0001140361-23-001106.txt : 20230109
0001140361-23-001106.hdr.sgml : 20230109
20230109192453
ACCESSION NUMBER: 0001140361-23-001106
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230105
FILED AS OF DATE: 20230109
DATE AS OF CHANGE: 20230109
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: 23519424
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: 23519426
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: 23519425
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
form4.xml
X0306
4
2023-01-05
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
0001805378
Imperial Capital Asset Management, LLC
3801 PGA BOULEVARD, SUITE 603
PALM BEACH GARDENS
FL
33410
true
0001308057
LONG BALL PARTNERS LLC
C/O IMPERIAL CAPITAL ASSET MANAGEMENT
3801 PGA BOULEVARD, SUITE 603
PALM BEACH GARDENS
FL
33410
true
Common Stock
5620000
I
See Footnotes
Common Stock
2023-01-05
4
A
0
29412
0
A
594314
D
Common Stock
2023-01-05
4
A
0
135747
0
A
730061
D
Consists of 4,250,016 shares held directly by Long Ball Partners, LLC ("Long Ball") and 1,369,984 shares held directly by Imperial Capital Asset Management, LLC ("ICAM"). 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.
Each of Mr. Reese, ICAM and Long Ball disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest.
Mr. Reese was awarded 29,412 shares of restricted stock, which vest in equal monthly installments on the end of each month beginning on January 31, 2023 through December 31, 2023, contingent upon continued service as a member of the board of directors of Great Elm Group, Inc. ("GEG").
Mr. Reese was awarded 135,747 shares of restricted stock, which vest in equal quarterly installments on the end of each quarter beginning on March 31, 2023 through December 31, 2023, contingent upon continued service as a member of the board of directors of GEG.
Mr. Reese is a director and Executive Chairman of the Issuer.
Long Ball Partners, LLC
Imperial Capital Asset Management, LLC, its Managing Member
By: /s/ Jason W. Reese
Name: Jason W. Reese
Title: Chairman & CEO
2023-01-09
Imperial Capital Asset Management, LLC
By: /s/ Jason W. Reese
Name: Jason W. Reese
Title: Chairman & CEO
2023-01-09
By: /s/ Jason W. Reese
Name: Jason W. Reese
2023-01-09