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. filed a Form D reporting a completed Regulation D equity offering of $15,028,500. The issuer, a Maryland corporation operating as a pooled investment/other investment fund, indicates it is registered as an investment company under the Investment Company Act of 1940. The offering relied on Rule 506(b) and was a new notice for a first sale on 2025-08-27. The filing shows $15,028,500 sold with $0 remaining, a minimum outside investment of $0, and that gross proceeds did not pay any named executives or directors. The filing discloses $450,855 in finders\' fees and reports one investor participated.
Great Elm Strategic Partnership I, LLC, a director-linked reporting person for Great Elm Capital Corp. (GECC), reported two insider sales: 25,711 shares sold on 08/25/2025 and 21,472 shares sold on 08/26/2025, each at $11.20 per share. Beneficial ownership after the 8/25 sale was 1,669,254 shares and after the 8/26 sale was 1,647,782 shares. The form is signed by an attorney-in-fact on behalf of the reporting person.
Great Elm Group, Inc. amended its Schedule 13D to report current beneficial ownership in Great Elm Capital Corp. (GECC) common stock. The filing states 1,438,079 shares are beneficially owned by the Reporting Person, representing approximately 11.1% of 12,977,634 shares outstanding. The outstanding share count reflects 11,568,378 shares reported in the issuer's June 30, 2025 quarterly report, 119,256 shares issued under an ATM facility since that filing, and 1,290,000 shares issued to Poor Richard LLC on August 27, 2025. The Reporting Person notes its directors and executive officers collectively hold 2,580,254 shares, or about 19.9%, of the outstanding common stock.
Great Elm Capital Corp. entered into a Stock Purchase Agreement with Poor Richard LLC, an affiliate of Booker Smith, for a private sale of new common shares. The purchaser bought 1,290,000 shares of common stock at $11.65 per share, providing the company with aggregate gross proceeds of $15,028,500. The shares were issued in a private placement relying on exemptions under Section 4(a)(2) and Rule 506(b) of Regulation D.
As part of the deal, Great Elm Capital agreed to file a registration statement to allow the resale of the purchaser’s securities from time to time, within one hundred and fifty days after the agreement date, and to include these securities in certain future registration statements. These registration rights end once the securities are either sold under an effective registration statement or Rule 144, become freely resalable under Rule 144 without restrictions, or are no longer outstanding.
Great Elm Strategic Partnership I, LLC reported insider sales of Great Elm Capital Corp. (GECC) common stock on August 21 and August 22, 2025. The filing shows a sale of 26,705 shares on 08/21/2025 and a sale of 17,956 shares on 08/22/2025, each at a price of $11.20 per share. Following the 08/21 sale the reporting person beneficially owned 1,712,921 shares, and after the 08/22 sale beneficial ownership was 1,694,965 shares. The reporting person is identified as a director of the issuer. The Form 4 was signed by Adam M. Kleinman, attorney-in-fact on 08/22/2025.
Great Elm Strategic Partnership I, LLC, identified as a Director and 10% owner of Great Elm Capital Corp. (GECC), reported two open-market sales of common stock at $11.20 per share. On 08/18/2025 it sold 363 shares, leaving 1,747,419 shares beneficially owned. On 08/20/2025 it sold 7,793 shares, leaving 1,739,626 shares beneficially owned. The Form 4 is signed by an attorney-in-fact.
Great Elm Capital Corp. amended its senior secured loan agreement with City National Bank to increase its senior secured revolving facility commitment to up to $50 million (subject to the loan agreement's borrowing base). The amendment permits the company to request an additional aggregate increase of up to $40 million (up to a $90 million revolver) at the lender's discretion.
The amendment resets the revolver maturity to the earlier of May 5, 2027 or May 31, 2026 if the company’s 5.875% notes due 2026 are not refinanced before that date. Interest will accrue either at SOFR plus 2.50% (or a base rate plus 1.50%) when a minimum deposit test is met, or at SOFR plus 3.50% (or a base rate plus 2.50%) when it is not met. The amendment also amends the financial covenant to require minimum net assets of not less than $80 million.
Form 4 highlights for Great Elm Capital Corp. (GECC)
On 11 July 2025, 10% owner Great Elm Strategic Partnership I, LLC filed a Form 4 reporting an open-market sale of GECC common stock.
- Shares sold: 38,793
- Sale price: $10.95 per share (as reported)
- Post-transaction ownership: 1,747,782 GECC shares held directly
No derivative security transactions were reported, and there were no additional acquisitions or dispositions disclosed in the filing.
The transaction represents a reduction of approximately 2.2% of the reporting person’s prior direct holdings, leaving the entity well above the 10% ownership threshold.
Great Elm Strategic Partnership I, LLC, a 10% owner of Great Elm Capital Corp. (GECC), filed a Form 4 reporting two open-market sales of the issuer’s common stock.
- 09 Jul 2025: 3,129 shares sold at $10.95.
- 10 Jul 2025: 8,661 shares sold at $10.95.
After these sales, the reporting person’s direct holding decreased from 1,798,365 shares to 1,786,575 shares.
The submission was signed by attorney-in-fact Adam M. Kleinman on 10 Jul 2025. No derivative transactions were reported, and no Rule 10b5-1 plan was indicated.