Great Elm Group Inc (GEGGL)

Sector:
FINANCE
Industry:
CORPORATE FINANCE
SIC:
SERVICES-PREPACKAGED SOFTWARE
800 SOUTH STREET, SUITE 230 WALTHAM, MA 02453

Great Elm Capital Corp. operates as a business development company. The Company invests in the debt instruments of middle market companies with a focus on special situations and catalyst-driven opportunities.

View SEC Filings from GEGGL instead.

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Funds Holding GEGGL (via 13F filings)

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Mutual Funds Holding GEGGL

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Recent Filings

Events (8k)

  • 8-K: filed on 2022-09-12:
    Item 2.02: Results of Operations and Financial Condition
    Item 9.01: Financial Statements and Exhibits
  • 8-K: filed on 2022-09-06:
    Item 5.02: Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers
    Item 8.01: Other Events
    Item 9.01: Financial Statements and Exhibits
  • Open Market Buys/Sells Last 60 Days

    Open Market Buys (P)

    758 Thousand total shares from 85 transactions

    Open Market Sells (S)

    none

    Exercise Derivative Conversion (M)

    none

    Current/Former Insiders

    Insider Name Type Last Reported Shares Held Last Reported Date Filings in past year

    REESE JASON W.

    IMPERIAL CAPITAL ASSET MANAGEMENT, LLC

    LONG BALL PARTNERS LLC

    • Director
    • 10% Owner
    5,506,083 2022-09-28 10

    NORTHERN RIGHT CAPITAL MANAGEMENT, L.P.

    NRC PARTNERS I, LP

    NORTHERN RIGHT CAPITAL (QP), L.P.

    BC ADVISORS LLC

    • 10% Owner
    • MEMBER OF 13D 10% GROUP
    3,480,305 2022-09-26 9

    DRAPKIN MATTHEW A

    2,083,620 2022-09-26 9

    KLEINMAN ADAM M PRESIDENT

    487,792 2022-09-20 1

    PEARSON BRENT J CHIEF FINANCIAL OFFICER

    62,517 2022-09-20 1

    MILZ NICHOLE CHIEF OPERATING OFFICER

    48,544 2022-09-20 2

    REED PETER A CHIEF EXECUTIVE OFFICER

    125,000 2022-09-16 1

    Insider Transactions Last 60 Days

    Reporting Owners Filing Date Trans Date Trans Code Shares Share Price Acquired
    Disposed
    Shares Owned after D/I 10b5 Perf 1d* Perf 5d* Perf 1m* Max Gain Max Gain Days Max Loss Max Loss Days

    REESE JASON W. - Director - > 10% Owner see footnotes

    IMPERIAL CAPITAL ASSET MANAGEMENT, LLC - > 10% Owner see footnotes

    LONG BALL PARTNERS LLC - > 10% Owner see footnotes

    2022-09-30 17:29:12 -0400 2022-09-28 P 5,562 $2.00 a 4,941,181 indirect yes

    NORTHERN RIGHT CAPITAL MANAGEMENT, L.P. - > 10% Owner MEMBER OF 13D 10% GROUP see footnote

    NRC PARTNERS I, LP - > 10% Owner see footnote

    NORTHERN RIGHT CAPITAL (QP), L.P. - > 10% Owner see footnote

    BC ADVISORS LLC - > 10% Owner see footnote

    2022-09-28 21:29:10 -0400 2022-09-28 P 5,561 $2.00 a 3,480,305 indirect yes 7.3993 7.3993 2 0.0 1

    DRAPKIN MATTHEW A see footnote

    2022-09-28 21:19:38 -0400 2022-09-28 P 3,146 $2.00 a 1,806,909 indirect 7.3993 7.3993 2 0.0 1

    DRAPKIN MATTHEW A see footnote

    2022-09-28 21:19:38 -0400 2022-09-28 P 588 $2.00 a 132,259 indirect 7.3993 7.3993 2 0.0 1

    DRAPKIN MATTHEW A see footnote

    2022-09-28 21:19:38 -0400 2022-09-28 P 1,827 $2.00 a 1,541,137 indirect 7.3993 7.3993 2 0.0 1

    DRAPKIN MATTHEW A see footnote

    2022-09-28 21:19:38 -0400 2022-09-27 P 1,415 $1.99 a 131,671 indirect 7.3993 7.3993 2 0.0 1

