IMPERIAL CAPITAL ASSET MANAGEMENT, LLC enters GREAT ELM GROUP, INC. with 5.92M shares plus derivative instruments
Holding both equity and derivatives at entry signals strong long-term conviction in the company.
Indirect Derivatives
Filed: 12/10/2024ACC: 0000950170-24-135084
10% Owner
Since Mar 2026
5.92M
Baseline shares
0.00
Direct ownership
0 positions
2.28M
Derivative underlying
1 instrument
1
Security positions
5.92M indirect
Non-Derivative Holdings1
Common stock, par value $0.001 per share ("Common Stock")
IndirectShares owned5.92M
Total
5.92M indirect5.92M
| Security Title | Shares Owned | Ownership Type |
|---|---|---|
| Common stock, par value $0.001 per share ("Common Stock") | 5.92M | Indirect |
| Total | 5.92M | 5.92M indirect |
Derivative Holdings1
5.0% Convertible Senior PIK Note due 2030
IndirectUnderlying security
Common Stock
Underlying shares
2.28M
Shares owned
N/A
Exercise price
3.4722
Expiration
—
Exercise window
—
Total
Underlying
2.28M
Owned
0.00
| Security | Underlying | Exercise Price | Exercise Window | Expiration | Underlying Shares | Shares Owned |
|---|---|---|---|---|---|---|
| 5.0% Convertible Senior PIK Note due 2030 Indirect | Common Stock | 3.4722 | — | — | 2.28M | N/A |
| Total | 2.28M | 0.00 | ||||