Great Elm Group, Inc. 10-Q

Item 5. Other Information. During the quarter ended December 31, 2023, no director or officer (as defined in Rule 16a-1(f) promulgated under the Exchange Act) of GEG adopted or terminated a "Rule 10b5-1 trading arrangement" or a "non-Rule 10b5-1 trading arrangement" (as each term is defined in Item 408 of Regulation S-K). 25 Item 6. E xhibits. EXHIBIT INDEX All references are to filings by Great Elm Group, Inc. (the registrant ) with the SEC under File No. 001-39832. Exhibit Number Description 3.1 Certificate of Incorporation of Great Elm Group, Inc., dated October 23, 2020 (incorporated by reference to Exhibit 3.1 to the Form 8-K filed on December 29, 2020) 3.2 Amended and Restated Bylaws of Great Elm Group, Inc., dated November 14, 2022 (incorporated by reference to Exhibit 3.1 to the Form 8-K filed on November 14, 2022) 31.1* Certification of Chief Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 31.2* Certification of Chief Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 32.1* Certification of Chief Executive Officer and Chief Financial Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 101 Materials from the registrant’s Quarterly Report on Form 10-Q for the quarter ended December 31, 2023, formatted in inline Extensible Business Reporting Language (XBRL): (i) Condensed Consolidated Balance Sheets, (ii) Condensed Consolidated Statements of Operations, (iii) Condensed Consolidated Statements of Stockholders’ Equity and Contingently Redeemable Non-Controlling Interest, (iv) Condensed Consolidated Statements of Cash Flows, and (v) related Notes to the Condensed Consolidated Financial Statements, tagged in detail (furnished herewith). 104 The cover page from the registrant’s Quarterly Report on Form 10-Q for the quarter ended December 31, 2023, formatted in inline XBRL (included as Exhibit 101). *Filed or furnished herewith. 26 SIGNAT URES Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized. GREAT ELM GROUP, INC. Date: February 13, 2024 /s/ Jason W. Reese Jason W. Reese Chief Executive Officer & Chairman Date: February 13, 2024 /s/ Keri A. Davis Keri A. Davis Chief Financial Officer & Chief Accounting Officer 27