0000899243-21-000684.txt : 20210106 0000899243-21-000684.hdr.sgml : 20210106 20210106161509 ACCESSION NUMBER: 0000899243-21-000684 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210105 FILED AS OF DATE: 20210106 DATE AS OF CHANGE: 20210106 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: 21510694 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 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: 21510695 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 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: 21510696 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 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Forest Investments, 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: Great Elm Capital Group, Inc. DATE OF NAME CHANGE: 20160616 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 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2021-01-05 0 0001082506 Forest Investments, Inc. GEC 0001479613 Reese Jason W. C/O IMPERIAL CAPITAL ASSET MANAGEMENT 10100 SANTA MONICA BLVD., SUITE 2400 LOS ANGELES CA 90067 1 0 1 0 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 Common stock, par value $0.001 per share 2021-01-05 4 A 0 15909 0.00 A 89740 D Common stock, par value $0.001 per share 2329312 I See Footnote Jason Reese was awarded 15,909 restricted shares that fully vested on the grant date, January 5, 2021. This Common Stock is held directly by Long Ball Partners, LLC ("Long Ball"). Mr. 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 of 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. 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 2021-01-06 Imperial Capital Asset Management, LLC, By: /s/ Jason Reese, Chairman & CEO 2021-01-06 Jason Reese, /s/ Jason Reese 2021-01-06