0000899243-21-020291.txt : 20210520
0000899243-21-020291.hdr.sgml : 20210520
20210520205622
ACCESSION NUMBER: 0000899243-21-020291
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210518
FILED AS OF DATE: 20210520
DATE AS OF CHANGE: 20210520
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: 001-39832
FILM NUMBER: 21946330
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
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39832
FILM NUMBER: 21946332
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: 001-39832
FILM NUMBER: 21946331
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]
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
doc4.xml
FORM 4 SUBMISSION
X0306
4
2021-05-18
0
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
1
0
1
0
0001805378
Imperial Capital Asset Management, LLC
3801 PGA BOULEVARD, SUITE 603
PALM BEACH GARDENS
FL
33410
0
0
1
0
0001308057
LONG BALL PARTNERS LLC
C/O IMPERIAL CAPITAL ASSET MANAGEMENT
3801 PGA BOULEVARD, SUITE 603
PALM BEACH GARDENS
FL
33410
0
0
1
0
Common stock, par value $0.01 per share ("Common Stock")
2021-05-18
4
P
0
10229
2.1801
A
2339541
I
See Footnote
Common Stock
2021-05-19
4
P
0
259882
2.3984
A
2599423
I
See Footnote
Common Stock
2021-05-20
4
P
0
58575
2.3166
A
2657998
I
See Footnote
Common Stock
127615
D
The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.03 to $2.25, inclusive. The reporting persons undertake 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.
The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.245 to $2.40, inclusive. The reporting persons undertake 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.
The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.15 to $2.40, inclusive. The reporting persons undertake 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.
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 directly by Mr. Reese.
Mr. Reese is a director and Executive Chairman of the Issuer
Jason Reese By: /s/ Jason Reese
2021-05-20
Long Ball Partners, LLC, By: Imperial Capital Asset Management, LLC, its Managing Member, By: /s/ Jason Reese, Chairman & CEO
2021-05-20
Imperial Capital Asset Management, LLC, By: /s/ Jason Reese, Chairman & CEO
2021-05-20