Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Great Elm Capital Corp.GECC · Entity 6877 | Director | May 12, 2023 | May 16, 2023 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Great Elm Capital Corp.
Report date May 12, 2023 · Filed May 16, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Benmark Investments LLC | 13,972 |
Reported balance
After 2023-05-12 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2023-05-12 · Purchase · Acquired 2,000 · Balance 13,972 F1: The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of any of the reported shares for purposes of Section 16 or for any other purpose. |
| Common StockSEC Table I · non-derivative | Direct | 3,000 |
Ending reported balance
After 2023-05-12 transaction · row 3
2 source rows · reconciled sequenceRow 2 · 2023-05-12 · Purchase · Acquired 300 · Balance 300 Row 3 · 2023-05-12 · Purchase · Acquired 2,700 · Balance 3,000 |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of any of the reported shares for purposes of Section 16 or for any other purpose.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| May 12, 2023 Filed May 16, 2023 20:39 UTC | Great Elm Capital Corp. GECC · Entity 6877 | PurchaseCommon Stock | 2,700 | $8.02 | $21,653.73 |
DisclosureSEC source: 0001140361-23-025139 · form4.xml · nonDerivative · entry 3 Kuperschmid Mark · CIK 0001688208 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,000 Read SEC document |
| May 12, 2023 Filed May 16, 2023 20:39 UTC | Great Elm Capital Corp. GECC · Entity 6877 | PurchaseCommon Stock | 300 | $8.01 | $2,403.00 |
DisclosureSEC source: 0001140361-23-025139 · form4.xml · nonDerivative · entry 2 Kuperschmid Mark · CIK 0001688208 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 300 Read SEC document |
| May 12, 2023 Filed May 16, 2023 20:39 UTC | Great Elm Capital Corp. GECC · Entity 6877 | PurchaseCommon Stock | 2,000 | $8.01 | $16,020.00 |
DisclosureSEC source: 0001140361-23-025139 · form4.xml · nonDerivative · entry 1 Kuperschmid Mark · CIK 0001688208 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Benmark Investments LLC Disclosed balance after: 13,972 F1 · balance_after: The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of any of the reported shares for purposes of Section 16 or for any other purpose. Read SEC document |
| June 15, 2022 Filed Jun 17, 2022 16:53 UTC | Great Elm Capital Corp. GECC · Entity 6877 | Exercise / conversionSubscription Rights · Derivative | 5,986 | $0.00 Strike: $12.50 | $0.00 |
DisclosureSEC source: 0001140361-22-023494 · form4.xml · derivative · entry 2 Kuperschmid Mark · CIK 0001688208 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Benmark Investments LLC Disclosed balance after: 0 Underlying: Common Stock · 5,986 shares Expires 2022-06-10 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| June 15, 2022 Filed Jun 17, 2022 16:53 UTC | Great Elm Capital Corp. GECC · Entity 6877 | Exercise / conversionCommon Stock | 5,986 | $12.50 | $74,825.00 |
DisclosureSEC source: 0001140361-22-023494 · form4.xml · nonDerivative · entry 1 Kuperschmid Mark · CIK 0001688208 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Benmark Investments LLC Disclosed balance after: 11,972 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: On June 15, 2022, the Reporting Person exercised in full his primary subscription rights (each 1 subscription right entitling him to purchase 1 share of Common Stock), which were issued to holders of Common Stock on the May 23, 2022 record date for the rights offering. F2 · balance_after: The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of any of the reported shares for purposes of Section 16 or for any other purpose. Read SEC document |
| January 21, 2021 Filed Jan 26, 2021 16:56 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 603 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-005396 · doc4.xml · nonDerivative · entry 1 Kuperschmid Mark · CIK 0001688208 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Benmark Investments LLC Disclosed balance after: 35,917 F1 · kind: Shares acquired as a result of a stock dividend. F2 · balance_after: The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of any of the reported shares for purposes of Section 16 or for any other purpose. Read SEC document |
| December 21, 2020 Filed Dec 23, 2020 18:35 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 633 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-065088 · doc4.xml · nonDerivative · entry 1 Kuperschmid Mark · CIK 0001688208 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Benmark Investments LLC Disclosed balance after: 35,314 F1 · kind: Shares acquired as a result of a stock dividend. F2 · balance_after: The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of any of the reported shares for purposes of Section 16 or for any other purpose. Read SEC document |
| November 20, 2020 Filed Nov 24, 2020 18:20 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 811 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-060314 · doc4.xml · nonDerivative · entry 1 Kuperschmid Mark · CIK 0001688208 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Benmark Investments LLC Disclosed balance after: 34,681 F1 · kind: Shares acquired as a result of a stock dividend. F2 · balance_after: The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of any of the reported shares for purposes of Section 16 or for any other purpose. Read SEC document |
