Results of Operations and Financial Condition. On November 4, 2026, Great Elm Group, Inc. issued the press release furnished as Exhibit 99.1 to this report. The foregoing information (including the Exhibit 99.1 hereto) is being furnished and shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities of that section, nor shall such information be deemed incorporated by reference in any…

Director — Eric Scheyer: A director chose not to stand for re-election at the annual meeting, which is a standard, non-adverse board turnover event.

Results of Operations and Financial Condition. On August 26, 2026, Great Elm Group, Inc. issued the press release furnished as Exhibit 99.1 to this report. The foregoing information (including the Exhibit 99.1 hereto) is being furnished and shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities of that section, nor shall such information be deemed incorporated by reference in any f…

Results of Operations and Financial Condition. On May 6, 2026, Great Elm Group, Inc. issued the press release furnished as Exhibit 99.1 to this report. The foregoing information (including the Exhibit 99.1 hereto) is being furnished and shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities of that section, nor shall such information be deemed incorporated by reference in any filin…

Results of Operations and Financial Condition. On February 4, 2026, Great Elm Group, Inc. issued the press release furnished as Exhibit 99.1 to this report. The foregoing information (including the Exhibit 99.1 hereto) is being furnished and shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities of that section, nor shall such information be deemed incorporated by reference in any…

The filing is about the approval of a compensation plan, not a management change.

Results of Operations and Financial Condition. On November 12, 2025, Great Elm Group, Inc. issued the press release furnished as Exhibit 99.1 to this report. The foregoing information (including the Exhibit 99.1 hereto) is being furnished and shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities of that section, nor shall such information be deemed incorporated by reference in any…

Director — James H. Hugar: Mr. Hugar is retiring and not standing for re-election at the annual meeting.

Results of Operations and Financial Condition. On September 2, 2025, Great Elm Group, Inc. issued the press release furnished as Exhibit 99.1 to this report. The foregoing information (including the Exhibit 99.1 hereto) is being furnished and shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities of that section, nor shall such information be deemed incorporated by reference in any…

Unregistered Sales of Equity Securities. The information set forth in

Director — Booker Smith: Appointment of Booker Smith as a new director.

Entry into a Material Definitive Agreement. Securities Purchase Agreement On August 27, 2025, Great Elm Group, Inc. (the “Company”) entered into a Securities Purchase Agreement (the “Securities Purchase Agreement”) with Woodstead Value Fund, L.P., a Texas limited partnership ( the “Purchaser”), pursuant to which the Purchaser purchased, and the Company issued, 4,000,000 shares (the “Shares”) of the Company’s common stock, par value $0.001 per share (the “Common Stock”), at a 20-day volume-wei…

Entry into a Material Definitive Agreement. Stock Purchase Agreement On July 31, 2025, Great Elm Group, Inc. (the “Company”) entered into a Stock Purchase Agreement (the “Stock Purchase Agreement”) with certain funds affiliated with Kennedy Lewis Investment Management LLC (“KLIM”), a Delaware limited liability company (such funds, the “Purchasers”), pursuant to which the Purchasers purchased, and the Company issued, 1,353,885 shares (the “Shares”) of the Company’s common stock, par value $0.0…

Director — Lloyd Nathan: Mr. Lloyd Nathan was elected as a director with extensive real estate and construction expertise.

Results of Operations and Financial Condition. On July 31, 2025, the Company posted its presentation for investors and interested parties to its website, which included selected preliminary and unaudited financial results for the Company. A copy of the presentation is furnished as Exhibit 99.2 and incorporated herein by reference. The information included under

Unregistered Sales of Equity Securities. The information set forth in

Results of Operations and Financial Condition. On May 7, 2025, Great Elm Group, Inc. issued the press release furnished as Exhibit 99.1 to this report. The foregoing information (including the Exhibit 99.1 hereto) is being furnished and shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities of that section, nor shall such information be deemed incorporated by reference in any filin…

Results of Operations and Financial Condition. On February 5, 2025, Great Elm Group, Inc. issued the press release furnished as Exhibit 99.1 to this report. The foregoing information (including the Exhibit 99.1 hereto) is being furnished and shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities of that section, nor shall such information be deemed incorporated by reference in any…

Results of Operations and Financial Condition. On November 11, 2024, Great Elm Group, Inc. issued the press release furnished as Exhibit 99.1 to this report. The foregoing information (including the Exhibit 99.1 hereto) is being furnished and shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities of that section, nor shall such information be deemed incorporated by reference in any…

Entry into a Material Definitive Agreement. On October 29, 2024, Great Elm Group, Inc. (“GEG”) and Jason Reese, Chairman and Chief Executive Officer of GEG, entered into a voting waiver agreement (the “Voting Waiver Agreement”), pursuant to which Mr. Reese waived all voting rights associated with all outstanding shares (whether vested or unvested) of GEG’s common stock, par value $0.001 per share, for voting purposes that have been granted or awarded, and all future shares of GEG that may be…

Changes in Registrant’s Certifying Accountant. On September 11, 2024, the Audit Committee of Great Elm Group, Inc.’s (“GEG”) Board of Directors dismissed Grant Thornton LLP (“Grant Thornton”) as GEG’s independent registered public accounting firm, effective September 11, 2024. On September 11, 2024, the Audit Committee also approved the appointment of Deloitte & Touche LLP (“Deloitte”) as GEG’s independent registered public accounting firm to perform independent audit services for the fiscal…

Results of Operations and Financial Condition. On August 29, 2024, Great Elm Group, Inc. issued the press release furnished as Exhibit 99.1 to this report. The foregoing information (including the Exhibit 99.1 hereto) is being furnished and shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities of that section, nor shall such information be deemed incorporated by reference in any f…

Results of Operations and Financial Condition. On May 8, 2024, Great Elm Group, Inc. issued the press release furnished as Exhibit 99.1 to this report. The foregoing information (including the Exhibit 99.1 hereto) is being furnished and shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities of that section, nor shall such information be deemed incorporated by reference in any filin…

Results of Operations and Financial Condition. On February 13, 2024, Great Elm Group, Inc. issued the press release furnished as Exhibit 99.1 to this report. The foregoing information (including the Exhibit 99.1 hereto) is being furnished and shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities of that section, nor shall such information be deemed incorporated by reference in any…

Results of Operations and Financial Condition. On November 8, 2023, Great Elm Group, Inc. issued the press release furnished as Exhibit 99.1 to this report. The foregoing information (including the Exhibit 99.1 hereto) is being furnished and shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities of that section, nor shall such information be deemed incorporated by reference in any…