0000899243-22-000901.txt : 20220105 0000899243-22-000901.hdr.sgml : 20220105 20220105163137 ACCESSION NUMBER: 0000899243-22-000901 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220103 FILED AS OF DATE: 20220105 DATE AS OF CHANGE: 20220105 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: 22511582 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: 22511584 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: 22511583 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 2022-01-03 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") 2022-01-03 4 A 0 31553 0.00 A 320134 D Common Stock 2022-01-03 4 A 0 84951 0.00 A 405085 D Common Stock 2657998 I See Footnote On January 3, 2022, Jason Reese was awarded 31,553 shares of restricted stock, which vest monthly in twelve equal installments on month end. On January 3, 2022, Jason Reese was awarded 84,951 shares of restricted stock, which vest in four even installments at the end of each calendar quarter in 2022. 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 2021-01-05 Long Ball Partners, LLC, By: Imperial Capital Asset Management, LLC, its Managing Member, By: /s/ Jason Reese, Chairman & CEO 2021-01-05 Imperial Capital Asset Management, LLC, By: /s/ Jason Reese, Chairman & CEO 2021-01-05