    REESE JASON W. - Director - > 10% Owner see footnotes

    IMPERIAL CAPITAL ASSET MANAGEMENT, LLC - > 10% Owner see footnotes

    LONG BALL PARTNERS LLC - > 10% Owner see footnotes

    2022-09-27 19:08:03 -0400 2022-09-27 P 13,463 $1.99 a 4,935,619 indirect yes 1.8016 1.8016 2 0.0 1

    DRAPKIN MATTHEW A see footnote

    2022-09-28 21:19:38 -0400 2022-09-27 P 4,444 $1.99 a 1,539,310 indirect 7.3993 7.3993 2 0.0 1

    DRAPKIN MATTHEW A see footnote

    2022-09-28 21:19:38 -0400 2022-09-27 P 7,605 $1.99 a 1,803,763 indirect 7.3993 7.3993 2 0.0 1

    NORTHERN RIGHT CAPITAL MANAGEMENT, L.P. - > 10% Owner MEMBER OF 13D 10% GROUP see footnote

    NRC PARTNERS I, LP - > 10% Owner see footnote

    NORTHERN RIGHT CAPITAL (QP), L.P. - > 10% Owner see footnote

    BC ADVISORS LLC - > 10% Owner see footnote

    2022-09-28 21:29:10 -0400 2022-09-27 P 13,464 $1.99 a 3,474,744 indirect yes 7.3993 7.3993 2 0.0 1

    NORTHERN RIGHT CAPITAL MANAGEMENT, L.P. - > 10% Owner MEMBER OF 13D 10% GROUP see footnote

    NRC PARTNERS I, LP - > 10% Owner see footnote

    NORTHERN RIGHT CAPITAL (QP), L.P. - > 10% Owner see footnote

    BC ADVISORS LLC - > 10% Owner see footnote

    2022-09-28 21:29:10 -0400 2022-09-26 P 92,309 $1.99 a 3,461,280 indirect yes 7.3993 7.3993 2 0.0 1

    DRAPKIN MATTHEW A see footnote

    2022-09-28 21:19:38 -0400 2022-09-26 P 52,146 $1.99 a 1,796,158 indirect 7.3993 7.3993 2 0.0 1

    DRAPKIN MATTHEW A see footnote

    2022-09-28 21:19:38 -0400 2022-09-26 P 9,708 $1.99 a 130,256 indirect 7.3993 7.3993 2 0.0 1

    DRAPKIN MATTHEW A see footnote

    2022-09-28 21:19:38 -0400 2022-09-26 P 30,455 $1.99 a 1,534,866 indirect 7.3993 7.3993 2 0.0 1

    REESE JASON W. - Director - > 10% Owner see footnotes

    IMPERIAL CAPITAL ASSET MANAGEMENT, LLC - > 10% Owner see footnotes

    LONG BALL PARTNERS LLC - > 10% Owner see footnotes

    2022-09-27 19:08:03 -0400 2022-09-26 P 92,310 $1.99 a 4,922,156 indirect yes 1.8016 1.8016 2 0.0 1

    NORTHERN RIGHT CAPITAL MANAGEMENT, L.P. - > 10% Owner MEMBER OF 13D 10% GROUP see footnote

    NRC PARTNERS I, LP - > 10% Owner see footnote

    NORTHERN RIGHT CAPITAL (QP), L.P. - > 10% Owner see footnote

    BC ADVISORS LLC - > 10% Owner see footnote

    2022-09-23 19:32:03 -0400 2022-09-23 P 7,375 $2.05 a 3,368,971 indirect yes -3.3776 0.0 1 -3.3776 2

    DRAPKIN MATTHEW A see footnote

    2022-09-23 21:00:42 -0400 2022-09-23 P 2,428 $2.05 a 1,504,411 indirect -3.3776 0.0 1 -3.3776 2

    DRAPKIN MATTHEW A see footnote

    2022-09-23 21:00:42 -0400 2022-09-23 P 778 $2.05 a 120,548 indirect -3.3776 0.0 1 -3.3776 2

    REESE JASON W. - Director - > 10% Owner see footnotes

    IMPERIAL CAPITAL ASSET MANAGEMENT, LLC - > 10% Owner see footnotes

    LONG BALL PARTNERS LLC - > 10% Owner see footnotes

    2022-09-27 19:08:03 -0400 2022-09-23 P 7,374 $2.05 a 4,829,846 indirect yes 1.8016 1.8016 2 0.0 1

    DRAPKIN MATTHEW A see footnote

    2022-09-23 21:00:42 -0400 2022-09-23 P 4,169 $2.05 a 1,744,012 indirect -3.3776 0.0 1 -3.3776 2

