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SCHEDULE 13D/A Filed 2026-09-10 Event 2026-09-08 SEC 0001193125-26-387898 →

LONG BALL PARTNERS LLC Great Elm Group, Inc. GEGGL

Stake: 23.30% Shares: 5,918,746 CUSIP: 39036P209 Class: Common Stock, par value $0.001 per share

Item 4 — Purpose of Transaction

Item 4 is hereby supplemented as follows: As of the date of this Amendment, Long Ball is the holder of an aggregate principal amount of $8,755,560.00 of the Issuer's 5.0% Convertible Senior PIK Notes Due 2030 (the "PIK Notes"). The PIK Notes are convertible into Common Stock. On September 8, 2026, Long Ball entered into a letter agreement (the "Forbearance Agreement") with the Issuer, pursuant to which Long Ball irrevocably agreed to forbear from exercising its right to convert the PIK Notes (and any additional PIK Notes issued pursuant to the PIK Notes) into Common Stock until November 10, 2027 (the "Forbearance End Date"). The Forbearance End Date may be extended by Long Ball with the prior written consent of the Issuer. As of the date of this Amendment, if the Forbearance Agreement were not in place, the PIK Notes would be convertible into 2,521,617 shares of Common Stock. As a result of the Forbearance Agreement, the Common Stock issuable upon conversion of the PIK Notes will not be deemed to be beneficially owned by ICAM, Long Ball, ICGH2 or Jason Reese. The Forbearance Agreement may only be amended or terminated by a written amendment, fully executed and delivered by Long Ball with no less than 61 days' prior written notice to the Issuer. The Forbearance Agreement supplements the prior forbearance agreements Long Ball entered into with the Issuer dated June 16, 2023, October 25, 2024 and September 8, 2025. The foregoing description of the Forbearance Agreement is qualified in its entirety by reference to the Forbearance Agreement, which is filed as Exhibit 99.12 to this Amendment and is incorporated herein by reference.

Cross-References

Insider Activity (last 365d)
1 transaction
0 buys · 0 sales · 1 awards/exercises
Issuer Cluster
8 13D/G filings on this issuer
7 other filings besides this one
Filer Track Record
4 filings by this filer
3 other filings in the data moat
Short Interest · settle 2026-08-31
DTC 1.00
1,520 shares short · -47.4% vs prior

Form 4 Insider Transactions · last 365d

DateInsiderRoleTypeSharesPriceValue
2026-05-28 Reese Jason W. director, officer, 10%+ owner Gift 99,637

Other 13D/G Filings on Great Elm Group, Inc.

FiledFormFilerStakeShares
2026-07-14 SCHEDULE 13D/A Northern Right Capital Management, L.P. 5,425,180 view →
2025-02-07 SCHEDULE Northern Right Capital Management, L.P. 20.10% 5,918,677 view →
2025-01-21 SCHEDULE Northern Right Capital Management, L.P. 19.10% 5,886,170 view →
2023-06-20 SC Imperial Capital Asset Management, LLC view →
2023-01-11 SC Imperial Capital Group Holdings II, LLC view →
2022-12-27 SC LONG BALL PARTNERS LLC view →
2021-05-21 SC LONG BALL PARTNERS LLC view →

Other Filings by LONG BALL PARTNERS LLC

FiledFormIssuerStakeShares
2022-12-27 SC Great Elm Group, Inc. GEGGL view →
2021-05-21 SC Great Elm Group, Inc. GEGGL view →
2020-03-03 SC Great Elm Capital Group, Inc. view →

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