AI assistant
Great Elm Capital Corp. — Director's Dealing 2021
Jan 26, 2021
33959_dirs_2021-01-26_d87332f4-c7bb-4307-817d-4c0b6052373a.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Great Elm Capital Corp. (GECC)
CIK: 0001675033
Period of Report: 2021-01-21
Reporting Person: Great Elm Group, Inc. (10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-01-21 | Common Stock | J | 125334 | $0.00 | Acquired | 5550978 | Direct |
| 2021-01-21 | Common Stock | J | 9913 | $0.00 | Acquired | 439063 | Indirect |
Footnotes
F1: Shares acquired as a result of a stock dividend.
F2: Represents shares of common stock held directly by Great Elm Opportunities Fund I, LP, a Delaware limited partnership ("GEOF"). As the general partner of GEOF, Great Elm Opportunities GP, Inc., a Delaware corporation ("GEOF GP") and a wholly-owned subsidiary of Great Elm Group, Inc. ("GEG") may be deemed to be the beneficial owner of the shares of common stock held by GEOF. As the parent of GEOF GP, GEG may be deemed to be the beneficial owner of the shares of common stock beneficially owned (or deemed beneficially owned) by GEOF GP.