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Great Elm Group, Inc. Create: Alert

All | News | Filings
Date FiledTypeDescription
08/18/2023 40-APP Form 40-APP - Application for exemption and other relief filed under the Investment Company Act of 1940:
06/08/2023 SC 13D/A Northern Right Capital Management, L.P. reports a 18.8% stake in Great Elm Group, Inc.
06/07/2023 SC 13D/A Imperial Capital Asset Management, LLC reports a 27.1% stake in Great Elm Group, Inc.
05/15/2023 8-K Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements...
Docs: "RECITALS WHEREAS, Executive is currently employed as Chief Financial Officer and Chief Accounting Officer of GEG; WHEREAS, Executive has tendered his resignation effective as of the date hereof from his role as CFO and CAO of GEG and as an officer and director, as applicable, from each subsidiary of GEG; provided, Executive shall remain an active non-executive employee of GEG until the Separation Date ; and WHEREAS, the Company has agreed to accept Executive’s resignation under the terms and conditions set forth in this Agreement in exchange for Executive’s execution of this Agreement, including the general release of claims provided herein. NOW, THEREFORE, for and in consideration of the mutual promises and covenants in this Agreement, and for other good and valuable consideration, the re...",
"c/o Olivia Pine Vice President, HR 3801 PGA Boulevard, Suite 603 Palm Beach Gardens, Florida 33410 Email: [email protected] Fax: 561.214.7998",
"GREAT ELM GROUP, INC. ANNOUNCES CFO TRANSITION"
05/05/2023 8-K Quarterly results
Docs: "RECITALS WHEREAS, Executive is currently employed as Chief Executive Officer of GEG and the Chief Investment Officer of GECM; WHEREAS, Executive intends to tender his resignation effective May 5, 2023 from his role as CEO and CIO; and WHEREAS, the Company has agreed to accept Executive’s resignation under the terms and conditions set forth in this Agreement in exchange for Executive’s execution of this Agreement, including the general release of claims provided herein. NOW, THEREFORE, for and in consideration of the mutual promises and covenants in this Agreement, and for other good and valuable consideration, the receipt and sufficiency of which is hereby acknowledged, the Parties agree as follows: 1. Resignation. The Parties agree that, except as set forth in paragraph 10 below, this Agr...",
"Consulting Agreement",
"Stock Price Milestone Table Performance Range Stock Price Vesting Triggers 5-Year Annual Stock Price Appreciation Cumulative Number of Shares Subject to Stock-Price Based Option that Will Be Vested Below $4.02 0 Threshold $4.02 15% 400,000 Target $6.00 25% 800,000 Upside $8.00 32% 1,200,000 Stretch $10.00 38% 1,600,000 Outperform $12.00 43% 2,000,000 a. General Terms. The exercise price per share of the Option will be equal to the Reference Price as of the date the Option is granted, as determined by the Compensation Committee when the Option is granted. The Option will be subject to the terms and conditions applicable to options granted under the Plan, as described in the Plan and the applicable Stock Option Agreement. Upon a Change of Control, the Service-Based Vesting Requirement and al...",
"Company to Host Conference Call at 9:00 a.m., ET on May 5, 2023",
"GREAT ELM GROUP, INC. APPOINTS JASON REESE AS CEO"
05/05/2023 10-Q Quarterly Report for the period ended March 31, 2023
02/13/2023 8-K Quarterly results
02/13/2023 10-Q Quarterly Report for the period ended December 31, 2022
02/08/2023 SC 13G/A Form SC 13G/A - Statement of acquisition of beneficial ownership by individuals: [Amend]
01/10/2023 SC 13D/A Imperial Capital Group Holdings II, LLC reports a 26.4% stake in Great Elm Group, Inc.
