ADVFN Logo ADVFN

We could not find any results for:
Make sure your spelling is correct or try broadening your search.

Trending Now

Toplists

It looks like you aren't logged in.
Click the button below to log in and view your recent history.

Hot Features

Registration Strip Icon for default Register for Free to get streaming real-time quotes, interactive charts, live options flow, and more.

GEC Great Elm Capital Group Inc New

2.62
0.00 (0.00%)
Pre Market
Last Updated: 01:00:00
Delayed by 15 minutes
Name Symbol Market Type
Great Elm Capital Group Inc New NASDAQ:GEC NASDAQ Trust
  Price Change % Change Price Bid Price Offer Price High Price Low Price Open Price Traded Last Trade
  0.00 0.00% 2.62 2.58 3.50 0 01:00:00

Statement of Changes in Beneficial Ownership (4)

06/01/2021 9:15pm

Edgar (US Regulatory)


FORM 4 [ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5                       
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Reese Jason W.
2. Issuer Name and Ticker or Trading Symbol

Forest Investments, Inc. [ GEC ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

__X__ Director                    __X__ 10% Owner
_____ Officer (give title below)    _____ Other (specify below)
(Last)          (First)          (Middle)

C/O IMPERIAL CAPITAL ASSET MANAGEMENT, 10100 SANTA MONICA BLVD., SUITE 2400
3. Date of Earliest Transaction (MM/DD/YYYY)

1/5/2021
(Street)

LOS ANGELES, CA 90067
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

___ Form filed by One Reporting Person
_ X _ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common stock, par value $0.001 per share 1/5/2021  A  15909 A$0.00 89740 D (1) 
Common stock, par value $0.001 per share         2329312 I See Footnote (2)

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security3. Trans. Date3A. Deemed Execution Date, if any4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares

Explanation of Responses:
(1) Jason Reese was awarded 15,909 restricted shares that fully vested on the grant date, January 5, 2021.
(2) This Common Stock is held directly by Long Ball Partners, LLC ("Long Ball"). Mr. Reese is portfolio manager to Long Ball and is Chairman and Chief Executive Officer of Imperial Capital Asset Management, LLC ("ICAM"), which is the managing member of and investment manager to Long Ball. Each of Mr. Reese and ICAM disclaims beneficial ownership of the securities held by Long Ball except to the extent of that person's pecuniary interest therein. Each of Long Ball and ICAM disclaims beneficial ownership of the securities held by Mr. Reese.

Remarks:
Mr. Reese is a director and Executive Co-Chairman of the Issuer.
The Reporting Persons are jointly filing this Form 4.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
Reese Jason W.
C/O IMPERIAL CAPITAL ASSET MANAGEMENT
10100 SANTA MONICA BLVD., SUITE 2400
LOS ANGELES, CA 90067
XX

Imperial Capital Asset Management, LLC
10100 SANTA MONICA BLVD., SUITE 2400
LOS ANGELES, CA 90067

X

LONG BALL PARTNERS LLC
C/O IMPERIAL CAPITAL ASSET MANAGEMENT
10100 SANTA MONICA BLVD., SUITE 2400
LOS ANGELES, CA 90067

X


Signatures
Long Ball Partners, LLC, By: Imperial Capital Asset Management, LLC, its Managing Member, By: /s/ Jason Reese, Chairman & CEO1/6/2021
**Signature of Reporting PersonDate

Imperial Capital Asset Management, LLC, By: /s/ Jason Reese, Chairman & CEO1/6/2021
**Signature of Reporting PersonDate

Jason Reese, /s/ Jason Reese1/6/2021
**Signature of Reporting PersonDate

1 Year Great Elm Capital Chart

1 Year Great Elm Capital Chart

1 Month Great Elm Capital Chart

1 Month Great Elm Capital Chart

Your Recent History

Delayed Upgrade Clock