| October 21, 2020 Filed Oct 23, 2020 21:17 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 453 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-055753 · doc4.xml · nonDerivative · entry 1 Kuperschmid Mark · CIK 0001688208 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Benmark Investments LLC Disclosed balance after: 33,870 F1 · kind: Shares acquired as a result of a stock dividend. F2 · balance_after: The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of any of the reported shares for purposes of Section 16 or for any other purpose. Read SEC document |
| September 28, 2020 Filed Oct 1, 2020 17:38 UTC | Great Elm Capital Corp. GECC · Entity 6877 | OtherSubscription Rights · Derivative | 12,000 | $0.00 Strike: $2.95 | $0.00 |
DisclosureSEC source: 0001209191-20-052696 · doc4.xml · derivative · entry 2 Kuperschmid Mark · CIK 0001688208 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Benmark Investments LLC Disclosed balance after: 0 Underlying: Common Stock · 12,000 shares Expires 2020-09-28 Read SEC document |
| September 28, 2020 Filed Oct 1, 2020 17:38 UTC | Great Elm Capital Corp. GECC · Entity 6877 | OtherCommon Stock | 12,000 | $2.95 | $35,400.00 |
DisclosureSEC source: 0001209191-20-052696 · doc4.xml · nonDerivative · entry 1 Kuperschmid Mark · CIK 0001688208 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Benmark Investments LLC Disclosed balance after: 33,417 F1 · shares: On September 28, 2020, the Reporting Person exercised certain of his primary subscription rights (each 1 subscription right entitling him to purchase 1 share of Common Stock), which were issued to holders of Common Stock on the September 4, 2020 record date for the rights offering. F2 · balance_after: The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of any of the reported shares for purposes of Section 16 or for any other purpose. Read SEC document |
| September 21, 2020 Filed Sep 23, 2020 19:41 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 298 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-051726 · doc4.xml · nonDerivative · entry 1 Kuperschmid Mark · CIK 0001688208 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Benmark Investments LLC Disclosed balance after: 21,417 F1 · kind: Shares acquired as a result of a stock dividend. F2 · balance_after: The reporting person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of any of the reported shares for purposes of Section 16 or for any other purpose. Read SEC document |
| August 21, 2020 Filed Aug 25, 2020 20:15 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 316 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-048308 · doc4.xml · nonDerivative · entry 1 Kuperschmid Mark · CIK 0001688208 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Benmark Investments LLC Disclosed balance after: 21,119 F1 · kind: Shares acquired as a result of a stock dividend. F2 · balance_after: The reporting person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of any of the reported shares for purposes of Section 16 or for any other purpose. Read SEC document |
| July 15, 2020 Filed Jul 17, 2020 18:27 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 283 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-042961 · doc4.xml · nonDerivative · entry 1 Kuperschmid Mark · CIK 0001688208 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Benmark Investments LLC Disclosed balance after: 20,803 F1 · kind: Shares acquired as a result of a stock dividend. F2 · balance_after: The reporting person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of any of the reported shares for purposes of Section 16 or for any other purpose. Read SEC document |
| June 15, 2020 Filed Jun 17, 2020 20:16 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 270 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-037463 · doc4.xml · nonDerivative · entry 1 Kuperschmid Mark · CIK 0001688208 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Benmark Investments LLC Disclosed balance after: 20,520 F1 · kind: Shares acquired as a result of a stock dividend. F2 · balance_after: The reporting person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of any of the reported shares for purposes of Section 16 or for any other purpose. Read SEC document |
| May 15, 2020 Filed May 19, 2020 21:04 UTC | Great Elm Capital Corp. GECC · Entity 6877 | GrantCommon Stock | 300 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-030775 · doc4.xml · nonDerivative · entry 1 Kuperschmid Mark · CIK 0001688208 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Benmark Investments LLC Disclosed balance after: 20,250 F1 · kind: Shares acquired as a result of a stock dividend. F2 · balance_after: The reporting person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of any of the reported shares for purposes of Section 16 or for any other purpose. Read SEC document |
| December 04, 2018 Filed Dec 4, 2018 17:36 UTC | Great Elm Capital Corp. GECC · Entity 6877 | PurchaseCommon Stock | 7,000 | $8.35 | $58,450.00 |
DisclosureSEC source: 0000899243-18-030070 · doc4.xml · nonDerivative · entry 2 Kuperschmid Mark · CIK 0001688208 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Benmark Investments LLC Disclosed balance after: 19,950 F1 · balance_after: The reporting person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of any of the reported shares for purposes of Section 16 or for any other purpose. F2 · balance_after: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $8.32 to $8.35, 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 purchased at each separate price within the ranges set forth in herein. Read SEC document |
