SEC Form 4 · accession 0000950103-26-014391
Great Elm Capital Corp. · GECC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Adam M Kleinman
Officer — CCO and Secretary
Period of report
Sep 21, 2026
Accepted (ET)
Sep 23, 2026 · 4:27 pm EDT
Rule 10b5-1 plan
box not checked
Issuer CIK
0001675033
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Sep 21, 2026 | A | 15,292 | $0.00 | A | 59,889 | D | |
| Common Stock | Sep 21, 2026 | A | 791 | $0.00 | A | 60,680 | D | |
| Common Stock | Sep 21, 2026 | F | 3,451 | $5.37 | D | 57,229 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Mr. Kleinman is the Chief Compliance Officer and Secretary of Great Elm Capital Corp. ("GECC"). Mr. Kleinman received the exempt grant of an award of 15,292 shares of common stock of GECC as equity compensation for his position at GECC, 3,823 of which vested on the grant date, September 21, 2026, and the remainder of which will vest in equal annual installments on September 20th of each year until September 20, 2029, subject to continued service with GECM.
- F2Represents the exempt acquisition of shares of common stock of GECC as a result of a stock dividend associated with the portion of the equity compensation awarded to Mr. Kleinman in previous years that vested on the anniversary of those grant dates.
- F3Reflects the net share settlement of awards of restricted stock in connection with vesting thereof that is exempt pursuant to Rule 16b-3.