Every Form 4 that Great Elm Group, Inc. 7.25% Notes due 2027 (GEGGL) has filed with the SEC in the last 12 months is listed below, newest first, and each one links through to the document itself with the summary and the scores our analysis gives it.
A Form 4 covers the transactions officers, directors and large holders report, so if you follow GEGGL and want that one kind of document rather than the whole filing history, this is the page to keep. The company's other filings, of every form, are on the full GEGGL filings page.
Great Elm Group, Inc. Chief Operating Officer Nichole Milz was awarded 48,698 restricted shares and options to buy 50,000 common shares on September 21, 2026. The options have a $3 exercise price, expire September 20, 2031, and the reported option position following the award was 50,000 underlying shares.
One-quarter of the restricted stock and 50% of the options vested on the grant date. Remaining vesting is contingent on continued employment: the restricted stock vests in equal annual installments through September 20, 2029, and the remaining options vest on September 20, 2027. Another 23,701 shares, reported at $2.15 per share, were delivered or withheld for payment of exercise price or tax liability in connection with restricted-stock vesting. No Rule 10b5-1 plan is reported.
On September 21, 2026, Great Elm Group, Inc. Chief Financial Officer Keri Davis received awards of 20,052 restricted shares and options to purchase 20,000 common shares. One-quarter of the restricted shares vested on the grant date; the remainder vests in equal annual installments on September 20 through September 20, 2029, contingent on continued employment. For the options, 50% vested on the grant date and the remainder vests on September 20, 2027, also contingent on continued employment; the exercise price is $3.00 per share.
Separately, 7,642 shares were delivered or withheld for payment of exercise price or tax liability at a reported price of $2.15 per share. The footnote describes this as net share settlement of restricted-stock awards in connection with vesting, exempt pursuant to Rule 16b-3. No Rule 10b5-1 plan is reported.
Great Elm Group, Inc. President Adam M. Kleinman received awards on September 21, 2026, of 40,104 shares of restricted stock and options to purchase 40,000 common shares. One-quarter of the restricted stock vested on the grant date; the remainder will vest in equal annual installments on September 20 of each year through September 20, 2029, contingent on continued employment. Half of the options vested on the grant date, and the remainder will vest on September 20, 2027, also contingent on continued employment. The options have a $3.00 exercise price and expire September 20, 2031; his reported direct option position after the grant was 40,000 options. The report also records 17,367 common shares delivered or withheld for payment of exercise price or tax liability in a net share settlement connected with restricted-stock vesting, exempt under Rule 16b-3.
Great Elm Group, Inc. (symbol: GEG) is the issuer of record for a Form 4 filing submitted to the SEC. Reese Jason W. reported acquisition or exercise transactions in this Form 4 filing.
Great Elm Group, Inc. (GEG) reported that its Chairman and Chief Executive Officer, Jason W. Reese, received a 137,501-share restricted-stock award on September 21, 2026. The award vests in four equal annual installments: the first on the grant date and the remaining installments on September 20, 2027, September 20, 2028 and September 20, 2029, contingent on his continued service as a director. After the award, Reese held 1,141,828 shares directly. The company also reported 6,379,646 shares held indirectly through Long Ball Partners, LLC, Imperial Capital Asset Management, LLC and Imperial Capital Group Holdings II, LLC; Reese has voting and dispositive power over those shares, while each named party disclaims beneficial ownership except to the extent of its pecuniary interest.
Northern Right Capital–affiliated funds reported internal rebalancing of their Great Elm Group common stock and convertible note holdings. Northern Right Capital (QP), L.P. transferred 7,887 common shares at $2.18 per share and $13,087 principal of 5.0% Convertible Senior PIK Notes due 2030 to Northern Right Long Only Master Fund LP.
After these transfers, Northern Right QP, NRC LO and managed accounts advised by Northern Right Capital Management collectively beneficially own 4,243,168 shares of Great Elm Group common stock. Northern Right QP, NRC LO and Matthew A. Drapkin also entered a Forbearance Agreement with the company to forbear converting the notes into common stock until July 15, 2027.
Great Elm Group, Inc. insider Jason W. Reese reported a non-market transfer of shares. He made a bona fide gift of 99,637 shares of Common Stock at no consideration to a charitable giving fund, leaving him with 1,004,327 shares held directly after the transaction. The filing also shows 6,379,646 shares of Common Stock held indirectly through Long Ball Partners LLC, Imperial Capital Asset Management, LLC, and Imperial Capital Group Holdings II, LLC, over which Mr. Reese has voting and dispositive power, while each party disclaims beneficial ownership except to the extent of its pecuniary interest.
Reese Jason W. reported acquisition or exercise transactions in this Form 4 filing.
Great Elm Group, Inc. director and officer Jason W. Reese reported an award of 27,022 shares of Common Stock on March 3, 2026. The restricted stock was granted at $0.0000 per share and vests in equal quarterly installments from March 31, 2026 through December 31, 2026, contingent on his continued service on the board of Great Elm Capital Corp.
The filing also reports indirect ownership of 6,379,646 shares of Common Stock as of March 3, 2026, consisting of 5,009,662 shares held by Long Ball Partners, LLC, 909,084 shares held by Imperial Capital Asset Management, LLC, and 460,900 shares held by Imperial Capital Group Holdings II, LLC. Mr. Reese has voting and dispositive power over these shares, while each party disclaims beneficial ownership except to the extent of its pecuniary interest.