Great Elm Capital Corp SEC Filings

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 9.7% of 13,998,168 shares outstanding. The outstanding share count includes 1,139,790 shares issued under an at-the-market facility and 1,290,000 shares issued to Poor Richard LLC. Directors and executive officers of the reporting person beneficially own an additional 1,021,099 shares (about 7.9%).

The reporting person delivered 79,803 shares as employee compensation in connection with vesting events occurring between September 19, 2025 and September 23, 2025. All previously filed Schedule 13D information remains in effect except as amended by this statement.

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.

Great Elm Capital Corp. (GECC) insider filing shows Great Elm Strategic Partnership I, LLC, listed as a director and 10% owner, reported two open-market sales of common stock on 09/25/2025 and 09/26/2025 at $11.45 per share. The first sale was 1,696 shares and the second 2,313 shares, totaling 4,009 shares sold. After these transactions the reporting person’s beneficial ownership is reported as 1,558,260 shares.

Keri Davis, CFO of Great Elm Capital Management (the external manager of Great Elm Capital Corp.), reported changes in her beneficial ownership of GECC common stock. On 09/19/2025 she received an equity award of 3,820 shares as compensation for her role at the manager, with 955 shares vesting immediately and the remainder vesting in equal annual installments through 09/20/2028. Also on 09/19/2025 she received 1,406 shares from a stock dividend related to prior vested awards. On 09/23/2025 there was a net share settlement disposing of 2,725 shares at a price of $11.43, leaving her with 21,893 shares beneficially owned following the reported transactions.

Adam M. Kleinman, Chief Compliance Officer and Secretary of Great Elm Capital Corp. (GECC), reported changes in his beneficial ownership on Form 4. On September 19, 2025 he received an exempt grant of 5,458 shares of common stock as equity compensation, of which 1,365 vested immediately and the remainder vests in equal annual installments through September 20, 2028, subject to continued service. Also on September 19 he received 156 shares in connection with a stock dividend tied to prior vested awards. On September 23, 2025 he disposed of 1,361 shares through net share settlement related to vesting at a reported price of $11.43, leaving him with 44,597 shares following the transactions.