Welcome to our dedicated page for Great Elm Capital SEC filings (Ticker: GECC), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
This page compiles U.S. Securities and Exchange Commission filings for Great Elm Capital Corp. (GECC), an externally managed business development company. GECC files a range of documents with the SEC that describe its investment portfolio, capital structure, and material corporate events, providing a detailed regulatory record for investors and analysts.
Key filings include periodic reports such as Forms 10-K and 10-Q, which contain information on GECC’s total investments, portfolio composition across corporate credit, specialty finance, CLOs, and equity holdings, as well as disclosures on total investment income, net investment income, and net asset value per share. These reports also outline the company’s use of leverage, including outstanding senior notes and borrowings under its revolving credit facility with City National Bank.
GECC’s Form 8-K filings highlight significant developments. Recent 8-Ks describe underwritten offerings of 7.75% notes due 2030, the related supplemental indenture and covenants, amendments to the revolving credit facility that increase borrowing capacity and modify interest terms, private placements of common stock, and notices of redemption for the 8.75% notes due 2028. Other 8-Ks furnish earnings press releases and preliminary financial information, as well as detailed commentary on specific portfolio exposures such as the First Brands Group, LLC investments.
Investors researching GECC’s exchange-traded notes can review filings related to each series, including GECCO, GECCI, GECCH, and GECCG, to understand maturity dates, interest rates, redemption provisions, and listing status. A Form 25 filing by the Nasdaq Stock Market LLC addresses the removal from listing and/or registration of the 8.75% notes due 2028. With real-time updates from EDGAR and AI-powered summaries, this filings page helps users navigate complex documents, identify material changes in GECC’s financing and portfolio, and locate information on topics such as leverage, asset coverage, and note covenants.
Great Elm Capital Corp. is redeeming $20,000,000 aggregate principal amount of its 5.875% Notes due 2026 on March 31, 2026. Holders will receive 100% of principal, or $25.00 per Note, plus any accrued and unpaid interest through, but excluding, the redemption date.
Interest from December 31, 2025 to March 31, 2026 will be paid on March 31, 2026 to holders of record as of March 15, 2026, so the company does not expect additional accrued interest outstanding on the redemption date. After redemption, interest on the redeemed Notes will cease to accrue and holders’ remaining right will be payment of the redemption price upon surrender.
Great Elm Capital Corp. filed a shelf prospectus to register the resale of 1,290,000 shares of its common stock by selling stockholders, including shares issued to Poor Richard LLC in a private placement on
Great Elm Capital Corp. (GECC) reported an insider purchase by its CEO and President. On 11/07/2025, the executive bought 19,650 shares of common stock in an open‑market transaction coded “P.” The weighted average price was $7.64, with individual trades executed between $7.55 and $7.74. Following this transaction, the executive beneficially owns 142,400 shares, held directly.
The filing notes the price is a weighted average and the reporting person will provide full trade-by-trade details upon request.
Great Elm Capital Corp. filed its quarterly report for the period ended September 30, 2025. The filing lists a broad schedule of investments spanning first- and second‑lien secured loans, secured and unsecured bonds, CLO equity, private funds, common equity and warrants across multiple industries including chemicals, technology, consumer services, metals & mining, retail, transportation, insurance and restaurants.
Many debt positions reference floating benchmarks such as 1‑month, 3‑month, and 6‑month SOFR or Prime, often with stated spreads, interest rate floors and cash/PIK components, with maturities extending into 2031. GECC’s securities are listed on the Nasdaq Global Market, including common stock GECC and notes GECCO, GECCI, GECCH, and GECCG. As of October 29, 2025, 13,998,168 common shares were outstanding.
Great Elm Capital Corp. (GECC) furnished an earnings press release as Exhibit 99.1 in a Form 8-K filed under Item 2.02. The company states the press release, dated November 4, 2025, is being furnished and not deemed filed under the Exchange Act, and thus is not subject to Section 18 liabilities nor incorporated by reference except as specifically indicated.
The filing also lists GECC’s securities on the Nasdaq Global Market, including common stock (GECC) and publicly traded notes: 5.875% Notes due 2026 (GECCO), 8.50% Notes due 2029 (GECCI), 8.125% Notes due 2029 (GECCH), and 7.75% Notes due 2030 (GECCG).
Great Elm Group, Inc. reports beneficial ownership of 1,358,276 shares of Great Elm Capital Corp. common stock, representing approximately
The reporting person delivered 79,803 shares as employee compensation in connection with vesting events occurring between
Great Elm Capital Corp. filed a current report to share that it has furnished a press release with investors. The press release, attached as Exhibit 99.1, contains selected preliminary and unaudited financial information for the quarter ended September 30, 2025. Because the figures are preliminary and unaudited, they may change once the full quarterly reporting process is completed.
The company notes that the exhibit is being furnished rather than filed, which affects how it is treated under securities laws but still makes the information publicly available to the market.
Great Elm Capital Corp. reports that underwriters have fully exercised the over-allotment option for its 7.75% notes due 2030, purchasing an additional
Great Elm Capital Corp. submitted a Form 25 notice indicating its class of securities will be removed from listing and/or registration on the Nasdaq Stock Market LLC. The filing cites the applicable Exchange rules and confirms that Nasdaq and the issuer have followed the procedural requirements under 17 CFR 240.12d2-2 for striking the class of securities from listing; a related notice and Form 25 will satisfy 17 CFR 240.19d-1 where applicable. The document provides the issuer's address and a Commission File Number 333-212817 but does not include transaction, timing, or financial details.