Great Elm director files Form 3 with no holdings

Great Elm Group, Inc. director Smith Booker filed an initial Form 3 ownership report indicating that no securities of the company are beneficially owned.

Rhea-AI Filing Summary

Great Elm Group, Inc. director Smith Booker filed an initial Form 3 ownership report indicating that no securities of the company are beneficially owned. The filing confirms Booker’s status as a director and notes that there are no non-derivative or derivative Great Elm Group securities reported as held, either directly or indirectly.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What does Great Elm Group (GEG) director Smith Booker report on this Form 3?

The Form 3 shows that director Smith Booker currently reports no beneficial ownership of Great Elm Group, Inc. securities.

What is the relationship of Smith Booker to Great Elm Group (GEG)?

Smith Booker is listed as a director of Great Elm Group, Inc. and is not indicated as an officer or 10% owner.

Does this Form 3 show any Great Elm Group (GEG) shares owned by Smith Booker?

No. The filing explicitly states in the remarks that no securities are beneficially owned.

Are any derivative securities reported for Smith Booker in this Great Elm Group (GEG) Form 3?

No. The table for derivative securities contains no entries, consistent with the statement that no securities are beneficially owned.

What is the event date for Smith Booker’s Form 3 for Great Elm Group (GEG)?

The date of the event requiring this Form 3 statement is listed as 08/27/2025.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 09/08/2025 - 09:00 PM EDT Learn about SEC filing dates

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0104
Estimated average burden
hours per response:			0.5

1. Name and Address of Reporting Person^*

Smith Booker

(Last) (First) (Middle)

3801 PGA BOULEVARD

SUITE 603

(Street)

PALM BEACH GARDENS FL 33410

(City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
08/27/2025

3. Issuer Name and Ticker or Trading Symbol
Great Elm Group, Inc. [ GEG ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director		10% Owner
	Officer (give title below)		Other (specify below)

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

Remarks:

Exhibit 24 - Power of Attorney

No securities are beneficially owned.

	/s/ Adam M. Kleinman, attorney-in-fact	09/08/2025
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.