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. 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.