    DRAPKIN MATTHEW A see footnote

    2022-09-23 21:00:42 -0400 2022-09-21 P 3,453 $2.05 a 1,739,843 indirect -3.3776 0.0 1 -3.3776 2

    DRAPKIN MATTHEW A see footnote

    2022-09-23 21:00:42 -0400 2022-09-21 P 647 $2.05 a 119,770 indirect -3.3776 0.0 1 -3.3776 2

    DRAPKIN MATTHEW A see footnote

    2022-09-23 21:00:42 -0400 2022-09-21 P 1,988 $2.05 a 1,501,983 indirect -3.3776 0.0 1 -3.3776 2

    NORTHERN RIGHT CAPITAL MANAGEMENT, L.P. - > 10% Owner MEMBER OF 13D 10% GROUP see footnote

    NRC PARTNERS I, LP - > 10% Owner see footnote

    NORTHERN RIGHT CAPITAL (QP), L.P. - > 10% Owner see footnote

    BC ADVISORS LLC - > 10% Owner see footnote

    2022-09-23 19:32:03 -0400 2022-09-21 P 6,088 $2.05 a 3,361,596 indirect yes -3.3776 0.0 1 -3.3776 2

    REESE JASON W. - Director - > 10% Owner see footnote

    IMPERIAL CAPITAL ASSET MANAGEMENT, LLC - > 10% Owner see footnote

    LONG BALL PARTNERS LLC - > 10% Owner see footnote

    2022-09-22 17:42:08 -0400 2022-09-21 P 6,089 $2.05 a 4,822,472 indirect yes 6.9677 8.0645 8.0645 6 -1.1613 4

    REESE JASON W. - Director - > 10% Owner

    IMPERIAL CAPITAL ASSET MANAGEMENT, LLC - > 10% Owner

    LONG BALL PARTNERS LLC - > 10% Owner

    2022-09-22 17:42:08 -0400 2022-09-20 A 159,817 a 564,902 direct 6.9677 8.0645 8.0645 6 -1.1613 4

    MILZ NICHOLE CHIEF OPERATING OFFICER

    2022-09-20 21:18:37 -0400 2022-09-20 A 48,544 a 48,544 direct -8.4144 -12.3068 0.0 1 -12.3068 6

    PEARSON BRENT J CHIEF FINANCIAL OFFICER

    2022-09-20 21:22:26 -0400 2022-09-20 A 39,954 a 62,517 direct -8.4144 -12.3068 0.0 1 -12.3068 6

    KLEINMAN ADAM M PRESIDENT

    2022-09-20 21:22:32 -0400 2022-09-20 A 49,230 a 387,792 direct -8.4144 -12.3068 0.0 1 -12.3068 6

    KLEINMAN ADAM M PRESIDENT

    2022-09-20 21:22:32 -0400 2022-09-20 A 100,000 a 487,792 direct -8.4144 -12.3068 0.0 1 -12.3068 6

    REED PETER A CHIEF EXECUTIVE OFFICER

    2022-09-20 21:22:38 -0400 2022-09-16 A 125,000 a 125,000 direct

    NORTHERN RIGHT CAPITAL MANAGEMENT, L.P. - > 10% Owner MEMBER OF 13D 10% GROUP see footnote

    NRC PARTNERS I, LP - > 10% Owner see footnote

    NORTHERN RIGHT CAPITAL (QP), L.P. - > 10% Owner see footnote

    BC ADVISORS LLC - > 10% Owner see footnote

    2022-09-12 21:00:19 -0400 2022-09-12 P 6,365 $2.05 a 3,355,508 indirect yes -5.957 -4.909 0.0 1 -13.6238 5

    DRAPKIN MATTHEW A see footnote

    2022-09-12 19:11:08 -0400 2022-09-12 P 2,050 $2.05 a 1,499,995 indirect -5.957 -4.909 0.0 1 -13.6238 5

    DRAPKIN MATTHEW A see footnote

    2022-09-12 19:11:08 -0400 2022-09-12 P 685 $2.05 a 119,123 indirect -5.957 -4.909 0.0 1 -13.6238 5

    DRAPKIN MATTHEW A see footnote

    2022-09-12 19:11:08 -0400 2022-09-12 P 3,630 $2.05 a 1,736,390 indirect -5.957 -4.909 0.0 1 -13.6238 5

    REESE JASON W. - Director - > 10% Owner see footnotes

    IMPERIAL CAPITAL ASSET MANAGEMENT, LLC - > 10% Owner see footnotes

    LONG BALL PARTNERS LLC - > 10% Owner see footnotes

    2022-09-12 19:53:07 -0400 2022-09-12 P 6,364 $2.05 a 4,816,383 indirect yes -5.957 -4.909 0.0 1 -13.6238 5

