY: 0001805378
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-16073
FILM NUMBER: 20935456
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 Capital Group, Inc.
CENTRAL INDEX KEY: 0001082506
STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372]
IRS NUMBER: 943219054
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0630
BUSINESS ADDRESS:
STREET 1: 800 SOUTH STREET
STREET 2: SUITE 230
CITY: WALTHAM
STATE: MA
ZIP: 02453
BUSINESS PHONE: (617) 375-3024
MAIL ADDRESS:
STREET 1: 800 SOUTH STREET
STREET 2: SUITE 230
CITY: WALTHAM
STATE: MA
ZIP: 02453
FORMER COMPANY:
FORMER CONFORMED NAME: UNWIRED PLANET, INC.
DATE OF NAME CHANGE: 20120504
FORMER COMPANY:
FORMER CONFORMED NAME: OPENWAVE SYSTEMS INC
DATE OF NAME CHANGE: 20001121
FORMER COMPANY:
FORMER CONFORMED NAME: PHONE COM INC
DATE OF NAME CHANGE: 19990504
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2020-05-29
0
0001082506
Great Elm Capital Group, Inc.
GEC
0001805378
Imperial Capital Asset Management, LLC
10100 SANTA MONICA BLVD., SUITE 2400
LOS ANGELES
CA
90067
0
0
1
0
0001308057
LONG BALL PARTNERS LLC
C/O IMPERIAL CAPITAL ASSET MANAGEMENT
10100 SANTA MONICA BLVD., SUITE 2400
LOS ANGELES
CA
90067
0
0
1
0
0001479613
Reese Jason W.
C/O IMPERIAL CAPITAL ASSET MANAGEMENT
10100 SANTA MONICA BLVD., SUITE 2400
LOS ANGELES
CA
90067
1
0
1
0
Common stock, par value $0.001 per share
2020-05-29
4
P
0
5000
2.3478
A
2329312
I
See footnote
Common stock, par value $0.001 per share
36517
I
See footnote
The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.25 to $2.38, 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.
The Common Stock is held directly by Long Ball Partners, LLC ("Long Ball"). Jason Reese is portfolio manager to Long Ball and is Chairman and Chief Executive Officer of Imperial Capital Asset Management, LLC ("ICAM"), which is the managing member and investment manager to Long Ball. Each of Mr. Reese and ICAM disclaims beneficial ownership of the securities held by Long Ball except to the extent of that person's pecuniary interest therein.
Mr. Reese was awarded 36,517 restricted shares that vest commencing April 10, 2020, with 3,502 shares vesting immediately and of the remaining amount, one-twelfth vesting each monthly anniversary of such date, contingent upon continued service as a member of the board of directors of Great Elm Capital Group, Inc. Each of Long Ball and ICAM disclaims beneficial ownership of the securities held by Mr. Reese.
Mr. Reese is a director and Executive Co-Chairman of the Issuer.
The Reporting Persons are jointly filing this Form 4.
Long Ball Partners, LLC, By: Imperial Capital Asset Management, LLC, its Managing Member, By: /s/ Jason Reese, Chairman & CEO
2020-06-01
Imperial Capital Asset Management, LLC, By: /s/ Jason Reese, Chairman & CEO
2020-06-01
Jason Reese, /s/ Jason Reese
2020-06-01