01/03/2023 8-K Investor presentation
Docs: "STOCK PURCHASE AGREEMENT by and among GREAT ELM FM ACQUISITION, INC., GREAT ELM GROUP, INC., and J.P. MORGAN BROKER-DEALER HOLDINGS INC. Dated as of December 30, 2022",
"MEMBERSHIP INTEREST PURCHASE AGREEMENT THIS MEMBERSHIP INTEREST PURCHASE AGREEMENT dated as of January 3, 2023, by and among Great Elm Healthcare, LLC, a Delaware limited liability company , Great Elm DME Holdings, Inc., a Delaware corporation , Great Elm DME, Inc., a Delaware corporation , Corbel Capital Partners SBIC, L.P., a Delaware limited partnership , and Valley Healthcare Group, LLC, an Arizona limited liability company , DME Holdings, in its capacity as the Sellers’ Representative , QHM Holdings Inc., a Delaware corporation and, solely for purposes of Sections 2.7 and 9.17, QUIPT Home Medical Corp., a company amalgamated under the laws of the Province of British Columbia . Throughout the remainder of this Agreement, the Purchaser, the Company and the Sellers shall each be referred...",
"Each of the undersigned consents to the exclusive jurisdiction and venue of the federal courts located in the City of New York, Borough of Manhattan and any appellate court from any thereof in any action or proceeding arising out of or relating to this Note or any loan evidenced hereby; provided that a final judgment in any such action or proceeding shall be conclusive and may be enforced in other jurisdictions by suit on the judgment or in any other manner provided by law. Service of process by Seller in connection with any dispute shall be binding on the undersigned if sent to the undersigned by registered mail at the address specified below. Nothing herein will affect the right of Seller to serve process in any other manner permitted by law. EACH OF SELLER AND THE UNDERSIGNED HEREBY WAI...",
"AMENDED AND RESTATED STOCKHOLDERS AGREEMENT among Forest Investments, Inc. and the Stockholders named herein dated as of December 30, 2022 Execution Version",
"Great Elm Group, Inc. January 3, 2023 NASDAQ: GEG Exhibit 99.1 GEG Announced Two Transformative Deals",
"Great Elm Group Sells a Majority Interest in Forest Investments, Inc. to an Affiliate of JPMorgan Chase & Co. The sale of a majority of its ownership interest in Forest Investments, Inc. is expected to ultimately raise approximately $45 million of cash on Great Elm Group’s Balance Sheet, enhancing its ability to focus exclusively on Investment Management.",
"Great Elm Group Sells Durable Medical Equipment Business For $80 million The Sale of its DME Business Allows Great Elm to Focus Primarily on Investment Management with Additional Cash on its Balance Sheet Available to Fund Strategic Growth Initiatives",
"Great Elm Group, Inc. Pro Forma Financial Statements INTRODUCTION Transactions with JPM On December 30, 2022, Great Elm Group, Inc. and its wholly-owned subsidiary, Great Elm FM Acquisition, Inc. , entered into a stock purchase agreement with J.P. Morgan Broker-Dealer Holdings Inc. to sell 61 shares of the common stock, $0.001 par value per share, of Forest Investments, Inc. owned by FM Acquisition and GEG, which shares constitute 61% of the issued and outstanding shares of Forest’s common stock, to JPM for approximately $18.4 million in cash. In connection with the Stock Purchase Agreement, GEG, JPM and Forest entered into an amended and restated stockholders’ agreement . Pursuant to the Stockholders Agreement, from January 17, 2023 until February 17, 2023, GEG may sell the remaining shar..."
11/21/2022 S-8 Form S-8 - Securities to be offered to employees in employee benefit plans:
11/21/2022 8-K Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements...
Docs: "Great Elm Group, Inc. Amended and Restated 2016 Long-Term Incentive Compensation Plan (As Amended, Effective November 21, 2022)"
11/15/2022 8-K Investor presentation, Quarterly results
Docs: "AMENDED AND RESTATED BYLAWS OF GREAT ELM GROUP, INC.",
"Company to Host Conference Call at 9:00 a.m. ET on November 15, 2022",
"AK, AZ, KS, IA, MO, NE, OR, WA"
11/14/2022 10-Q Quarterly Report for the period ended September 30, 2022
10/11/2022 DEFA14A Form DEFA14A - Additional definitive proxy soliciting materials and Rule 14(a)(12) material:
10/11/2022 DEF 14A Form DEF 14A - Other definitive proxy statements:
09/30/2022 SC 13D/A LONG BALL PARTNERS LLC reports a 23.5% stake in Great Elm Group, Inc.
09/27/2022 PRE 14A Form PRE 14A - Other preliminary proxy statements:
09/12/2022 8-K Investor presentation, Quarterly results
Docs: "Company to Host Conference Call at 9:00 a.m. ET on September 13, 2022",
"AK, AZ, KS, IA, MO, NE, OR, WA"
09/12/2022 10-K Annual Report for the period ended June 30, 2022
09/06/2022 8-K Quarterly results
07/22/2022 SC 13D/A Form SC 13D/A - General statement of acquisition of beneficial ownership: [Amend]
06/17/2022 CERT Form CERT - Certification by an exchange approving securities for listing:
06/17/2022 SC 13D/A Form SC 13D/A - General statement of acquisition of beneficial ownership: [Amend]
06/17/2022 8-A12B Form 8-A12B - Registration of securities [Section 12(b)]:
06/13/2022 SC 13D/A Form SC 13D/A - General statement of acquisition of beneficial ownership: [Amend]
06/13/2022 SC 13D/A Form SC 13D/A - General statement of acquisition of beneficial ownership: [Amend]
06/09/2022 8-K Quarterly results
06/08/2022 424B1 Form 424B1 - Prospectus [Rule 424(b)(1)]:
06/08/2022 EFFECT Form EFFECT - Notice of Effectiveness:
06/07/2022 FWP Form FWP - Filing under Securities Act Rules 163/433 of free writing prospectuses:
06/06/2022 S-1/A Form S-1/A - General form for registration of securities under the Securities Act of 1933: [Amend]
05/25/2022 8-K Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements...
Docs: "Great Elm group, inc. Announces the appointment of FORMER BLACKROCK Executive david Matter to its board"
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