Initial Statement of Beneficial Ownership (3)
23 May 2023 - 6:52AM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Davis Keri |
2. Date of Event Requiring Statement (MM/DD/YYYY)
5/15/2023
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3. Issuer Name and Ticker or Trading Symbol
Great Elm Group, Inc. [GEG]
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(Last)
(First)
(Middle)
C/O GREAT ELM GROUP, INC., 800 SOUTH STREET, SUITE 230 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner
___X___ Officer (give title below) _____ Other (specify below)
Chief Financial Officer / |
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(Street)
WALTHAM, MA 02453
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4) | 2. Amount of Securities Beneficially Owned
(Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5) | 4. Nature of Indirect Beneficial Ownership
(Instr. 5) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4) | 2. Date Exercisable and Expiration Date
(MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5) | 6. Nature of Indirect Beneficial Ownership
(Instr. 5) |
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Option (right to buy) | 11/7/2022 | 11/7/2028 | Common Stock | 20000 | $3.43 | D | |
| Option (right to buy) | (1) | 5/14/2029 | Common Stock | 10000 | $4.12 | D | |
| Option (right to buy) | (2) | 11/8/2029 | Common Stock | 10000 | $3.35 | D | |
| Explanation of Responses: |
| (1) | 20% of the option vested on May 14, 2020, with 5.00% of the option vesting per quarter thereafter, until fully vested on May 14, 2024. |
| (2) | 20% of the option vested on November 8, 2020, with 5.00% of the option vesting per quarter thereafter, until fully vested on November 8, 2024. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Davis Keri
C/O GREAT ELM GROUP, INC.
800 SOUTH STREET, SUITE 230
WALTHAM, MA 02453 |
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| Chief Financial Officer |
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Signatures
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| /s/ Adam M. Kleinman, attorney-in-fact | | 5/22/2023 |
| **Signature of Reporting Person | Date |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
| * | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
| ** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
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