| December 03, 2018 Filed Dec 4, 2018 17:36 UTC | Great Elm Capital Corp. GECC · Entity 6877 | PurchaseCommon Stock | 182 | $8.30 | $1,510.60 |
DisclosureSEC source: 0000899243-18-030070 · doc4.xml · nonDerivative · entry 1 Kuperschmid Mark · CIK 0001688208 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Benmark Investments LLC Disclosed balance after: 12,950 F1 · balance_after: The reporting person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of any of the reported shares for purposes of Section 16 or for any other purpose. Read SEC document |
| November 29, 2018 Filed Dec 3, 2018 16:21 UTC | Great Elm Capital Corp. GECC · Entity 6877 | PurchaseCommon Stock | 7,364 | $8.30 | $61,121.20 |
DisclosureSEC source: 0000899243-18-029945 · doc4.xml · nonDerivative · entry 1 Kuperschmid Mark · CIK 0001688208 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Benmark Investments LLC Disclosed balance after: 16,132 F1 · balance_after: The reporting person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of any of the reported shares for purposes of Section 16 or for any other purpose. F2 · balance_after: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $8.26 to $8.35, 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 purchased at each separate price within the ranges set forth in herein. Read SEC document |
| November 29, 2018 Filed Dec 4, 2018 17:33 UTC Amendment | Great Elm Capital Corp. GECC · Entity 6877 | PurchaseCommon Stock | 4,000 | $8.30 | $33,200.00 |
DisclosureSEC source: 0000899243-18-030068 · doc4a.xml · nonDerivative · entry 1 Kuperschmid Mark · CIK 0001688208 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Benmark Investments LLC Disclosed balance after: 12,768 F1 · shares: The Form 4 filed on December 3, 2018 incorrectly reported the amount of securities the reporting person acquired on November 29, 2018. As a result of this error, the total amount of securities beneficially owned by the reporting person as of November 29, 2018 was incorrectly reported. As of the date of this filing, the reporting person owns 12,768 shares of common stock in Great Elm Capital Corp. F2 · balance_after: The reporting person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of any of the reported shares for purposes of Section 16 or for any other purpose. F3 · balance_after: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $8.26 to $8.35, 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 purchased at each separate price within the ranges set forth in herein. Read SEC document |
| November 19, 2018 Filed Nov 21, 2018 16:20 UTC | Great Elm Capital Corp. GECC · Entity 6877 | PurchaseCommon Stock | 1,000 | $8.14 | $8,140.00 |
DisclosureSEC source: 0000899243-18-029553 · doc4.xml · nonDerivative · entry 1 Kuperschmid Mark · CIK 0001688208 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Benmark Investments LLC Disclosed balance after: 8,768 F1 · balance_after: The reporting person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of any of the reported shares for purposes of Section 16 or for any other purpose. Read SEC document |
| November 16, 2018 Filed Nov 19, 2018 20:01 UTC | Great Elm Capital Corp. GECC · Entity 6877 | PurchaseCommon Stock | 1,237 | $8.03 | $9,933.11 |
DisclosureSEC source: 0000899243-18-029383 · doc4.xml · nonDerivative · entry 3 Kuperschmid Mark · CIK 0001688208 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Benmark Investments LLC Disclosed balance after: 7,768 F1 · balance_after: The reporting person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of any of the reported shares for purposes of Section 16 or for any other purpose. F3 · balance_after: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.02 to $8.04, inclusive. Read SEC document |
| November 15, 2018 Filed Nov 19, 2018 20:01 UTC | Great Elm Capital Corp. GECC · Entity 6877 | PurchaseCommon Stock | 4,531 | $8.06 | $36,519.86 |
DisclosureSEC source: 0000899243-18-029383 · doc4.xml · nonDerivative · entry 2 Kuperschmid Mark · CIK 0001688208 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Benmark Investments LLC Disclosed balance after: 6,531 F1 · balance_after: The reporting person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of any of the reported shares for purposes of Section 16 or for any other purpose. F2 · balance_after: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.03 to $8.09, 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 the ranges set forth in footnotes (2) and (3) to this Form 4. Read SEC document |
| May 29, 2018 Filed Nov 19, 2018 20:01 UTC | Great Elm Capital Corp. GECC · Entity 6877 | PurchaseCommon Stock | 1,000 | $9.36 | $9,360.00 |
DisclosureSEC source: 0000899243-18-029383 · doc4.xml · nonDerivative · entry 1 Kuperschmid Mark · CIK 0001688208 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Benmark Investments LLC Disclosed balance after: 2,000 F1 · balance_after: The reporting person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of any of the reported shares for purposes of Section 16 or for any other purpose. Read SEC document |
| November 10, 2017 Filed Nov 13, 2017 16:22 UTC | Great Elm Capital Corp. GECC · Entity 6877 | PurchaseCommon Stock | 1,000 | $9.36 | $9,360.00 |
DisclosureSEC source: 0000899243-17-026026 · doc4.xml · nonDerivative · entry 1 Kuperschmid Mark · CIK 0001688208 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Benmark Investments LLC Disclosed balance after: 1,000 F1 · shares: The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.