Keri Davis - May 15, 2023 Form 3 Insider Report for Great Elm Group, Inc. (GEG)

Role
Chief Financial Officer
Signature
/s/ Adam M. Kleinman, attorney-in-fact
Stock symbol
GEG
Transactions as of
May 15, 2023
Transactions value $
$0
Form type
3
Date filed
5/22/2023, 04:51 PM
Previous filing
Mar 31, 2023
Next filing
Sep 22, 2023

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding GEG Option (right to buy) May 15, 2023 Common Stock 20K $3.43 Direct
holding GEG Option (right to buy) May 15, 2023 Common Stock 10K $4.12 Direct F1
holding GEG Option (right to buy) May 15, 2023 Common Stock 10K $3.35 Direct F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 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.
F2 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.