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 Strategic Partnership I, LLC reported a sale of 20,938 shares of Great Elm Capital Corp. (ticker GECCZ) on 09/15/2025 at a price of $11.45 per share. After the transaction the reporting entity beneficially owned 1,626,844 shares. The filing identifies the reporting person as a director and was signed by an attorney-in-fact on 09/17/2025. No derivative transactions or additional explanations were provided in the form.
Great Elm Capital Corp. issued $50,000,000 aggregate principal amount of 7.75% notes due 2030, with up to an additional $7,500,000 available through an underwriters’ over-allotment option that expires on October 4, 2025. The notes are unsecured, bear interest at 7.75% per year, pay quarterly starting December 31, 2025, and are callable at par on or after December 31, 2027. The company received approximately $48.1 million in net proceeds at closing, or about $55.4 million if the over-allotment is fully exercised, and expects to use these funds primarily to redeem its outstanding 8.75% notes due 2028 and potentially to redeem or repurchase other existing notes, repay borrowings under its credit facility, or for general corporate purposes.
Great Elm Capital Corp. entered an underwriting agreement with Great Elm Capital Management and a group of underwriters led by Lucid Capital Markets for the offering and sale of $50,000,000 aggregate principal amount of 7.75% notes due 2030, with an additional $7,500,000 available through an underwriters’ over-allotment option that expires on October 4, 2025. The notes are expected to be listed on the Nasdaq Global Market under the symbol GECCG, and the offering is expected to close on September 11, 2025.
The notes are being issued under Great Elm’s effective shelf registration statement on Form N-2 and related prospectus supplements dated September 4, 2025. The underwriting agreement includes customary representations, warranties, closing conditions, indemnification provisions and termination rights for the company and the underwriters.
Great Elm Capital Corp. filed a prospectus supplement for a $50,000,000 offering of 7.75% notes due 2030, to be issued at 100% and expected to be delivered in book-entry form on or about September 11, 2025. Interest accrues from September 11, 2025 and is payable quarterly. The company increased its senior secured revolving credit facility commitment to up to $50 million (with a discretionary bank option to raise availability to $90 million). The Board set a quarterly cash distribution of $0.37 per share, payable from distributable earnings. The prospectus discloses portfolio leverage and concentration metrics, including TOTAL INVESTMENTS of 287.98% of net assets and Short-Term Investments of 48.71% of net assets, and states the Notes will be unsecured and structurally subordinated, with limited indenture protections. Use of proceeds includes redeeming existing notes, repaying borrowings under the Loan Agreement, and general corporate purposes.
Prospectus supplement for $50,000,000 of notes (\$25.00 per Note) being offered by Great Elm Capital Corporation (GECC). The offering lists Lucid Capital Markets, Piper Sandler, Clear Street, InspereX and Janney Montgomery Scott as underwriters and includes an over-allotment option increasing the size to \$57,500,000 if exercised. GECC is described as a closed-end, externally managed, non-diversified management investment company that has elected to be regulated as a BDC and for tax purposes as a RIC. The supplement highlights key terms: interest payment conventions, no sinking fund for the Notes, potential restrictions on transfers during redemption periods, and possible defeasance or covenant defeasance features. Portfolio detail and balances as of June 30, 2025 are reported in the supplement and the document states that 27.47% of the Company’s total assets were non-qualifying assets as of period end. The supplement incorporates by reference GECC’s SEC filings including its Form 10-K and subsequent quarterly reports.
Great Elm Capital Corp. is issuing $50 million of new 7.75% notes maturing on December 31, 2030. After underwriting discounts and estimated expenses, the company expects net proceeds of about $48.1 million. The notes can be redeemed at the company’s option on or after December 31, 2027, and underwriters have a 30-day option to buy up to an additional $7.5 million of notes.
The notes are expected to list on the Nasdaq Global Market under the symbol GECCG and begin trading within 30 days of the original issue date. Great Elm plans to use the proceeds primarily to redeem its outstanding 8.75% notes due 2028, with any remaining funds potentially used to redeem or repurchase other outstanding notes, repay borrowings under its revolving credit facility, or for general corporate purposes, including new investments.
Great Elm Capital Corp. has begun an underwritten public offering of unsecured notes due 2030. The notes are expected to list on the Nasdaq Global Market under the symbol GECCG and begin trading there within 30 days from the original issue date.
The company expects to use most of the net proceeds to redeem all of its outstanding 8.75% notes due 2028. Any remaining proceeds may be used to redeem or repurchase its 5.875% notes due 2026, 8.50% notes due 2029, or 8.125% notes due 2029, to repay borrowings under its revolving credit facility, or for general corporate purposes, including new investments consistent with its strategy as a business development company.
Poor Richard LLC and its managing member, Booker Smith, report beneficial ownership of 1,290,000 shares of Great Elm Capital Corp. common stock, representing 9.9% of the outstanding shares based on 12,977,834 shares outstanding as of August 27, 2025. The filing states the shares are held with shared voting and dispositive power and that the investors file as passive holders under Schedule 13G. The parties certify the stake was not acquired to change or influence control of the issuer and executed a joint filing agreement dated September 4, 2025.
Great Elm Capital Corp. has filed a prospectus supplement for debt securities describing the Notes, related indenture provisions and key risks. The company is a closed-end, externally managed, non-diversified management investment company that has elected BDC regulation and elected RIC tax treatment beginning with the tax year starting October 1, 2016. The supplement references risk factors (beginning on page S-11), limits on asset coverage and structural/effective subordination of creditors. As of June 30, 2025 the document shows "Actual" total assets of $403,259 (thousands) and consolidated figures summing to $421,774. The portfolio table discloses individual investments, interest rates tied to SOFR or PRIME, maturity dates and a 27.47% non-qualifying assets disclosure. The prospectus incorporates prior SEC filings by reference and notes distributions may include return of capital.
Great Elm Capital Corp. filed a Current Report disclosing notices related to its 8.75% Notes due 2028. The filing includes a Notice of Redemption and a Conditional Notice of Redemption referencing numeric values 99.2 and 104 respectively, the cover page formatted as inline XBRL, and identifies Keri A. Davis as Chief Financial Officer. The document lists several regulatory communication checkboxes and contains limited substantive detail beyond the redemption notices and administrative information.