Great Elm Capital Group, Inc.

Insider

First SEC filing: Sept. 11, 2018 · Latest: Sept. 11, 2018

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Insider at Companies where this person is a reporting insider.
Insider transactions Every share this person bought or sold, from Form 4 filings.
Derivatives Options and other derivative holdings reported by this person.
Initial holdings The stakes this person held when they first started reporting.

Insider at

GECCI

Insider transactions

0 buys (P) 0 sells (S) Net: $0 + 23 non-open-market transactions below last 12 months, based on the transactions shown below

Price change vs current quote, split-adjusted for corporate actions since the filing — not benchmarked, not annualized, not size-weighted

No open-market trades on record; showing all filings.

Date	Ticker	Code	Shares	Price	Value	Owned after	Δ own	A/D	vs now
Dec. 29, 2020	GECCI	J	429,150	—	—	0 Indirect	-100.00%	Disposed	(price as of 2026-08-21)
Dec. 29, 2020	GECCI	J	5,425,644	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-21)
Dec. 21, 2020	GECCI	J	9,089	—	—	429,150 Indirect	+2.16%	Acquired	(price as of 2026-08-21)
Dec. 21, 2020	GECCI	J	97,294	—	—	5,425,644 Direct	+1.83%	Acquired	(price as of 2026-08-21)
Nov. 20, 2020	GECCI	J	12,652	—	—	420,061 Indirect	+3.11%	Acquired	(price as of 2026-08-21)
Nov. 20, 2020	GECCI	J	160,492	—	—	5,328,350 Direct	+3.11%	Acquired	(price as of 2026-08-21)
Oct. 21, 2020	GECCI	J	6,858	—	—	407,409 Indirect	+1.71%	Acquired	(price as of 2026-08-21)
Oct. 21, 2020	GECCI	J	59,089	—	—	5,167,858 Direct	+1.16%	Acquired	(price as of 2026-08-21)
Oct. 1, 2020	GECCI	J	863,337	$2.95	$2,546,844	5,108,769 Direct	+20.34%	Acquired	760.3% (price as of 2026-08-21)
Sept. 28, 2020	GECCI	X	151,894	—	—	0 Indirect	-100.00%	Disposed	(price as of 2026-08-21)
Sept. 28, 2020	GECCI	X	2,103,194	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-21)
Sept. 28, 2020	GECCI	X	151,894	$2.95	$448,087	400,551 Indirect	+61.09%	Acquired	760.3% (price as of 2026-08-21)
Sept. 28, 2020	GECCI	X	2,103,194	$2.95	$6,204,422	4,245,432 Direct	+98.18%	Acquired	760.3% (price as of 2026-08-21)
Sept. 21, 2020	GECCI	A	4,532	—	—	248,657 Indirect	+1.86%	Acquired	(price as of 2026-08-21)
Sept. 21, 2020	GECCI	A	39,044	—	—	2,142,238 Direct	+1.86%	Acquired	(price as of 2026-08-21)
Aug. 21, 2020	GECCI	A	4,337	—	—	244,125 Indirect	+1.81%	Acquired	(price as of 2026-08-21)
Aug. 21, 2020	GECCI	A	31,546	—	—	2,103,194 Direct	+1.52%	Acquired	(price as of 2026-08-21)
July 15, 2020	GECCI	A	4,641	—	—	239,788 Indirect	+1.97%	Acquired	(price as of 2026-08-21)
July 15, 2020	GECCI	A	28,214	—	—	2,071,648 Direct	+1.38%	Acquired	(price as of 2026-08-21)
June 15, 2020	GECCI	A	4,447	—	—	235,147 Indirect	+1.93%	Acquired	(price as of 2026-08-21)
June 15, 2020	GECCI	A	26,939	—	—	2,043,434 Direct	+1.34%	Acquired	(price as of 2026-08-21)
May 15, 2020	GECCI	A	5,700	—	—	230,700 Indirect	+2.53%	Acquired	(price as of 2026-08-21)
May 15, 2020	GECCI	A	49,828	—	—	2,016,495 Direct	+2.53%	Acquired	(price as of 2026-08-21)

P = Open-market purchase · S = Sale · A = Grant/award · M = Option exercise · G = Gift · F = Tax withholding

Insider transactions are not a recommendation; sales are often driven by liquidity or tax reasons.

Derivative holdings (Form 4 Table II)

Options, RSUs and convertible securities reported on Form 4 Table II.

Date	Ticker	Security	Underlying	Exercise price	Expiration	Shares	A/D
Sept. 28, 2020	GECCI	Subscription Rights	Common Stock (151,894)	$2.95	Sept. 28, 2020	151,894	Disposed
Sept. 28, 2020	GECCI	Subscription Rights	Common Stock (2,103,194)	$2.95	Sept. 28, 2020	2,103,194	Disposed

Exercise/conversion price is blank when not applicable (e.g. RSUs).

Initial ownership (Form 3) 1 holding

Securities held when first becoming an insider, per SEC Form 3.

Date	Ticker	Security	Shares	Ownership
Sept. 11, 2018	GECCI	Common Stock	1,966,667	Direct