Every SEC Form 3/4/5 on record for this filer (CIK 1346543) — 7 issuers, 18 transactions. Section-16 filings only: what they filed, not a biography, and titles are as filed on their latest form at each issuer.
This filer is an entity, not a person. This reporting owner's name carries a corporate/fund legal form, so it is an ENTITY filing under Section 16 — typically a fund with a board-designation right or a 10% holder — not an individual. Its 'director' rows are the entity's designation right, not a person's board seat.
| Ticker | Company | Role as filed | On file | Forms | Open-market net |
|---|---|---|---|---|---|
| GEG | Great Elm Group, Inc. | 10% owner | 2021-05-20 → 2025-07-16 | 34 | $889,177 |
| GECC | Great Elm Capital Corp. | Filer · lapsed | 2022-06-27 → 2022-06-27 | 1 | — |
| GEC | Great Elm Capital Group, Inc. | Filer · lapsed | 2020-03-02 → 2020-03-02 | 1 | — |
| FSYS | Fuel Systems Solutions, Inc. | Filer · lapsed | 2015-09-01 → 2016-06-02 | 3 | — |
| IVAC | INTEVAC INC | Filer · lapsed | 2015-11-04 → 2015-11-13 | 3 | — |
| SDOI | SPECIAL DIVERSIFIED OPPORTUNITIES INC. | 10% owner · lapsed | 2015-10-21 → 2015-10-21 | 1 | — |
| EMKR | EMCORE CORP | Filer · lapsed | 2015-08-13 → 2015-08-13 | 1 | — |
| Ticker | Date | Action | Shares | Price | Value | Held after |
|---|---|---|---|---|---|---|
| GEG | 2023-05-31 | Buy | 4,678 | $2.06 | $9,637 | 3,954,959 |
| GEG | 2023-05-26 | Buy | 4,491 | $2.05 | $9,207 | 3,950,281 |
| GEG | 2023-05-22 | Buy | 2,612 | $2.06 | $5,381 | 3,945,790 |
| GEG | 2023-05-19 | Buy | 243,991 | $2.00 | $487,982 | 3,943,178 |
| GEG | 2023-05-18 | Buy | 50,000 | $1.97 | $98,500 | 3,699,187 |
| GEG | 2022-10-28 | Buy | 4,468 | $2.00 | $8,936 | 3,544,958 |
| GEG | 2022-10-27 | Buy | 3,964 | $1.99 | $7,888 | 3,540,490 |
| GEG | 2022-10-26 | Buy | 3,168 | $1.99 | $6,304 | 3,536,526 |
| GEG | 2022-10-18 | Buy | 21,493 | $2.00 | $42,986 | 3,528,034 |
| GEG | 2022-08-17 | Buy | 2,027 | $2.05 | $4,155 | 3,332,960 |
1 of 7 issuers are covered and open a security page; the rest are on file here only.
