SEC Form 4 · accession 0001193125-26-399423
Great Elm Group, Inc. · GEG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
LONG BALL PARTNERS LLC
10% Owner
Jason W. Reese
Officer — See remarks · Director · 10% Owner
Period of report
Sep 21, 2026
Accepted (ET)
Sep 23, 2026 · 4:15 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 Stock | Sep 21, 2026 | A | 137,501 | $0.00 | A | 1,141,828 | D | |
| Common stock, par value $0.01 per share ("Common Stock")F1,F2,F3 | holding | — | — | — | 6,379,646 | I | See Footnotes |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The shares of Common Stock are held directly by Long Ball Partners, LLC ("Long Ball"), Imperial Capital Asset Management, LLC ("ICAM") and Imperial Capital Group Holdings II, LLC ("ICGH2"). Mr. Reese is portfolio manager to Long Ball and is Chairman and Chief Executive Officer of ICAM, which is the managing member of and investment manager to Long Ball. Mr. Reese is one of the owners of Imperial Capital Group Holdings, LLC, which is the managing member of ICGH2. Mr. Reese has voting and dispositive power over the shares of Common Stock held directly by each of Long Ball, ICAM and ICGH2.
- F2Consists of 5,009,662 shares held directly by Long Ball, 909,084 shares held directly by ICAM, and 460,900 shares held directly by ICGH2.
- F3Each of Mr. Reese, ICAM, Long Ball and ICGH2 disclaims beneficial ownership of the securities reported herein, except to the extent of that person's pecuniary interest.
- F4Mr. Reese was awarded 137,501 shares of restricted stock of Great Elm Capital Corp. (the "Issuer") on September 21, 2026 (the "Grant Date"). The restricted stock vests in four equal annual installments, with the first installment vesting on the Grant Date, and the remaining installments vesting on each of September 20, 2027, September 20, 2028 and September 20, 2029, contingent upon Mr. Reese's continued service as a member of the board of directors of the Issuer.
Remarks
Mr. Reese is the Chairman and Chief Executive Officer of the Issuer.