SEC Form 4 · accession 0000950103-26-014392
Great Elm Group, Inc. · GEG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Keri Davis
Officer — Chief Financial Officer
Period of report
Sep 21, 2026
Accepted (ET)
Sep 23, 2026 · 4:28 pm EDT
Rule 10b5-1 plan
box not checked
Issuer CIK
0001831096
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Sep 21, 2026 | A | 20,052 | $0.00 | A | 63,488 | D | |
| Common StockF2 | Sep 21, 2026 | F | 7,642 | $2.15 | D | 55,846 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (right to buy)F3 | $3.00 | Sep 21, 2026 | A | 20,000 | A | — | Sep 20, 2031 | Common Stock | 20,000 | 20,000 | D |
Explanation of responses
- F1Ms. Davis was awarded 20,052 shares of restricted stock, one-quarter of which vested on the grant date, September 21, 2026, and the remainder of which vest in equal annual installments on September 20th of each year until September 20, 2029, contingent on continued employment by Great Elm Group, Inc.
- F2Reflects the net share settlement of awards of restricted stock in connection with vesting thereof that is exempt pursuant to Rule 16b-3.
- F3Mr. Davis was awarded options to purchase 20,000 shares of common stock of Great Elm Group, Inc., 50% of which vested on the grant date, September 21, 2026, and the remainder of which will vest on September 20, 2027, contingent on continued employment by Great Elm Group, Inc.