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. (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. 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 $7,500,000 aggregate principal amount of notes. This follows the previously disclosed base offering of $50,000,000 of the same notes under an Underwriting Agreement with Lucid Capital Markets, LLC as representative of the underwriters. The additional notes generated approximately $7.3 million in net proceeds to the company. The over-allotment exercise occurred on October 1, 2025, and the closing of these additional notes took place on October 2, 2025.
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.
Matthew D. Kaplan, President and CEO of Great Elm Capital Corp. (GECC / GECCZ), reported equity awards and a net share settlement tied to restricted stock vesting. On 09/19/2025 he was granted 37,117 shares as compensation, of which 9,280 vested immediately and the remainder vests in equal annual installments through 09/20/2028 subject to continued service. Also on 09/19/2025 he received 1,055 shares from a stock dividend related to prior awards. On 09/23/2025 a net share settlement disposed of 8,211 shares at $11.43 per share. Following these transactions he beneficially owned 122,750 shares.
Great Elm Capital Corp. reporting person Great Elm Strategic Partnership I, LLC disclosed insider sales of Common Stock on 09/22/2025 and 09/23/2025. A total of 49,738 shares were sold at $11.45 per share (48,248 on 09/22 and 1,490 on 09/23). After these disposals the reporting person beneficially owned 1,562,269 shares. The Form 4 was signed by an attorney-in-fact on 09/23/2025. The filing indicates the reporting person is a director and the transaction was filed by one reporting person.