Great Elm Capital Corp. — Director's Dealing 2020

Oct 1, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Great Elm Capital Corp. (GECC)
CIK: 0001675033
Period of Report: 2020-09-28

Reporting Person: Horsey Randall Revell (Director)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-09-28	Common Stock	X	10000	$2.95	Acquired	23091.9201	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-09-28	Subscription Rights	$2.95	X	10000	Disposed	2020-09-28	Common Stock (10000)	Direct

Footnotes

F1: On September 28, 2020, the Reporting Person exercised certain of his primary subscription rights (each 1 subscription right entitling him to purchase 1 share of Common Stock), which were issued to holders of Common Stock on the September 4, 2020 record date for the rights offering.