Accession Number: | 0001140361-22-033106 |
Date: | 2022-09-08 |
Issuer: | GREAT ELM GROUP, INC. (GEG) |
Original Submission Date: |
DRAPKIN MATTHEW A
C/O NORTHERN RIGHT CAPITAL MANAGEMENT,
L.P., 9 OLD KINGS HWY S., 4TH FLOOR
DARIEN, CT 06820
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
---|---|---|---|---|---|---|---|---|---|
COMMON STOCK | 2022-09-08 | P | 1,412 | a | $2.05 | 1,495,314 f1 | indirect | f4,f5 | |
COMMON STOCK | 2022-09-08 | P | 466 | a | $2.05 | 117,563 f2 | indirect | f4,f5 | |
COMMON STOCK | 2022-09-08 | P | 2,483 | a | $2.05 | 1,728,113 f3 | indirect | f4,f5 | |
COMMON STOCK | 2022-09-09 | P | 2,631 | a | $2.05 | 1,497,945 f1 | indirect | f4,f5 | |
COMMON STOCK | 2022-09-09 | P | 875 | a | $2.05 | 118,438 f2 | indirect | f4,f5 | |
COMMON STOCK | 2022-09-09 | P | 4,647 | a | $2.05 | 1,732,760 f3 | indirect | f4,f5 | |
COMMON STOCK | 2022-09-12 | P | 2,050 | a | $2.05 | 1,499,995 f1 | indirect | f4,f5 | |
COMMON STOCK | 2022-09-12 | P | 685 | a | $2.05 | 119,123 f2 | indirect | f4,f5 | |
COMMON STOCK | 2022-09-12 | P | 3,630 | a | $2.05 | 1,736,390 f3 | indirect | f4,f5 | |
COMMON STOCK | 2022-09-08 | 0 | $0.00 | 276,711 | direct |
Title of Derivative Security | Conversion or Exercise Price of Derivative Security | Transaction Date | Deemed Execution Date | Transaction Code | Number of Derivative Securities Acquired (A) or Disposed of (D) | Date Exercisable | Expiration Date | Title and Amount of Securities Underlying Derivative Security | Price of Derivative Security | Number of derivative Securities Beneficially Owned Following Reported Transaction(s) | Ownership Form: Direct (D) or Indirect (I) | Nature of Indirect Beneficial Ownership |
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ID | footnote |
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f1 | represents shares of common stock held directly by northern right capital (qp), l.p., a texas limited partnership ("northern right qp"). |
f2 | represents shares of common stock held directly by nrc partners i, l.p. ("nrc partners"). |
f3 | represents shares of common stock purchased managed accounts (the "managed accounts") on behalf of certain investment advisory clients of northern right capital management, l.p. ("northern right management"). |
f4 | as general partner and investment manager of nrc partners and northern right qp, northern right capital management, l.p. ("northern right management") may be deemed to be the beneficial owner of the shares of common stock held by nrc partners and northern right qp. as the investment manager of the managed accounts, northern right management may also be deemed to be the beneficial owner of the shares of common stock held by the managed accounts. as general partner of northern right management, bc advisors, llc, a texas limited liability company ("bca") may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by northern right management. as the managing member of bca, the reporting person may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by bca. |
f5 | (continued from footnote 4) the reporting person disclaims such beneficial ownership of the shares of common stock indirectly owned through his position with bca, except to the extent of his pecuniary interest therein. |