    REESE JASON W. - Director - > 10% Owner see footnotes

    IMPERIAL CAPITAL ASSET MANAGEMENT, LLC - > 10% Owner see footnotes

    LONG BALL PARTNERS LLC - > 10% Owner see footnotes

    2022-09-12 19:53:07 -0400 2022-09-09 P 8,153 $2.05 a 4,810,019 indirect yes -5.957 -4.909 0.0 1 -13.6238 5

    NORTHERN RIGHT CAPITAL MANAGEMENT, L.P. - > 10% Owner MEMBER OF 13D 10% GROUP see footnote

    NRC PARTNERS I, LP - > 10% Owner see footnote

    NORTHERN RIGHT CAPITAL (QP), L.P. - > 10% Owner see footnote

    BC ADVISORS LLC - > 10% Owner see footnote

    2022-09-12 21:00:19 -0400 2022-09-09 P 8,153 $2.05 a 3,349,143 indirect yes -5.957 -4.909 0.0 1 -13.6238 5

    DRAPKIN MATTHEW A see footnote

    2022-09-12 19:11:08 -0400 2022-09-09 P 4,647 $2.05 a 1,732,760 indirect -5.957 -4.909 0.0 1 -13.6238 5

    DRAPKIN MATTHEW A see footnote

    2022-09-12 19:11:08 -0400 2022-09-09 P 875 $2.05 a 118,438 indirect -5.957 -4.909 0.0 1 -13.6238 5

    DRAPKIN MATTHEW A see footnote

    2022-09-12 19:11:08 -0400 2022-09-09 P 2,631 $2.05 a 1,497,945 indirect -5.957 -4.909 0.0 1 -13.6238 5

    REESE JASON W. - Director - > 10% Owner see footnotes

    IMPERIAL CAPITAL ASSET MANAGEMENT, LLC - > 10% Owner see footnotes

    LONG BALL PARTNERS LLC - > 10% Owner see footnotes

    2022-09-12 19:53:07 -0400 2022-09-08 P 4,361 $2.05 a 4,801,866 indirect yes -5.957 -4.909 0.0 1 -13.6238 5

    NORTHERN RIGHT CAPITAL MANAGEMENT, L.P. - > 10% Owner MEMBER OF 13D 10% GROUP see footnote

    NRC PARTNERS I, LP - > 10% Owner see footnote

    NORTHERN RIGHT CAPITAL (QP), L.P. - > 10% Owner see footnote

    BC ADVISORS LLC - > 10% Owner see footnote

    2022-09-12 21:00:19 -0400 2022-09-08 P 4,361 $2.05 a 3,340,990 indirect yes -5.957 -4.909 0.0 1 -13.6238 5

    DRAPKIN MATTHEW A see footnote

    2022-09-12 19:11:08 -0400 2022-09-08 P 1,412 $2.05 a 1,495,314 indirect -5.957 -4.909 0.0 1 -13.6238 5

    DRAPKIN MATTHEW A see footnote

    2022-09-12 19:11:08 -0400 2022-09-08 P 2,483 $2.05 a 1,728,113 indirect -5.957 -4.909 0.0 1 -13.6238 5

    DRAPKIN MATTHEW A see footnote

    2022-09-12 19:11:08 -0400 2022-09-08 P 466 $2.05 a 117,563 indirect -5.957 -4.909 0.0 1 -13.6238 5

    DRAPKIN MATTHEW A see footnote

    2022-09-06 20:47:29 -0400 2022-09-06 P 709 $2.05 a 1,725,630 indirect -2.7532 -16.175 0.0 1 -16.175 6

    DRAPKIN MATTHEW A see footnote

    2022-09-06 20:47:29 -0400 2022-09-06 P 133 $2.05 a 117,097 indirect -2.7532 -16.175 0.0 1 -16.175 6

    DRAPKIN MATTHEW A see footnote

    2022-09-06 20:47:29 -0400 2022-09-06 P 405 $2.05 a 1,493,902 indirect -2.7532 -16.175 0.0 1 -16.175 6

    REESE JASON W. - Director - > 10% Owner see footnotes

    IMPERIAL CAPITAL ASSET MANAGEMENT, LLC - > 10% Owner see footnotes

    LONG BALL PARTNERS LLC - > 10% Owner see footnotes

    2022-09-06 20:46:39 -0400 2022-09-06 P 1,247 $2.05 a 4,797,505 indirect yes -2.7532 -16.175 0.0 1 -16.175 6

