SEC Form 4 · accession 0000899243-18-029554
Great Elm Capital Corp. · GECC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Randall Revell Horsey
Director
Period of report
Nov 19, 2018
Accepted (ET)
Nov 21, 2018 · 4:21 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001675033
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Nov 19, 2018 | P | 1,000 | $8.10 | A | 2,000 | D | |
| Common StockF1 | Nov 20, 2018 | P | 2,000 | $8.08 | A | 4,000 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.05 to $8.10, inclusive. The reporting person undertakes to provide to Great Elm Capital Corp. ("GECC"), any security holder of GECC, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within this range.