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