Great Elm Capital Corp. — Director's Dealing 2021

Sep 28, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Great Elm Capital Corp. (GECC)
CIK: 0001675033
Period of Report: 2021-09-24

Reporting Person: Kleinman Adam M (N/A)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-09-24	Common Stock	J	79411	—	Acquired	158907.4271	Direct

Footnotes

F1: Adam M. Kleinman is the President & Chief Operating Officer of Great Elm Group, Inc. ("GEG"). Mr. Kleinman received an award of 79,411 shares of common stock of Great Elm Capital Corp. that were owned by GEG, as compensation for his position at GEG. 19,853 of the shares vested on the grant date, September 24, 2021, and the remainder will vest in equal annual installments on each anniversary of the grant date until September 24, 2024, subject to continued service with GEG.