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.
The SEC filings page for Great Elm Group, Inc. (NASDAQ: GEG) brings together the company’s regulatory disclosures, allowing investors to review how this alternative asset manager reports on its credit and industrial real estate activities. Great Elm Group files annual reports on Form 10-K, quarterly reports on Form 10-Q, current reports on Form 8-K, and proxy materials such as the definitive proxy statement on Schedule 14A.
Through these filings, readers can examine financial statements, management discussion and analysis, and risk disclosures related to Great Elm Group’s role as manager of Great Elm Capital Corp. (GECC) and Monomoy Properties REIT, LLC. Form 8-K filings highlight material events, including earnings releases, strategic partnerships, securities purchase agreements, and changes in the Board of Directors. For example, 8-K reports describe capital investments by Kennedy Lewis Investment Management LLC and Woodstead Value Fund, L.P., as well as the formation of Great Elm Real Estate Ventures, LLC and financing arrangements for Monomoy REIT.
The company’s proxy statement (DEF 14A) provides detail on corporate governance, director elections, executive compensation, and long-term incentive compensation plans. It also explains how stockholders can vote, attend virtual annual meetings, and access proxy materials. These documents help investors understand the governance framework that oversees Great Elm Group’s alternative asset management platform.
On this page, users can also access information about registered debt securities, including the 7.25% Notes due 2027 (trading under the symbol GEGGL), as referenced in multiple Form 8-K filings. For those tracking insider and board-related developments, filings include disclosures about director appointments, retirements, and related compensation arrangements.
Stock Titan enhances these filings with AI-powered summaries that highlight key points from lengthy 10-K, 10-Q, 8-K, and proxy documents. Real-time updates from the SEC’s EDGAR system ensure that new filings for GEG and its listed notes appear promptly, while AI-generated overviews help readers quickly identify important financial, governance, and transaction-related information without manually parsing every page.
Great Elm Group, Inc. reporting person Keri Davis, the company's Chief Financial Officer, received a grant of 9,191 shares of restricted common stock on September 19, 2025. One-quarter of the grant (2,298 shares) vested immediately on the grant date; the remaining shares vest in equal annual installments on September 20 of each year through September 20, 2028, contingent on continued employment. Following the September 19 grant, Ms. Davis was recorded as beneficially owning 48,854 shares. On September 23, 2025, there was a net share settlement in connection with vesting that resulted in a reported disposition of 5,418 shares at a price of $2.80 per share, leaving 43,436 shares beneficially owned after the transaction.
Adam M. Kleinman, President and director of Great Elm Group, Inc. (ticker: GEGGL), reported two transactions in common stock in September 2025. On September 19, 2025 he was awarded 22,977 restricted shares, one-quarter of which vested immediately and the remainder vest in equal annual installments on September 20th each year through September 20, 2028, contingent on continued employment.
On September 23, 2025 the form reports a net share settlement of 18,313 restricted shares in connection with vesting, reported at a price of $2.80. Following the September 19 award his beneficial ownership was reported as 603,707 shares, and after the September 23 transaction his holdings were reported as 585,394 shares. The filing states the net settlement is exempt under Rule 16b-3.
Nichole Milz, Chief Operating Officer and director of Great Elm Group, Inc. (GEGGL), reported two equity transactions in September 2025. On September 19, 2025 she was awarded 36,764 shares of restricted common stock, with one-quarter vesting immediately and the remainder vesting in equal annual installments each September 20 through 2028, contingent on continued employment. That award increased her beneficial holdings to 213,111 shares. On September 23, 2025 she had a net share settlement of 18,227 restricted shares at a reported price of $2.80 per share, reducing her beneficial ownership to 194,884 shares.
Great Elm Group, Inc. filed a Form 4 reporting changes in beneficial ownership of Great Elm Capital Corp. (ticker: GECC) stock held directly by the reporting entity, which is identified as a Director. On 09/19/2025 Great Elm Group reported a disposition of 16,612 shares and, on 09/20/2025, a disposition of 63,189 shares. Both transactions are coded J(1) and show a price of $0, reflecting delivery of shares as compensation to employees upon vesting of awards. Share totals after each transaction are reported as 1,421,467 and 1,358,278 shares, respectively. The form is signed by an attorney-in-fact on 09/23/2025.
Great Elm Group, Inc. director and Chief Executive Officer Jason W. Reese was awarded 183,823 restricted shares of Common Stock on September 20, 2025. Twenty-five percent of the award vested immediately on the grant date, with the remaining 75% vesting in three equal annual installments on September 20 of 2026, 2027 and 2028. Mr. Reese serves as portfolio manager to Long Ball Partners, LLC and is Chairman & CEO of Imperial Capital Asset Management, LLC, which together with Long Ball and Imperial Capital Group Holdings II, LLC hold a total of 6,379,646 shares of Common Stock (5,009,662; 909,084; and 460,900 shares respectively). The Form 4 reports Mr. Reeses direct beneficial ownership following the grant as 1,176,942 shares. Each reporting person disclaims beneficial ownership except to the extent of pecuniary interest. The award was reported as having a price of $0.00.
Great Elm Group Schedule 13D/A amendment describes ownership and a forbearance agreement affecting convertible notes. Reporting persons include Imperial Capital Asset Management (ICAM), Long Ball Partners, Imperial Capital Group Holdings II and CEO Jason Reese, who together report significant stakes in the issuer.
Long Ball holds $8,333,667 of 5.0% Convertible Senior PIK Notes due 2030 that, if not forborne, would convert into 2,400,111 shares. Long Ball agreed to forbear from converting those notes until November 10, 2026, so those shares are excluded from current beneficial ownership calculations. Ownership disclosures are based on 32,996,787 shares outstanding; Jason Reese beneficially owns 7,372,765 shares (22.3%), ICAM 5,918,746 (17.9%), Long Ball 5,009,662 (15.2%), and ICGH2 460,900 (1.4%).
Smith Booker, a director of Great Elm Group, Inc. (GEG), was granted a total of 17,070 restricted shares on 09/08/2025. The Form 4 shows two awards of 8,535 shares each, reported as acquisitions at a price of $0 and held in direct ownership.
One award vests in equal monthly installments at the end of each month from September 30, 2025 through December 31, 2025, contingent on continued board service. The second award vests in two equal installments on September 30, 2025 and December 31, 2025, also contingent on continued board service. The form was signed by attorney-in-fact Adam M. Kleinman on 09/09/2025.
Great Elm Group director Nathan Lloyd was awarded 10,220 shares of restricted common stock on 09/08/2025. The award vests in two equal installments contingent on continued board service: one on 09/30/2025 and one on 12/31/2025. The shares were issued at no cash price and increase Mr. Lloyd's beneficial ownership to 22,817 shares following the grant. The filing is a standard Section 16 disclosure reporting a non-cash equity award to an insider that vests over two quarterly dates.
Randall D. Smith reported indirect ownership of 4,875,942 shares of Great Elm Group, Inc. through Woodstead Value Fund, L.P., stemming from a private placement dated 08/27/2025. WVF purchased 4,000,000 shares at $2.25 per share for $9,000,000. In addition, WVF holds two warrants each to buy 1,000,000 shares: a Series A Warrant exercisable on or after 08/27/2026 at $3.50 (expiring 08/27/2036) and a Series B Warrant exercisable on or after 08/27/2028 at $5.00 (expiring 08/27/2038). The reporting person is identified as a director and filed the Form 3 on 09/08/2025.
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.