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.
Woodstead Value Fund, L.P. and Randall D. Smith report beneficial ownership of 4,875,942 shares of Great Elm Group, Inc., representing 14.4% of the outstanding common stock. The reporting persons acquired 4,000,000 shares under a Securities Purchase Agreement at $2.25 per share and hold additional previously owned shares, for an aggregate holding used for investment purposes.
The purchase included two warrants: a Series A Warrant for 1,000,000 shares exercisable at $3.50 and a Series B Warrant for 1,000,000 shares exercisable at $5.00, each with ten-year terms following their respective exercisability dates. Under the agreement WVF received the right to designate a director to the company's board and the issuer agreed to seek registration for resale of certain shares and warrant shares.
Great Elm Group, Inc. filed a Form 8-K to report that on September 2, 2025 it issued a press release about its results of operations and financial condition. The company furnished this press release as Exhibit 99.1, stating that it is provided under the Exchange Act but is not deemed filed for liability purposes unless specifically incorporated by reference. The filing also lists the company’s common stock and 7.25% notes due 2027 as being registered on the Nasdaq Global Select Market.
Great Elm Group, Inc. (GEG) 10-K discloses a range of operational and financial items and emphasizes numerous risk factors that could affect liquidity, capital access and shareholder value. The filing lists key risks such as market and credit conditions, debt covenant breaches, funding constraints, regulatory limits on investments, potential dilution from future equity or preferred issuances, and cybersecurity and catastrophic-event exposures. The company describes governance controls including an IT Committee with over 50 years of combined experience and use of third-party cybersecurity consultants. Material financing items include convertible notes totaling millions of dollars issued to related parties convertible into millions of shares with specified conversion restrictions, share repurchases in 2024 and 2025 that produced realized gains, shares authorized and outstanding figures, outstanding awards under the 2016 LTIP, unrecognized tax benefits, and the companys evaluation of recently issued FASB ASUs.
Reporting persons tied to Northern Right disclosed ownership of 6,058,509 shares of Great Elm Group, Inc. common stock, representing approximately 17.6% of outstanding shares as of August 29, 2025. That aggregate stake reflects direct holdings plus shares attributable through managed accounts and related entities and is calculated on a 34,419,416 share outstanding base that incorporates recent issuances through August 27, 2025.
The filing notes potential additional dilution from convertible PIK Notes that could issue up to 1,031,301 shares to certain Northern Right entities and 1,125,055 shares to managed accounts, and states that Northern Right parties have agreed to forbear converting PIK Notes until July 15, 2026. Matthew A. Drapkin beneficially owns 690,286 shares and received restricted stock awards with portions unvested within 60 days.
Great Elm Group, Inc. filed a Form D for a Regulation D private offering under Rule 506(b). The issuer, a Delaware corporation formed in 2020 with its principal place at 3801 PGA Boulevard, Suite 603, Palm Beach Gardens, FL, reported a total offering size of $9,000,000, which the filing shows as fully sold ($9,000,000 sold; $0 remaining). The offering included equity and options/warrants to acquire other securities. One investor is listed as having invested. Sales commissions were reported as $0, and finders' fees were $270,000. Imperial Capital, LLC is named in the filing as a broker/dealer. The offering is not part of a business combination, is not intended to last more than one year, and the minimum investment accepted was reported as $0. The Form D was signed by President Adam Kleinman on 2025-08-28.
Great Elm Group entered a securities purchase agreement under which Woodstead Value Fund bought 4,000,000 shares of common stock at $2.25 per share, providing gross proceeds of
The investor also received a Series A warrant to buy 1,000,000 shares at $3.50 and a Series B warrant to buy 1,000,000 shares at $5.00, each with a ten-year term and limited anti-dilution adjustments, with the Series A warrants exercisable after one year and the Series B warrants after three years. Great Elm agreed to register the resale of the purchased securities and to appoint a purchaser-designated independent director, Booker Smith, to the board as long as the investor and affiliates hold at least 2,000,000 shares.
Great Elm Group, Inc. Schedule 13G/A reports that four related reporting persons — PC Elfun LLC, Pine Crest Capital LLC, Michael Hughes and Daniel J. Hopkins — together hold economic interests tied to convertible senior PIK notes of the issuer that can convert into common stock. PC Elfun LLC directly holds $11,393,685 of convertible notes convertible at $3.4722 per share, which would equal 3,281,402 shares (about 10.5%) if fully converted. However, a Letter Agreement caps conversion at 9.9%, limiting conversionable shares for these holders to 3,070,041, which the filing states represents 9.9% of the company’s common stock on the basis used in the filing. The filing discloses shared voting and dispositive power over those 3,070,041 shares and clarifies that the parties disclaim broader group beneficial-ownership admissions.
Nathan Lloyd, a director of Great Elm Group, Inc. (GEG), was awarded 12,597 shares of restricted common stock in a transaction dated 08/08/2025. The grant is recorded as a $0 acquisition and is reported as a non-derivative transaction. The restricted shares vest in equal monthly installments at the end of each month beginning Aug 31, 2025 and concluding Dec 31, 2025, and vesting is contingent upon continued service as a member of the board. Following the reported award, the filing shows 12,597 shares beneficially owned in a direct form.
This Form 3 is an initial Section 16 filing by Nathan Lloyd, reporting his relationship as a Director of Great Elm Group, Inc. (GEG). The form states that no securities are beneficially owned by the reporting person as of the transaction date 07/31/2025. The filing is signed by an attorney-in-fact, noting Exhibit 24 (power of attorney) and confirming that no classes of securities are reported.