SEC Form 4 · accession 0000950103-26-014396
Great Elm Capital Corp. · GECC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Great Elm Group, Inc.
10% Owner
Period of report
Sep 21, 2026
Accepted (ET)
Sep 23, 2026 · 4:32 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 StockF2 | Sep 21, 2026 | J | 111,958 | $0.00 | D | 1,244,167 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Reflects shares of common stock of Great Elm Capital Corp. ("GECC") owned by Great Elm Group, Inc. ("GEG") that (i) GEG granted as compensation to certain employees in exchange for no consideration and (ii) which were delivered by GEG (together with any accumulated stock dividends thereon) to such employees in connection with the vesting of such awards (or an applicable portion thereof).
- F2Prior to the vesting and delivery of any such compensation awards (or any portion thereof), GEG retains beneficial ownership rights over the GECC shares underlying such awards, the number of which are included in GEG's direct holdings.