0000950170-23-066010.txt : 20231124 0000950170-23-066010.hdr.sgml : 20231124 20231124182734 ACCESSION NUMBER: 0000950170-23-066010 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231121 FILED AS OF DATE: 20231124 DATE AS OF CHANGE: 20231124 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: 231437173 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: 231437175 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 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39832 FILM NUMBER: 231437172 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 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39832 FILM NUMBER: 231437174 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 ownership.xml 4 X0508 4 2023-11-21 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 C/O IMPERIAL CAPITAL ASSET MANAGEMENT 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") 2023-11-21 4 P false 100 1.90 A 6038207 I See Footnotes Common Stock 2023-11-22 4 P false 36233 2.01 A 6074440 I See Footnotes Common Stock 2023-11-24 4 P false 2558 2.05 A 6076998 I See Footnotes Common Stock 862911 D Includes 20 shares acquired on July 22, 2022 which were inadvertently omitted from the Form 4 filed with the Securities and Exchange Commission (the "SEC") on July 26, 2022, and in subsequent filings. Consists of 4,668,223 shares held directly by Long Ball Partners, LLC ("Long Ball"), 909,084 shares held directly by Imperial Capital Asset Management, LLC ("ICAM"), and 460,900 shares held directly by 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 $1.94 to $2.05, inclusive. The reporting person undertakes 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. Consists of 4,704,456 shares held directly by Long Ball, 909,084 shares held directly by ICAM, and 460,900 shares held directly by ICGH2. 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 $1.99 to $2.05, inclusive. The reporting person undertakes 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. Consists of 4,707,014 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 a Chairman and Chief Executive Officer of the Issuer. Jason Reese By: /s/ Jason Reese 2023-11-24 Long Ball Partners, LLC, By: Imperial Capital Asset Management, LLC, its Managing Member, By: /s/ Jason Reese, Chairman & CEO 2023-11-24 Imperial Capital Asset Management, LLC, By: /s/ Jason Reese, Chairman & CEO 2023-11-24 Imperial Capital Group Holdings II, LLC By: /s/ Jason Reese, its Authorized Signatory 2023-11-24