Other Information.
−Removed: During the quarter ended March 31, 2025 , 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).
+Added: During the quarter ended September 30, 2025 , 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).
EXHIBIT INDEX
2 unchanged sentences
Number Description
−Removed: 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)
−Removed: 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)
+Added: Certificate of Incorporation of the Registrant, dated October 23, 2020 (incorporated by reference to Exhibit 3.1 to the Form 8-K filed on December 29, 2020)
+Added: Amended and Restated Bylaws of the Registrant, dated November 14, 2022 (incorporated by reference to Exhibit 3.1 to the Form 8-K filed on November 14, 2022)
+Added: Stock Purchase Agreement, dated July 31, 2025, by and among the Registrant and the purchasers named therein (incorporated by reference to the Exhibit 10.22 to the Form 10-K filed on September 2, 2025)
+Added: Profits Interest Agreement, dated July 31, 2025, by and among Great Elm Real Estate Ventures, LLC, the Registrant and the entities named therein (incorporated by reference to the Exhibit 10.23 to the Form 10-K filed on September 2, 2025)
+Added: Securities Purchase Agreement, dated August 27, 2025, between the Registrant and Woodstead Value Fund, L.P.
+Added: (incorporated by reference to the Exhibit 10.24 to the Form 10-K filed on September 2, 2025)
+Added: Series A Warrant Agreement, dated August 27, 2025, between the Registrant and Woodstead Value Fund, L.P.
+Added: (incorporated by reference to the Exhibit 10.25 to the Form 10-K filed on September 2, 2025)
+Added: Series B Warrant Agreement, dated August 27, 2025, between the Registrant and Woodstead Value Fund, L.P.
+Added: (incorporated by reference to the Exhibit 10.26 to the Form 10-K filed on September 2, 2025)
Certification of Chief Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002
2 unchanged sentences
Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002
−Removed: Materials from the registrant’s Quarterly Report on Form 10-Q for the quarter ended March 31, 2025, formatted in inline Extensible Business Reporting Language (XBRL):
+Added: Materials from the registrant’s Quarterly Report on Form 10-Q for the quarter ended September 30, 2025, 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, (iv) Condensed Consolidated Statements of Cash Flows, and (v) related Notes to the Condensed Consolidated Financial Statements, tagged in detail (furnished herewith).
−Removed: The cover page from the registrant’s Quarterly Report on Form 10-Q for the quarter ended March 31, 2025, formatted in inline XBRL (included as Exhibit 101).
+Added: The cover page from the registrant’s Quarterly Report on Form 10-Q for the quarter ended September 30, 2025, formatted in inline XBRL (included as Exhibit 101).
*Filed or furnished herewith.
1 unchanged sentence
GREAT ELM GROUP, INC.
+Added: November 12, 2025
Chief Executive Officer & Chairman
+Added: November 12, 2025
Chief Financial Officer & Chief Accounting Officer
Compared sentence by sentence after normalising whitespace, quotation marks, case and digits, so re-formatting and restated figures do not read as changed language. Wording changes appear as one removal and one addition. The current filing and the prior one are authoritative.