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FORM 4
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN THE EFFECTIVE BENEFICIARIES OF THE SHARES Filed under 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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Table II – Beneficial ownership derivative securities (for exampleputs, calls, warrants, options, convertible securities)
(for exampleputs, calls, warrants, options, convertible securities)
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1. Title of derivative title |
2. Conversion or exercise price of the derivative security |
3. Transaction date (month/day/year) |
3A. Deemed execution date, if applicable (month/day/year) |
4. Transaction code |
5. Number of derivative securities acquired (A) or sold (D) |
6. Exercise date and expiry date |
7. Title and amount of the securities underlying the derivative securities |
8. Price of derivative securities |
9. Number of derivative securities beneficially owned as a result of reported transactions |
10. Form of ownership of derivative securities: direct (D) or indirect (I) |
11. Nature of Indirect Beneficial Ownership |
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Coded |
V |
(A) |
(D) |
Exercise date |
Expiration date |
Title |
Amount or number of shares |
Reporting owners
| Name/address of declaring owner | Relationships | |||
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Director |
10% Owner |
Officer |
Other |
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Reese Jason W. |
X |
X |
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Imperial Capital Asset Management, LLC PALM BEACH GARDENS, FL33410 |
X |
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LONG BALL PARTNERS LLC |
X |
Signatures
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Jason Reese, by: /s/ Jason Reese |
2022-05-25 |
| **Signature of declaring person |
Date |
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Long Ball Partners, LLC, By: Imperial Capital Asset Management, LLC, its Managing Member, By: /s/ Jason Reese, Chairman and Chief Executive Officer |
2022-05-25 |
| **Signature of declaring person |
Date |
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Imperial Capital Asset Management, LLC, by: /s/ Jason Reese, Chief Executive Officer |
2022-05-25 |
| **Signature of declaring person |
Date |
Explanation of answers:
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If the form is completed by several declarants, see |
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| Section 5(b)(v). |
(**) Intentional misrepresentation or omission of facts are federal criminal offenses. See |
| 18 USC 1001 and 15 USC 78ff(a). |
(1) |
| Consists of 2,904,498 shares held directly by Long Ball Partners, LLC (“Long Ball”) and 1,369,984 shares held directly by Imperial Capital Asset Management, LLC (“ICAM”). Mr. Reese is a portfolio manager of Long Ball and is Chairman and Chief Executive Officer of ICAM, which is a member of management and investment manager of Long Ball. |
(2) |
| Mr. Reese, ICAM and Long Ball each disclaim beneficial ownership of the securities stated herein, except to the extent of such person’s pecuniary interest. |
(3) |
Consists of shares held directly by Mr. Reese. Note: Submit three copies of this form, one of which must be manually signed. If space is insufficient, See
Instruction 6 for the procedure. Potential individuals who need to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.
Warning Great Elm Group Inc. published this content on May 25, 2022 and is solely responsible for the information contained therein. Distributed by Public, unedited and unmodified, onMay 26, 2022 05:51:44 UTC
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