    NORTHERN RIGHT CAPITAL MANAGEMENT, L.P. - > 10% Owner MEMBER OF 13D 10% GROUP see footnote

    NRC PARTNERS I, LP - > 10% Owner see footnote

    NORTHERN RIGHT CAPITAL (QP), L.P. - > 10% Owner see footnote

    BC ADVISORS LLC - > 10% Owner see footnote

    2022-09-06 20:38:26 -0400 2022-09-06 P 1,247 $2.05 a 3,336,629 indirect yes -2.7532 -16.175 0.0 1 -16.175 6

    DRAPKIN MATTHEW A see footnote

    2022-09-06 20:47:29 -0400 2022-09-01 P 1,377 $2.05 a 1,724,921 indirect -2.7532 -16.175 0.0 1 -16.175 6

    DRAPKIN MATTHEW A see footnote

    2022-09-06 20:47:29 -0400 2022-09-01 P 260 $2.05 a 116,964 indirect -2.7532 -16.175 0.0 1 -16.175 6

    DRAPKIN MATTHEW A see footnote

    2022-09-06 20:47:29 -0400 2022-09-01 P 785 $2.05 a 1,493,497 indirect -2.7532 -16.175 0.0 1 -16.175 6

    REESE JASON W. - Director - > 10% Owner see footnotes

    IMPERIAL CAPITAL ASSET MANAGEMENT, LLC - > 10% Owner see footnotes

    LONG BALL PARTNERS LLC - > 10% Owner see footnotes

    2022-09-06 20:46:39 -0400 2022-09-01 P 2,421 $2.05 a 4,796,258 indirect yes -2.7532 -16.175 0.0 1 -16.175 6

    NORTHERN RIGHT CAPITAL MANAGEMENT, L.P. - > 10% Owner MEMBER OF 13D 10% GROUP see footnote

    NRC PARTNERS I, LP - > 10% Owner see footnote

    NORTHERN RIGHT CAPITAL (QP), L.P. - > 10% Owner see footnote

    BC ADVISORS LLC - > 10% Owner see footnote

    2022-09-06 20:38:26 -0400 2022-09-01 P 2,422 $2.05 a 3,335,382 indirect yes -2.7532 -16.175 0.0 1 -16.175 6

    REESE JASON W. - Director - > 10% Owner see footnotes

    IMPERIAL CAPITAL ASSET MANAGEMENT, LLC - > 10% Owner see footnotes

    LONG BALL PARTNERS LLC - > 10% Owner see footnotes

    2022-08-19 19:30:15 -0400 2022-08-17 P 2,027 $2.05 a 4,793,837 indirect yes -7.8607 0.0 1 -7.8607 2

    DRAPKIN MATTHEW A see footnote

    2022-08-17 21:34:29 -0400 2022-08-17 P 660 $2.05 a 1,492,712 indirect -0.5778 -25.5556 0.0 1 -31.9111 29

    DRAPKIN MATTHEW A see footnote

    2022-08-17 21:34:29 -0400 2022-08-17 P 218 $2.05 a 116,704 indirect -0.5778 -25.5556 0.0 1 -31.9111 29

    DRAPKIN MATTHEW A see footnote

    2022-08-17 21:34:29 -0400 2022-08-17 P 1,149 $2.05 a 1,723,544 indirect -0.5778 -25.5556 0.0 1 -31.9111 29

    NORTHERN RIGHT CAPITAL MANAGEMENT, L.P. - > 10% Owner MEMBER OF 13D 10% GROUP see footnote

    NRC PARTNERS I, LP - > 10% Owner see footnote

    NORTHERN RIGHT CAPITAL (QP), L.P. - > 10% Owner see footnote

    BC ADVISORS LLC - > 10% Owner see footnote

    2022-08-17 21:37:51 -0400 2022-08-17 P 2,027 $2.05 a 3,332,960 indirect yes -0.5778 -25.5556 0.0 1 -31.9111 29

    NORTHERN RIGHT CAPITAL MANAGEMENT, L.P. - > 10% Owner MEMBER OF 13D 10% GROUP see footnote

    NRC PARTNERS I, LP - > 10% Owner see footnote

    NORTHERN RIGHT CAPITAL (QP), L.P. - > 10% Owner see footnote

    BC ADVISORS LLC - > 10% Owner see footnote

    2022-08-17 21:37:51 -0400 2022-08-16 P 15,877 $2.02 a 3,330,933 indirect yes -0.5778 -25.5556 0.0 1 -31.9111 29

