Every SEC Form 3/4/5 on record for this filer (CIK 1458693) — 9 issuers, 274 transactions. Section-16 filings only: what they filed, not a biography, and titles are as filed on their latest form at each issuer.
| Ticker | Company | Role as filed | On file | Forms | Open-market net |
|---|---|---|---|---|---|
| GEG | Great Elm Group, Inc. | Director | 2021-01-06 → 2026-01-12 | 37 | $3M |
| GECC | Great Elm Capital Corp. | Director | 2022-03-11 → 2024-09-17 | 7 | $269,921 |
| PRGX | PRGX GLOBAL, INC. | Director · lapsed | 2016-11-14 → 2021-03-04 | 31 | $7M |
| GEC | Great Elm Capital Group, Inc. | Director · lapsed | 2017-05-15 → 2020-10-15 | 9 | $8M |
| IVAC | INTEVAC INC | Director · lapsed | 2015-11-04 → 2017-05-19 | 6 | −$6M |
| MESG | XURA, INC. | Director · lapsed | 2015-11-04 → 2016-08-23 | 3 | — |
| FSYS | Fuel Systems Solutions, Inc. | Filer · lapsed | 2015-09-01 → 2016-06-02 | 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 |
|---|---|---|---|---|---|---|
| GECC | 2024-09-16 | Buy | 9,600 | $9.92 | $95,232 | 75,716 |
| GECC | 2024-08-21 | Buy | 1,310 | $10.12 | $13,257 | 66,116 |
| GECC | 2024-08-20 | Buy | 3,189 | $10.01 | $31,922 | 64,806 |
| GEG | 2024-05-23 | Buy | 5,015 | $1.75 | $8,776 | 1,963,690 |
1 of 9 issuers are covered and open a security page; the rest are on file here only.
