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. 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.
Great Elm Capital Corp. (GECC) – Form 4 insider transaction summary
Great Elm Strategic Partnership I, LLC, which is both a 10% owner and board-level related entity, reported a series of open-market sales of GECC common stock between 11 June 2025 and 3 July 2025:
- 06/11/25: 2,642 shares sold at a weighted-average price of $11.20
- 06/12/25: 7,288 shares sold at a weighted-average price of $10.97
- 06/13/25: 2,714 shares sold at a weighted-average price of $11.00
- 07/02/25: 13,324 shares sold at $10.95
- 07/03/25: 11,021 shares sold at $10.95
The total disposition amounted to 36,989 shares, or roughly 2.0 % of the filer’s prior 1.85 million-share position. Following the transactions, the reporting person still holds 1,813,435 shares, maintaining its status as a significant shareholder. All transactions were coded “S” (open-market sale) and no derivative securities were involved.
While insider sales can sometimes signal caution, the magnitude here is modest relative to the remaining stake, and no accompanying narrative suggests a change in strategic outlook. Prices clustered tightly around the $11 level, indicating sales were executed near recent trading ranges rather than an opportunistic premium.