    DRAPKIN MATTHEW A see footnote

    2022-08-17 21:34:29 -0400 2022-08-16 P 9,016 $2.02 a 1,722,395 indirect -0.5778 -25.5556 0.0 1 -31.9111 29

    DRAPKIN MATTHEW A see footnote

    2022-08-17 21:34:29 -0400 2022-08-16 P 1,710 $2.02 a 116,486 indirect -0.5778 -25.5556 0.0 1 -31.9111 29

    DRAPKIN MATTHEW A see footnote

    2022-08-17 21:34:29 -0400 2022-08-16 P 5,151 $2.02 a 1,492,052 indirect -0.5778 -25.5556 0.0 1 -31.9111 29

    REESE JASON W. - Director - > 10% Owner see footnotes

    IMPERIAL CAPITAL ASSET MANAGEMENT, LLC - > 10% Owner see footnotes

    LONG BALL PARTNERS LLC - > 10% Owner see footnotes

    2022-08-16 20:12:50 -0400 2022-08-16 P 15,878 $2.02 a 4,791,810 indirect yes -1.918 -8.4568 -32.0139 0.0 1 -33.2171 30

    REESE JASON W. - Director - > 10% Owner see footnotes

    IMPERIAL CAPITAL ASSET MANAGEMENT, LLC - > 10% Owner see footnotes

    LONG BALL PARTNERS LLC - > 10% Owner see footnotes

    2022-08-16 20:12:50 -0400 2022-08-15 P 26,150 $2.02 a 4,775,932 indirect yes -1.918 -8.4568 -32.0139 0.0 1 -33.2171 30

    DRAPKIN MATTHEW A see footnote

    2022-08-17 21:34:29 -0400 2022-08-15 P 2,813 $2.02 a 114,776 indirect -0.5778 -25.5556 0.0 1 -31.9111 29

    DRAPKIN MATTHEW A see footnote

    2022-08-17 21:34:29 -0400 2022-08-15 P 8,496 $2.02 a 1,486,901 indirect -0.5778 -25.5556 0.0 1 -31.9111 29

    DRAPKIN MATTHEW A see footnote

    2022-08-17 21:34:29 -0400 2022-08-15 P 14,841 $2.02 a 1,713,379 indirect -0.5778 -25.5556 0.0 1 -31.9111 29

    NORTHERN RIGHT CAPITAL MANAGEMENT, L.P. - > 10% Owner MEMBER OF 13D 10% GROUP see footnote

    NRC PARTNERS I, LP - > 10% Owner see footnote

    NORTHERN RIGHT CAPITAL (QP), L.P. - > 10% Owner see footnote

    BC ADVISORS LLC - > 10% Owner see footnote

    2022-08-17 21:37:51 -0400 2022-08-15 P 26,150 $2.02 a 3,315,056 indirect yes -0.5778 -25.5556 0.0 1 -31.9111 29

    REESE JASON W. - Director - > 10% Owner see footnotes

    IMPERIAL CAPITAL ASSET MANAGEMENT, LLC - > 10% Owner see footnotes

    LONG BALL PARTNERS LLC - > 10% Owner see footnotes

    2022-08-16 20:12:50 -0400 2022-08-12 P 41,119 $2.00 a 4,749,782 indirect yes -1.918 -8.4568 -32.0139 0.0 1 -33.2171 30

    DRAPKIN MATTHEW A see footnote

    2022-08-12 21:29:46 -0400 2022-08-12 P 23,337 $2.00 a 1,698,538 indirect -0.3846 -4.3162 -31.5385 0.0 1 -33.7607 29

    DRAPKIN MATTHEW A see footnote

    2022-08-12 21:29:46 -0400 2022-08-12 P 4,423 $2.00 a 111,963 indirect -0.3846 -4.3162 -31.5385 0.0 1 -33.7607 29

    DRAPKIN MATTHEW A see footnote

    2022-08-12 21:29:46 -0400 2022-08-12 P 13,360 $2.00 a 1,478,405 indirect -0.3846 -4.3162 -31.5385 0.0 1 -33.7607 29

    NORTHERN RIGHT CAPITAL MANAGEMENT, L.P. - > 10% Owner MEMBER OF 13D 10% GROUP see footnote

    NRC PARTNERS I, LP - > 10% Owner see footnote

    NORTHERN RIGHT CAPITAL (QP), L.P. - > 10% Owner see footnote

    BC ADVISORS LLC - > 10% Owner see footnote

    2022-08-12 18:54:28 -0400 2022-08-12 P 41,120 $2.00 a 3,288,906 indirect yes -0.3846 -4.3162 -31.5385 0.0 1 -33.7607 29

