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    Great Elm Group Inc. filed SEC Form 8-K: Submission of Matters to a Vote of Security Holders

    12/4/24 4:55:01 PM ET
    $GEG
    Computer Software: Prepackaged Software
    Technology
    Get the next $GEG alert in real time by email
    false0001831096NASDAQNASDAQ00018310962024-12-042024-12-040001831096geg:Seven25NotesDue2027Member2024-12-042024-12-040001831096us-gaap:CommonStockMember2024-12-042024-12-04

    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 4, 2024



    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.)

    3801 PGA Boulevard, Suite 603
    Palm Beach Gardens, FL

    33410
    (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 4, 2024, Great Elm Group, Inc. (the “Company”) held its 2024 annual meeting of stockholders (the “Annual Meeting”).  The results of the voting at the Annual Meeting were as follows:
     

     
    For
     
    Withheld
     
    Broker Non-Votes
    Election of directors:
               
    Matthew A. Drapkin
     
    13,362,248
     
    5,085,992
     
    7,908,600
    James H. Hugar
     
    17,849,007
     
    599,233
     
    7,908,600
    David Matter
     
    18,193,805
     
    254,435
     
    7,908,600
    James P. Parmelee
     
    16,689,345
     
    1,758,895
     
    7,908,600
    Jason W. Reese
     
    18,241,132
     
    207,108
     
    7,908,600
    Eric J. Scheyer
     
    16,561,914
     
    1,886,326
     
    7,908,600


     
    For
     
    Against
     
    Abstain

    Broker
    Non-Votes
    Ratification of the selection of Deloitte & Touche LLP to serve as the Company’s independent registered public accounting firm for the fiscal year ending June 30, 2025
     
    26,322,864
     
    31,420
     
    2,556
     
    0


     
    For
     
    Against
     
    Abstain
     
    Broker
    Non-Votes
    Approval, on a non-binding advisory basis, of the compensation of the Company’s named executive officers
     
    16,761,733
     
    1,683,843
     
    2,664
     
    7,908,600


     
    One Year
     
    Two Years
     
    Three Years
     
    Abstain
     
    Broker
    Non-Votes
    Approval, on a non-binding advisory basis, of the frequency of future stockholder advisory votes on the compensation of the Company’s named executive officers
     
    18,105,571
     
    728
     
    330,720
     
    11,221
     
    7,908,600

    Based on the recommendation of the Company’s board of directors (the “Board”) in the Company’s 2024 definitive proxy statement and the voting results, the Board has determined that future advisory votes to approve named executive officer compensation will be held every year until the next advisory vote on the frequency of such advisory votes.
     
    - 2 -

    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 4, 2024
    /s/ Keri A. Davis
     

    By:
    Keri A. Davis

    Title:
    Chief Financial Officer


    - 3 -

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