Welcome to our dedicated page for Great Elm Group SEC filings (Ticker: GEGGL), 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.
Our SEC filing database is enhanced with expert analysis from Rhea-AI, providing insights into the potential impact of each filing on Great Elm Group's stock performance. Each filing includes a concise AI-generated summary, sentiment and impact scores, and end-of-day stock performance data showing the actual market reaction. Navigate easily through different filing types including 10-K annual reports, 10-Q quarterly reports, 8-K current reports, proxy statements (DEF 14A), and Form 4 insider trading disclosures.
Designed for fundamental investors and regulatory compliance professionals, our page simplifies access to critical SEC filings. By combining real-time EDGAR feed updates, Rhea-AI's analytical insights, and historical stock performance data, we provide comprehensive visibility into Great Elm Group's regulatory disclosures and financial reporting.
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. 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%).
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.
FAQ
What is the current stock price of Great Elm Group (GEGGL)?