    NORTHERN RIGHT CAPITAL MANAGEMENT, L.P. - > 10% Owner MEMBER OF 13D 10% GROUP see footnote

    NRC PARTNERS I, LP - > 10% Owner see footnote

    NORTHERN RIGHT CAPITAL (QP), L.P. - > 10% Owner see footnote

    BC ADVISORS LLC - > 10% Owner see footnote

    2022-08-12 18:54:28 -0400 2022-08-10 P 4,144 $2.04 a 3,247,786 indirect yes -0.3846 -4.3162 -31.5385 0.0 1 -33.7607 29

    REESE JASON W. - Director - > 10% Owner see footnotes

    IMPERIAL CAPITAL ASSET MANAGEMENT, LLC - > 10% Owner see footnotes

    LONG BALL PARTNERS LLC - > 10% Owner see footnotes

    2022-08-10 20:49:53 -0400 2022-08-10 P 4,144 $2.04 a 4,708,663 indirect yes -0.2568 -3.6815 -33.6473 0.1712 3 -33.6473 31

    DRAPKIN MATTHEW A see footnote

    2022-08-12 21:29:46 -0400 2022-08-10 P 1,351 $2.04 a 1,465,045 indirect -0.3846 -4.3162 -31.5385 0.0 1 -33.7607 29

    DRAPKIN MATTHEW A see footnote

    2022-08-12 21:29:46 -0400 2022-08-10 P 444 $2.04 a 107,540 indirect -0.3846 -4.3162 -31.5385 0.0 1 -33.7607 29

    DRAPKIN MATTHEW A see footnote

    2022-08-12 21:29:46 -0400 2022-08-10 P 2,349 $2.04 a 1,675,201 indirect -0.3846 -4.3162 -31.5385 0.0 1 -33.7607 29

    REESE JASON W. - Director - > 10% Owner see footnotes

    IMPERIAL CAPITAL ASSET MANAGEMENT, LLC - > 10% Owner see footnotes

    LONG BALL PARTNERS LLC - > 10% Owner see footnotes

    2022-08-10 20:49:53 -0400 2022-08-09 P 8,769 $2.05 a 4,704,519 indirect yes -0.2568 -3.6815 -33.6473 0.1712 3 -33.6473 31

    NORTHERN RIGHT CAPITAL MANAGEMENT, L.P. - > 10% Owner MEMBER OF 13D 10% GROUP see footnote

    NRC PARTNERS I, LP - > 10% Owner see footnote

    NORTHERN RIGHT CAPITAL (QP), L.P. - > 10% Owner see footnote

    BC ADVISORS LLC - > 10% Owner see footnote

    2022-08-10 18:01:29 -0400 2022-08-09 P 8,769 $2.05 a 3,243,642 indirect yes -0.2568 -3.6815 -33.6473 0.1712 3 -33.6473 31

    DRAPKIN MATTHEW A see footnote

    2022-08-10 16:55:12 -0400 2022-08-09 P 4,966 $2.05 a 1,672,852 indirect -0.2568 -3.6815 -33.6473 0.1712 3 -33.6473 31

    DRAPKIN MATTHEW A see footnote

    2022-08-10 16:55:12 -0400 2022-08-09 P 937 $2.05 a 107,096 indirect -0.2568 -3.6815 -33.6473 0.1712 3 -33.6473 31

    DRAPKIN MATTHEW A see footnote

    2022-08-10 16:55:12 -0400 2022-08-09 P 2,866 $2.05 a 1,463,694 indirect -0.2568 -3.6815 -33.6473 0.1712 3 -33.6473 31

    DRAPKIN MATTHEW A see footnote

    2022-08-10 16:55:12 -0400 2022-08-08 P 2,362 $2.02 a 1,460,828 indirect -0.2568 -3.6815 -33.6473 0.1712 3 -33.6473 31

    REESE JASON W. - Director - > 10% Owner see footnotes

    IMPERIAL CAPITAL ASSET MANAGEMENT, LLC - > 10% Owner see footnotes

    LONG BALL PARTNERS LLC - > 10% Owner see footnotes

    2022-08-10 20:49:53 -0400 2022-08-08 P 7,234 $2.02 a 4,695,750 indirect yes -0.2568 -3.6815 -33.6473 0.1712 3 -33.6473 31

    NORTHERN RIGHT CAPITAL MANAGEMENT, L.P. - > 10% Owner MEMBER OF 13D 10% GROUP see footnote

