Imperial Capital Asset Management, LLC — SEC Form 4 filings
SEC reporting owner CIK 1805378. 7 Form 4 filings on record with FilingPulse; latest filed 2024-09-24.
Transaction summary — filings shown
Covers all 7 filings on record, filed 2024-02-21 to 2024-09-24. Counts and totals are arithmetic on values as filed — descriptive data, not a recommendation.
- Open-market purchases (code P, non-derivative): 16 legs across 6 filings — 232,833 shares, $441,504 total (shares × price as filed).
- Open-market sales (code S, non-derivative): none reported.
- Other reported legs (grants, option exercises, tax withholding, gifts, derivative-security transactions, …): 1.
- Largest priced transaction: purchase of 120,000 shares @ $1.92 ($230,400) in Great Elm Group, Inc., filed 2024-02-29.
By issuer — same filings
Open-market purchase/sale legs on non-derivative securities, grouped by issuer. Role is as filed on the newest filing for that issuer. Dollar totals cover priced legs only (shares × price as filed). Ordered by priced transaction value, largest first.
| Issuer | Role (as filed) | Filings | Purchases (P) | Sales (S) | Other legs |
|---|---|---|---|---|---|
| Great Elm Group, Inc. (GEG) | 10% owner | 7 | 16 legs · 232,833 sh · $441,504 | — | 1 |
Form 4 filings — Imperial Capital Asset Management, LLC
| Filed | Form | Issuer | Reported transactions | Source |
|---|---|---|---|---|
| 2024-09-24 | 4 | Great Elm Group, Inc. (GEG) jointly with Reese Jason W., LONG BALL PARTNERS LLC, Imperial Capital Group Holdings II, LLC | Grant/award (A): 130,208 @ $0 | EDGAR |
| 2024-05-23 | 4 | Great Elm Group, Inc. (GEG) jointly with Reese Jason W., LONG BALL PARTNERS LLC, Imperial Capital Group Holdings II, LLC | Purchase (P): 24,984 @ $1.77 · Purchase (P): 20,001 @ $1.76 · Purchase (P): 5,015 @ $1.75 | EDGAR |
| 2024-03-18 | 4 | Great Elm Group, Inc. (GEG) jointly with Reese Jason W., LONG BALL PARTNERS LLC, Imperial Capital Group Holdings II, LLC | Purchase (P): 3,254 @ $1.98 · Purchase (P): 7,843 @ $2 | EDGAR |
| 2024-03-13 | 4 | Great Elm Group, Inc. (GEG) jointly with Reese Jason W., LONG BALL PARTNERS LLC, Imperial Capital Group Holdings II, LLC | Purchase (P): 806 @ $1.90 · Purchase (P): 2,500 @ $1.90 · Purchase (P): 16,200 @ $1.94 | EDGAR |
| 2024-03-07 | 4 | Great Elm Group, Inc. (GEG) jointly with Reese Jason W., LONG BALL PARTNERS LLC, Imperial Capital Group Holdings II, LLC | Purchase (P): 5,137 @ $1.93 · Purchase (P): 4,389 @ $1.96 · Purchase (P): 5,081 @ $1.96 | EDGAR |
| 2024-02-29 | 4 | Great Elm Group, Inc. (GEG) jointly with Reese Jason W., LONG BALL PARTNERS LLC, Imperial Capital Group Holdings II, LLC | Purchase (P): 120,000 @ $1.92 · Purchase (P): 4,090 @ $1.99 | EDGAR |
| 2024-02-21 | 4 | Great Elm Group, Inc. (GEG) jointly with Reese Jason W., LONG BALL PARTNERS LLC, Imperial Capital Group Holdings II, LLC | Purchase (P): 4,237 @ $1.92 · Purchase (P): 6,307 @ $1.98 · Purchase (P): 2,989 @ $1.95 | EDGAR |
FilingPulse's Form 4 archive currently extends back to 2024-01-11 and is expanding backward through EDGAR history — earlier filings by this insider may not be indexed yet. Names and roles are shown as filed.
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