Every SEC Form 3/4/5 on record for this filer (CIK 1349003) — 7 issuers, 26 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 | $932,668 |
| GECC | Great Elm Capital Corp. | 10% owner · lapsed | 2022-06-27 → 2022-06-27 | 1 | — |
| GEC | Great Elm Capital Group, Inc. | 10% owner · 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 | 2024-05-23 | Buy | 5,015 | $1.75 | $8,776 | 4,243,168 |
| GEG | 2024-05-22 | Buy | 20,001 | $1.76 | $35,202 | 4,238,153 |
| GEG | 2024-05-21 | Buy | 24,984 | $1.77 | $44,222 | 4,218,152 |
| GEG | 2023-11-15 | Buy | 23,384 | $1.99 | $46,534 | 4,193,168 |
| GEG | 2023-11-14 | Buy | 185,562 | $1.99 | $369,268 | 4,169,784 |
| GEG | 2023-11-13 | Buy | 14,438 | $1.95 | $28,154 | 3,984,222 |
| GEG | 2023-03-16 | Buy | 23,630 | $2.37 | $56,003 | 3,649,187 |
| GEG | 2022-11-07 | Buy | 1,253 | $1.99 | $2,493 | 3,551,790 |
1 of 7 issuers are covered and open a security page; the rest are on file here only.
