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, Inc. director David W. Schwartz reported receiving two awards of restricted common stock on January 8, 2026. He was granted 26,531 shares at a price of $0 per share, bringing his beneficial ownership after this award to 626,531 shares held directly.
On the same date, he was also granted 32,877 restricted shares at $0 per share, elected in lieu of a cash retainer, increasing his beneficial ownership after this award to 659,408 directly held shares. Both awards 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 Great Elm Group’s board of directors.
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.
Great Elm Group, Inc. (GEG) furnished a press release under Item 2.02 (Results of Operations and Financial Condition) via an 8-K. The company attached Exhibit 99.1, a press release dated November 12, 2025. The information is expressly stated as furnished, not filed under the Exchange Act, which means it is not subject to Section 18 liabilities and is incorporated by reference only if specifically referenced in a future filing.
Great Elm Group (GEG) reported quarterly revenue of $10.8 million, up from $4.0 million a year ago, driven mainly by $7.4 million of real estate property sales and growing project management fees. Despite higher revenue, the company posted an operating loss of $3.7 million and a net loss attributable to stockholders of $7.0 million (vs. income of $2.6 million last year), reflecting lower investment gains and higher costs.
Cash and cash equivalents rose to $53.5 million from $30.6 million, supported by $11.9 million of common stock issuance proceeds and a $7.0 million property sale. Long‑term debt remained at $26.9 million of 7.25% notes due 2027; convertible notes outstanding were $35.1 million at a 5.0% rate. The quarter included private placements: 1,353,885 shares for $2.9 million and 4,000,000 shares for $9.0 million, plus warrants valued at $0.7 million. GEG realigned reporting into two segments: Alternative Credit and Real Estate.
Great Elm Group (GEG) filed Amendment No. 1 to its 2025 proxy to update expected board committee assignments if nominees are elected. David Schwartz is expected to join the Audit Committee instead of the Compensation Committee, and Booker Smith is expected to join the Compensation Committee instead of the Audit Committee. All other expected committee compositions remain unchanged.
Stockholders will vote on four proposals at the virtual Annual Meeting on December 5, 2025: elect eight directors, ratify Deloitte as auditor, an advisory say‑on‑pay, and approve the 2025 Long‑Term Incentive Compensation Plan authorizing up to 5,000,000 shares (aggregate value $12.1 million at $2.42 per share as of the record date). Shares outstanding were 33,348,987 as of October 10, 2025.
The board recommends voting FOR all nominees and FOR Proposals 2, 3, and 4. The meeting will be held online at www.virtualshareholdermeeting.com/GEG2025AM.