0001831096false0001831096us-gaap:CommonStockMember2023-12-132023-12-1300018310962023-12-132023-12-130001831096geg:Seven25NotesDue2027Member2023-12-132023-12-13

 

 

 

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

FORM 8-K

CURRENT REPORT

Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

Date of Report (Date of earliest event reported): December 13, 2023

Great Elm Group, Inc.

(Exact name of Registrant as Specified in Its Charter)

Delaware

001-39832

85-3622015

(State or Other Jurisdiction

of Incorporation)

(Commission File Number)

(IRS Employer

Identification No.)

 

 

 

800 South Street, Suite 230, Waltham, MA

 

02453

(Address of Principal Executive Offices)

 

(Zip Code)

Registrant’s Telephone Number, Including Area Code: (617) 375-3006

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

☐

Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

☐

Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

☐

Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

☐

Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:

Title of each class

Trading Symbol(s)

Name of each exchange on which registered

Common stock, par value $0.001 per share

GEG

The Nasdaq Stock Market LLC
(Nasdaq Global Select Market)

7.25% Notes due 2027

GEGGL

The Nasdaq Stock Market LLC

(Nasdaq Global Select Market)

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§ 230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§ 240.12b-2 of this chapter).

Emerging growth company ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

 

 

 

 

 

Item 5.07 Submission of Matters to a Vote of Security Holders.

On December 13, 2023, Great Elm Group, Inc. (the “Company”) held its 2023 annual meeting of stockholders (the “Annual Meeting”). The results of the voting at the Annual Meeting were as follows:

 

For

Against

Abstain

Broker

Non-Votes

Election of directors:

Matthew A. Drapkin

12,994,815

6,791,773

12,679

6,828,732

James H. Hugar

15,787,604

3,998,985

12,678

6,828,732

David Matter

15,865,625

3,920,963

12,679

6,828,732

James P. Parmelee

14,341,683

5,444,905

12,679

6,828,732

Jason W. Reese

16,468,139

3,327,449

3,679

6,828,732

Eric J. Scheyer

14,408,683

5,377,905

12,679

6,828,732

Ratification of the selection of Grant Thornton LLP to serve as the Company’s independent registered public accounting firm for the fiscal year ending June 30, 2024

26,599,621

26,300

2,078

0

Approval, on a non-binding advisory basis, of the compensation of the Company’s named executive officers

14,230,550

4,874,755

693,962

6,828,732

 

 

 

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

 

GREAT ELM GROUP, INC.

 

 

 

 

Date: December 13, 2023

 

/s/ Keri A. Davis

 

 

By: Keri A. Davis

 

 

Title: Chief Financial Officer

 

 

v3.23.3
Document and Entity Information
Dec. 13, 2023
Entity Listings [Line Items]  
Document Type 8-K
Amendment Flag false
Document Period End Date Dec. 13, 2023
Entity Registrant Name Great Elm Group, Inc.
Entity Central Index Key 0001831096
Entity Emerging Growth Company false
Entity File Number 001-39832
Entity Incorporation, State or Country Code DE
Entity Tax Identification Number 85-3622015
Entity Address, Address Line One 800 South Street
Entity Address, Address Line Two Suite 230
Entity Address, City or Town Waltham
Entity Address, State or Province MA
Entity Address, Postal Zip Code 02453
City Area Code 617
Local Phone Number 375-3006
Written Communications false
Soliciting Material false
Pre-commencement Tender Offer false
Pre-commencement Issuer Tender Offer false
Common Stock [Member]  
Entity Listings [Line Items]  
Title of 12(b) Security Common stock, par value $0.001 per share
Trading Symbol GEG
Security Exchange Name NASDAQ
7.25% Notes due 2027 [Member]  
Entity Listings [Line Items]  
Title of 12(b) Security 7.25% Notes due 2027
Trading Symbol GEGGL
Security Exchange Name NASDAQ
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