    NRC PARTNERS I, LP - > 10% Owner see footnote

    NORTHERN RIGHT CAPITAL (QP), L.P. - > 10% Owner see footnote

    BC ADVISORS LLC - > 10% Owner see footnote

    2022-08-10 18:01:29 -0400 2022-08-08 P 7,233 $2.02 a 3,234,873 indirect yes -0.2568 -3.6815 -33.6473 0.1712 3 -33.6473 31

    DRAPKIN MATTHEW A see footnote

    2022-08-10 16:55:12 -0400 2022-08-08 P 4,098 $2.02 a 1,667,886 indirect -0.2568 -3.6815 -33.6473 0.1712 3 -33.6473 31

    DRAPKIN MATTHEW A see footnote

    2022-08-10 16:55:12 -0400 2022-08-08 P 773 $2.02 a 106,159 indirect -0.2568 -3.6815 -33.6473 0.1712 3 -33.6473 31

    * -

    Transaction Code Definitions
    Code Definition
    A Grant, award or other acquisition pursuant to Rule 16b-3(d)
    C Conversion of derivative security
    D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)
    E Expiration of short derivative position
    F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3
    G Bona fide gift
    H Expiration (or cancellation) of long derivative position with value received
    I Discretionary transaction in accordance with Rule 16b-3(f) resulting in acquisition or disposition of issuer securities
    J Other acquisition or disposition
    L Small acquisition under Rule 16a-6
    M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3
    O Exercise of out-of-the-money derivative security
    P Open market or private purchase of non-derivative or derivative security
    S Open market or private sale of non-derivative or derivative security
    U Disposition pursuant to a tender of shares in a change of control transaction
    W Acquisition or disposition by will or the laws of descent and distribution
    X Exercise of in-the-money or at-the-money derivative security
    Z Deposit into or withdrawal from voting trust

    IBR Securities Loan Availability

    Updated throughout the day, this shows the number of shares available to borrow. Data provided by Interactive Brokers

    Security Date/Time Rebate Rate Fee Rate Shares Available
    GREAT ELM GROUP INC GEGGL 2022-09-30 22:15:04 UTC -41.9177 44.9877 9000
    GREAT ELM GROUP INC GEGGL 2022-09-30 21:45:03 UTC -41.9177 44.9877 9000
    GREAT ELM GROUP INC GEGGL 2022-09-30 21:15:03 UTC -41.9177 44.9877 9000
    GREAT ELM GROUP INC GEGGL 2022-09-30 20:45:04 UTC -41.9177 44.9877 9000
    GREAT ELM GROUP INC GEGGL 2022-09-30 20:15:03 UTC -41.9177 44.9877 9000
    GREAT ELM GROUP INC GEGGL 2022-09-30 19:45:03 UTC -41.9177 44.9877 9000
    GREAT ELM GROUP INC GEGGL 2022-09-30 19:15:03 UTC -41.9177 44.9877 9000
    GREAT ELM GROUP INC GEGGL 2022-09-30 18:45:03 UTC -41.9177 44.9877 9000
    GREAT ELM GROUP INC GEGGL 2022-09-30 18:15:04 UTC -41.9177 44.9877 9000
    GREAT ELM GROUP INC GEGGL 2022-09-30 17:45:04 UTC -41.9177 44.9877 9000
    GREAT ELM GROUP INC GEGGL 2022-09-30 17:15:03 UTC -41.9177 44.9877 9000
    GREAT ELM GROUP INC GEGGL 2022-09-30 16:45:04 UTC -41.9177 44.9877 9000
    GREAT ELM GROUP INC GEGGL 2022-09-30 16:15:03 UTC -41.9177 44.9877 9000
    GREAT ELM GROUP INC GEGGL 2022-09-30 15:45:03 UTC -41.9177 44.9877 9000
    GREAT ELM GROUP INC GEGGL 2022-09-30 15:15:03 UTC -41.9177 44.9877 9000
    GREAT ELM GROUP INC GEGGL 2022-09-30 14:45:03 UTC -41.9177 44.9877 9000
    GREAT ELM GROUP INC GEGGL 2022-09-30 14:15:03 UTC -41.9177 44.9877 9000
    GREAT ELM GROUP INC GEGGL 2022-09-30 13:45:03 UTC -39.3141 42.3841 9000
    GREAT ELM GROUP INC GEGGL 2022-09-30 13:15:03 UTC -39.3141 42.3841 9000
    GREAT ELM GROUP INC GEGGL 2022-09-30 12:45:03 UTC -39.3141 42.3841 9000

    Current Active Short Positions

    Holder Issuer Net Short Position Position Date Origin

    No recent transactions

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