Welcome to our dedicated page for Great Elm Group SEC filings (Ticker: GEG), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
Great Elm Group, Inc. filings document an alternative asset manager's operating results, securities, governance and capital actions. Form 8-K reports furnish earnings releases and material events covering AUM, fee revenue, investment valuations, real estate activity, stock repurchase authorization, common stock and the company's 7.25% Notes due 2027.
The filing record also includes proxy materials for the annual stockholders' meeting, shareholder voting procedures and board matters. Material-event filings describe director changes, securities purchase agreements, private placements, registration-rights covenants and other capital-structure disclosures tied to Great Elm's asset management and real estate platforms.
Great Elm Group director Nathan Lloyd reported a new equity award. On January 8, 2026, he was granted 26,531 shares of Great Elm Group common stock at a price of $0 per share. These are restricted shares that vest in equal quarterly installments at the end of each quarter from March 31, 2026 through December 31, 2026, and the award depends on his continued service on the company’s board of directors. After this grant, Lloyd beneficially owned 49,348 shares of Great Elm Group common stock directly.
Great Elm Group, Inc. director David Matter reported receiving two grants of restricted common stock on January 8, 2026. He was awarded 26,531 shares of restricted stock and a separate grant of 30,612 shares, which he elected to receive in lieu of a cash retainer. Both grants vest in equal quarterly installments at the end of each quarter from March 31, 2026 through December 31, 2026, and require his continued service on the board. Following these awards, he beneficially owns 539,377 shares of Great Elm Group common stock directly.
Great Elm Group, Inc. director Matthew A. Drapkin reported new equity awards. On January 8, 2026, he received three grants of Great Elm Group common stock totaling 114,286 restricted shares: 26,531 shares, 61,224 shares, and another 26,531 shares, each at a price of $0 per share.
After these awards, Drapkin directly held 843,035 shares of Great Elm Group common stock. The restricted stock vests in equal quarterly installments at the end of each quarter from March 31, 2026 through December 31, 2026, with one grant elected in lieu of a cash retainer and one tied to his service on the board of Great Elm Capital Corp. Separate from his direct holdings, large blocks of Great Elm Group shares are held by Northern Right Capital (QP), L.P. and certain managed accounts, where affiliated entities may be deemed beneficial owners and Drapkin disclaims indirect beneficial ownership except to the extent of his pecuniary interest.
Schwartz David W. reported acquisition or exercise transactions in this Form 4 filing.
Great Elm Group, Inc. director David W. Schwartz reported two equity compensation awards totaling 59,408 shares of restricted Common Stock on January 8, 2026. The awards vest in equal quarterly installments from March 31, 2026 through December 31, 2026, contingent on his continued service on the board.
One 32,877-share restricted stock award was elected in lieu of a cash retainer. Following these grants, he directly holds 659,408 shares of Great Elm Group Common Stock.
Great Elm Group, Inc. (GEG) reported equity compensation for director Smith Booker. On January 8, 2026, he was granted 26,531 shares of restricted common stock at a price of $0 per share. He also received a separate grant of 30,612 restricted shares on the same date, likewise at $0 per share and elected in lieu of a cash retainer.
Both grants vest in equal quarterly installments at the end of each quarter from March 31, 2026 through December 31, 2026, contingent on his continued service on the board of directors. After these awards, Booker directly beneficially owned 74,213 shares of Great Elm Group common stock.
Great Elm Group director James P. Parmelee reported equity grants in the form of restricted stock. On January 8, 2026, he was awarded 26,531 shares of common stock and a separate award of 48,980 restricted shares. Both grants vest in equal quarterly installments at the end of each quarter from March 31, 2026 through December 31, 2026, contingent on his continued service on the board of directors. The 48,980-share award was taken at his election in lieu of a cash retainer. Following these awards, he beneficially owned 513,442 shares of Great Elm Group common stock.
Great Elm Group director Eric J. Scheyer reported receiving two grants of restricted common stock. On January 8, 2026 he was awarded 26,531 restricted shares and a separate award of 30,612 restricted shares, both at a price of $0 per share.
Each grant vests in equal quarterly installments at the end of each quarter from March 31, 2026 through December 31, 2026, as long as he continues serving on Great Elm Group’s board of directors. The second grant of 30,612 shares was taken at his election in lieu of a cash retainer. After these awards, he beneficially owned 478,862 shares of Great Elm Group common stock in direct form.
Great Elm Group, Inc. is using a shelf registration to register up to 2,000,000 shares of common stock issuable upon exercise of outstanding warrants and up to 7,353,885 shares of common stock for resale by existing stockholders. The resale portion covers shares previously issued in private placements and shares issuable on warrant exercise. Great Elm will not sell any shares for its own account under this prospectus and will not receive proceeds from resale by the selling stockholders. It may receive up to approximately $8.5 million in cash if all registered warrants are exercised, which it currently plans to use for general corporate purposes. As of November 6, 2025, the company had 33,029,368 shares of common stock outstanding.
Great Elm Group, Inc. is providing recast segment financial information from its 2025 annual report to reflect a new segment structure adopted in the first quarter of fiscal 2026.
After forming Great Elm Real Estate Ventures, LLC, the company realigned how management evaluates the business and now reports two segments, Alternative Credit and Real Estate. Prior-period results have been retrospectively recast by segment so they align with this new structure and help readers compare performance over time.
The recast portions of the 2025 Form 10‑K, including business description, management’s discussion and analysis, and financial statements, are provided in Exhibit 99.1. This update is for informational purposes only and does not amend or restate the audited financial statements, nor does it reflect any events or changes after the original 2025 Form 10‑K filing.
Great Elm Group (GEG) insider Jason Reese reported a Form 4 showing an exempt gift of 100,000 shares of Common Stock on 11/11/2025 (transaction code G) at $0.00.
After the transaction, Mr. Reese directly owned 1,076,942 shares. Separately, 6,379,646 shares were reported as indirectly beneficially owned through Long Ball Partners, LLC, Imperial Capital Asset Management, LLC, and Imperial Capital Group Holdings II, LLC, with beneficial ownership disclaimed except to any pecuniary interest.
Mr. Reese is the Issuer’s Chairman and Chief Executive Officer, and is also listed as a Director and 10% Owner.