SEC Form 4 · accession 0000950103-26-014393
Great Elm Capital Corp. · GECC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Keri Davis
Officer — CFO
Period of report
Sep 21, 2026
Accepted (ET)
Sep 23, 2026 · 4:30 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 | 7,646 | $0.00 | A | 29,539 | D | |
| Common Stock | Sep 21, 2026 | A | 1,372 | $0.00 | A | 30,911 | D | |
| Common Stock | Sep 21, 2026 | F | 2,972 | $5.37 | D | 27,939 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Ms. Davis is the CFO of Great Elm Capital Management, Inc. ("GECM"), the external investment manager of Great Elm Capital Corp. ("GECC"). Ms. Davis received an award of 7,646 shares of common stock of GECC as equity compensation for her position at GECM, 1,911 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 shares of common stock of GECC acquired as a result of a stock dividend associated with the portion of the equity compensation awarded to Ms. Davis 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.