Every SEC Form 3/4/5 on record for this filer (CIK 1451722) — 7 issuers, 32 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 | $1M |
| 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 | 2023-06-06 | Buy | 2,970 | $2.10 | $6,237 | 3,969,784 |
| GEG | 2023-06-05 | Buy | 8,850 | $2.08 | $18,408 | 3,966,814 |
| GEG | 2023-06-02 | Buy | 3,005 | $2.10 | $6,311 | 3,957,964 |
| GEG | 2023-03-10 | Buy | 16,816 | $2.24 | $37,668 | 3,625,557 |
| GEG | 2023-03-09 | Buy | 28,613 | $2.31 | $66,096 | 3,608,741 |
| GEG | 2023-02-24 | Buy | 13,276 | $2.14 | $28,411 | 3,580,128 |
| GEG | 2023-02-22 | Buy | 15,062 | $2.15 | $32,383 | 3,566,852 |
1 of 7 issuers are covered and open a security page; the rest are on file here only.
