SEC Form SC 13D/A filed by Great Elm Group Inc. (Amendment)
SECURITIES AND EXCHANGE COMMISSION
(CUSIP Number)
Great Elm Group, Inc.
800 South Street, Suite 230
Waltham, MA 02453
(617) 375-3006
(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)
(Date of Event Which Requires Filing of This Statement)
1
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NAMES OF REPORTING PERSONS
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Great Elm Group, Inc.
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
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(a)
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(b)
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☒
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3
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SEC USE ONLY
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4
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SOURCE OF FUNDS (SEE INSTRUCTIONS)
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OO
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5
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CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
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☐
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6
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CITIZENSHIP OR PLACE OF ORGANIZATION
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Delaware
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NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
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7
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SOLE VOTING POWER
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1,520,560
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8
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SHARED VOTING POWER
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0
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9
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SOLE DISPOSITIVE POWER
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1,520,560
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10
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SHARED DISPOSITIVE POWER
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0
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11
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
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1,520,560
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12
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CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)*
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13
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
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16.1%(1)
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14
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
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CO
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By:
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/s/ Keri A. Davis
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Name:
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Keri A. Davis | |
Title:
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Chief Financial Officer & Chief Accounting Officer
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