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.
Great Elm Capital Corp. filings document the regulatory record of a business development company that invests in debt and income-generating equity securities. Form 8-K reports disclose operating results, selected financial information, portfolio credit updates, distributions and material events affecting the company’s investment portfolio and capital structure.
The filing record also covers governance and securities matters, including definitive proxy statements for annual stockholder meetings, board and executive changes, common stock disclosures, exchange-listed notes, indenture-based note redemptions and securities offering activity. These filings describe GECC’s BDC status, externally managed structure, risk disclosures, shareholder voting matters and capital-structure changes.
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.
Great Elm Strategic Partnership I, LLC reported two insider sales of Great Elm Capital Corp. (GECCZ) common stock at $11.45 per share. On 09/18/2025 it sold 100 shares, leaving 1,626,744 shares beneficially owned; on 09/19/2025 it sold 14,737 shares, leaving 1,612,007 shares beneficially owned. Transactions were reported on a Form 4 signed by an attorney-in-fact.
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.