Welcome to our dedicated page for Great Elm Capital SEC filings (Ticker: GECCZ), 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.
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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 Group, Inc. filed a Form 4 reporting changes in beneficial ownership of Great Elm Capital Corp. (ticker: GECC) stock held directly by the reporting entity, which is identified as a Director. On 09/19/2025 Great Elm Group reported a disposition of 16,612 shares and, on 09/20/2025, a disposition of 63,189 shares. Both transactions are coded J(1) and show a price of $0, reflecting delivery of shares as compensation to employees upon vesting of awards. Share totals after each transaction are reported as 1,421,467 and 1,358,278 shares, respectively. The form is signed by an attorney-in-fact on 09/23/2025.
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 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.
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