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GEG Great Elm

Filed: 28 May 21, 4:30pm

 

 

 

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

 

FORM 8-K

 

CURRENT REPORT

Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

Date of Report (Date of earliest event reported): May 28, 2021

 

Great Elm Group, Inc.

(Exact name of Registrant as Specified in Its Charter)

 

 

Delaware

001-39832

85-3622015

(State or Other Jurisdiction

of Incorporation)

(Commission File Number)

(IRS Employer

Identification No.)

 

 

 

800 South Street, Suite 230, Waltham, MA

 

02453

(Address of Principal Executive Offices)

 

(Zip Code)

Registrant’s Telephone Number, Including Area Code: (617) 375-3006

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:

Title of each class

Trading Symbol(s)

Name of each exchange on which registered

Common stock, par value $0.001 per share

GEG

The Nasdaq Stock Market LLC
(Nasdaq Global Select Market)

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§ 230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§ 240.12b-2 of this chapter).

Emerging growth company 

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. 

 

 

 


 


 

 

Item 5.07 Submission of Matters to a Vote of Security Holders.

 

On May 28, 2021, Great Elm Group, Inc. (the “Corporation”) held the 2021 annual meeting of its stockholders (“Annual Meeting”).  The results of the voting at the Annual Meeting were as follows:

 

 

For

Against

Abstain

Election of directors:

 

 

 

Thomas S. Harbin III

12,078,523

5,239,008

86,463

James H. Hugar

13,324,877

3,992,872

86,245

Peter A. Reed

11,926,276

5,391,556

86,162

Jason W. Reese

12,068,875

5,248,924

86,195

Eric J. Scheyer

13,325,005

3,992,787

86,202

Jeffrey S. Serota

12,996,010

4,321,736

86,248

Matthew A. Drapkin

11,379,209

5,938,537

86,248

James P. Parmelee

 

11,140,559

6,177,217

86,218

Ratification of the selection of Grant Thornton LLP to serve as the Corporation’s independent registered public accounting firm for the fiscal year ending June 30, 2021

23,497,449

414,897

1,665

Approval, on a non-binding advisory basis, of the compensation of the Corporation’s named executive officers

10,419,755

6,291,503

692,736

 

 

 

 

 

 

 


 

 

SIGNATURES

 

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 hereunto duly authorized.

 

 

 

 

GREAT ELM GROUP, INC.

 

 

 

 

Date:  May 28, 2021

 

_/s/ Brent J. Pearson______

 

 

By:  Brent J. Pearson

 

 

Title:  Chief Financial Officer